Springer Monographs in Mathematics

Haruzo Hida

Elliptic Curves
and Arithmetic
Invariants
Springer Monographs in Mathematics

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Haruzo Hida

Elliptic Curves and Arithmetic

Invariants

123
Haruzo Hida
Department of Mathematics
University of California
Los Angeles, CA, USA

ISSN 1439-7382
ISBN 978-1-4614-6656-7 ISBN 978-1-4614-6657-4 (eBook)
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Preface

Number theorists study arithmetic objects by attaching invariants to them to

make them clearly visible. Each important research object in number theory
has its L-functions. As they are functions of complex or p-adic variables, we
can evaluate them at integers, getting concrete numbers from the starting
object.
The Archimedean L-function (in this book) has a functional equation. If
the value of its Γ -factor and its counterpart under the functional equation
neither vanish nor have a pole at an integer m, assuming that the L-function
at m is finite, we call such an m critical with respect to the L-function. If
m is critical for the L-function, the value is expected to give an algebraic
number up to a canonical transcendental factor (called a period, which of-
ten behaves compatibly under algebraic operations, for example, direct prod-
uct of the objects, tensor product, and so on). Such phenomena were first
found by Euler in the mid-18th century for the Riemann zeta function and
were rediscovered in the 1970s by Shimura for many automorphic/geometric
L-functions. Today we benefit from a good analysis both of the automorphic
period of automorphic L-values through the work of Shimura and others as
well as that of the geometric period of algebraic varieties and motives from
the work of Shimura, Deligne, and others.
Here arises a typical number-theoretic question comparing the automor-
phic/geometric definitions of a period: Once an automorphic form is attached
to a geometric object, such as an abelian variety or, more generally, a mo-
tive, do the automorphic period and the geometric period coincide? Assuming
holomorphy of the L-function and the Γ -factor at an evaluating integer s0 , if
s0 is not critical, the Γ -factor has a pole at the reflex point s0 of s0 , and the
L-value at s0 would simply be 0. Thus, its derivative at s0 is related by the
functional equation to the value at the original point s0 up to a correction
factor in addition to the period. The correction factor is an interesting new
invariant, the regulator, which depends crucially both on the arithmetic object
and on the point of evaluation.

v
vi Preface

Once the algebraic part of critical L-values is well defined, we might want
to relate it to a new arithmetic object produced from the starting object. For
example, if we are given an imaginary quadratic field, from its reciprocity
law we can produce a Dirichlet L-function whose value at the critical point
0 is essentially the order of the class group of the imaginary quadratic field
(Dirichlet’s celebrated class number formula). Dirichlet’s formula is the iden-
tity between two arithmetic invariants: One is given by the value at 0 of the
L-function associated with the imaginary quadratic field, and the other is the
order of a finite abelian group specifically produced out of the integer ring of
the field.
Going further, we might want to search a p-adic analytic L-function having
the same value (up to a simple p-adic modification factor similar to an Euler
factor) at critical evaluation points. Again, we therefore get a p-adic period
and a p-adic regulator and an arithmetic object (now somehow p-adically
made) whose size is (often conjecturally) given by the value or the derivative
(possibly up to the p-adic regulator).
The p-adic modification factor rarely (but sometimes) vanishes at some in-
teger points (producing an exceptional zero of the p-adic L-function), making
the p-adic critical value close to an Archimedean noncritical value. The p-adic
derivative of the p-adic L-function is equal up to a factor L, similar to the
regulator, to the (algebraic part of) Archimedean L-value, getting another in-
variant, called the L-invariant. Mazur–Tate–Teitelbaum systematically stud-
ied the L although the value of the L was studied and even determined for
some specific L-functions earlier than their work.
One may look into the growth of L-values over points densely populated in
the domain of the L-function. Suppose that a p-adic L-function Lp is defined
on a unit disk of p-adic numbers. If its p-adic absolute values |Lp (s)|p are
bounded by the supremum p−μ for 0 ≤ μ ∈ Q, this μ is the μ-invariant
first studied by Iwasawa in the 1960s and 1970s. Iwasawa then defined his
λ-invariant to be the number of zeros of the p-adic L-function (counted with
multiplicity) in order to measure the growth of a p-adic Dirichlet L-function
and the growth of the p-part of the class numbers of the cyclotomic fields of
p-power roots of unity.
If we are given a compatible system of l-adic Galois representations, its
trace ap of the p-Frobenius element at unramified primes p outside l is al-
gebraic and independent of l. This ap itself is an invariant describing the
structure of the Galois group (and also the local Galois group at p) of the
splitting Galois extension of 
the representation, and we may uniquely form
∞
an Archimedean L-function n=1 cn n−s with Euler product converging for
Re(s)  0 having cp = ap for primes p from it. Or we can study the field
generated by ap over the rational numbers Q, which is called the Hecke field
of the system if the system comes from an automorphic/modular form (as we
expect that every system comes from an appropriately chosen automorphic
 Preface vii

form). Once a Hecke field is given, its degree over the rational numbers is a
most primitive example of the invariants attached to the system.
Often the definition of the invariant itself does not give us a straight way
of understanding it. So number theorists seek a more direct or theoretical
way to compute the invariant. This is done in many cases through heuristic
understandings of the invariant. For example, the critical/noncritical L-value
is supposed to compute the order of an arithmetically defined abelian group
(an arithmetic cohomology group, called a Selmer group) similarly to the
Dirichlet class number formula. If we could prove this heuristic, it would be a
generalization of Dirichlet’s class number formula. Some mathematicians have
tried to specify what kind of arithmetic cohomology group should appear this
way (i.e., the Bloch–Kato conjecture for general motives; more specifically,
the Birch–Swinnerton-Dyer conjecture if the L-function is associated with a
rational elliptic curve and the evaluation point of interest is s = 1). This is
an identification problem of two different invariants, one analytically defined
and the other arithmetically defined. Similarly, Shimura and Deligne have
studied the equality of the automorphic period and the geometric period.
All of these problems (which are central to present-day number theory) can
be summarized into a set of problems targeting an identity of two or more
different definitions/incarnations of the invariant.
Since miraculous (and possibly profound) formulas are scattered through-
out number theory, mathematicians working in this area tend to seek a new
one directly or indirectly relating different arithmetic invariants. Most of the
celebrated conjectures in this research area fall into this category out of the
desire to convince ourselves of the harmony of our universe. I am not at all
against the idea. However, before setting out to see the God-given harmony of
numbers, we would do better to worry about the nontriviality or triviality of
the invariant. For example, Ferrero–Washington proved the vanishing of the
(original) Iwasawa μ-invariant long ago in an elementary way. The vanishing
is equivalent to the nontriviality of the p-adic L-function modulo p. From their
result, if Iwasawa’s λ-invariant vanishes (i.e., is trivial) very often, we get the
infinity of regular primes (does the name indicate that regular primes must
be “regularly” found?). This type of banal outcome, though possibly deep, is
often more intriguing in its proof than in the proof of a nice formula connect-
ing far-reaching arithmetic objects. Furthermore, as the outcome is banal, one
may not be able to develop a conjectural formula from the problem (which
satisfies mathematicians’ aesthetic desires).
The critical L-values must be generically nonzero (with interesting and
rare exceptions) unless the vanishing is forced by some trivial reason, and its
first derivatives must be nonzero most of the time if the vanishing is forced.
This is basically telling us that normally we are working in an easy environ-
ment (without the need to worry about the triviality of the invariant). We
should be working in “regular” cases (of nonvanishing L-values) to produce
the formulas in most instances, rather than working against hostility, requiring
viii Preface

heroic efforts to prove an identity of higher derivatives. The regulators must

not vanish in most of the cases (nonvanishing is often assumed by the lack
of its proof), but to my knowledge, nobody seems to have made a systematic
algebraic/arithmetic theory aimed at showing the nontriviality/triviality of
the invariant.
In summary, there appear to be two fundamental problems concerning the
invariants in number theory:
A. Find (even conjecturally) a relation (or an identity) of two or more arith-
metic invariants of a different nature.
B. Prove the nontriviality/triviality of important arithmetic invariants.
In the early 1990s, I somehow realized the importance of problem B (and
of making an algebraic theory dealing with it) and started working on it, al-
though I still continue to work out things belonging to problem A. A principle
(useful in attacking problem B) I came up with is rather ordinary:
If we want to show algebraically the nonvanishing of some value, in prac-
tice, the only way is to spread or interpolate the values as a good function over
a geometric object (say, an algebraic variety that parameterizes the different
values we study). If we could show that the function is nonconstant, there
are not many zeros; hence, its specialization to the value we want is often
nonzero. If we are able to go farther, we can even show that the zero set of
the function somehow avoids all specific points of our interest (thus, getting
the nontriviality of “each” desired value).
This book is the first report on my effort for the past 20 years, and I hope
to present my progress report covering more new topics in the near future
(as I believe that the method should be amenable to generalizations and has
much room for improvement, because of the simplicity of the idea). We limit
ourselves to topics directly related to elliptic modular forms (to make this book
accessible to graduate students), though many results can be generalized (at
least) to Hilbert modular forms (such generalizations are often given in my
research articles quoted in the text).
Here is an outline of the book. In Chap. 1, after giving definitions of Iwa-
sawa’s invariants and the L-invariants, as an example of the above principle,
we reproduce Sinnott’s proof of the nonvanishing of Dirichlet L-values mod-
ulo p (originally proven by L. Washington in 1978) under twists by most
characters modulo l-power for a prime l = p. Then we go on to describe an
outline of the proof of the rationality of Hecke L-values by Shimura and its
p-adic version by Katz; hence, we get p-adic Hecke L-functions (of imaginary
quadratic fields). For rationality, we need the invariant differential operators
acting either on C ∞ modular forms or on p-adic modular forms. Shimura
prominently resurrected the use of such operators (going back to Maass) to
prove the rationality results of modular/automorphic L-values up to “peri-
ods,” and Katz made its p-adic “avatar.” We will give perhaps the simplest
 Preface ix

construction (which I found about 20 years ago) of the p-adic operator, which
connects directly with Archimedean operators and which requires only the
deformation theory of ordinary elliptic curves as a tool (and should be easily
generalized to the ordinary locus of Shimura varieties of PEL type).
In Chap. 2, without becoming too technical, we recall the geometric defi-
nition of elliptic modular forms (and moduli problems of elliptic curves over
fields) just for our use in Chap. 3 to state the main results.
Almost all the main themes of the book appear in Chap. 3, possibly with-
out a detailed proof. We prove the fast growth of the degree of Hecke fields for
non-CM analytic families of slope 0, the nonvanishing (in most cases) of the
L-invariant of the modular adjoint L-function at s = 1 (restricting ourselves
to simplest cases), and a sketch of a proof of the vanishing of the μ-invariant
of Katz p-adic L-functions. At the end, we state a principle of distinguishing
mod-p Shimura subvarieties of a Shimura variety as a subvariety stable under
Hecke correspondences (Chai–Oort’s rigidity principle, an example of prob-
lem A), which is heavily used in the proof of the vanishing of the μ-invariant.
This includes a brief outline of the theory of modular curves as a Shimura
variety (and the Igusa tower over it).
Chapter 4 is an introduction to functorial scheme theory (and tools we
need for fully proving some results illustrated in Chap. 3). Proofs of some the-
orems are given in a different way from other books for algebraic geometers
(which is often unilluminating for number theorists). Some ring-theoretic re-
sults and more geometric results are quoted from different sources. Chapter 5
is a continuation of Chap. 4 but gathers more classical geometric results for
varieties over a field. Readers who are familiar with functorial algebraic geom-
etry or who just want to know the results for problem B without going into
technicalities may skip these two chapters.
Chapter 6 is a detailed description of modular curves of individual levels
over general rings. In particular, it contains a detailed description of deforma-
tion coordinates of the modular curve around an ordinary elliptic curve with
complex multiplication. The study of the move of the deformation coordinate
under the natural action of the stabilizer of the origin of the deformation space
(carrying the CM elliptic curve) is a main tool to prove the rigidity principle.
In Chap. 7, we interpret the theory given in Chap. 6 in Shimura’s way as
the simplest of Shimura varieties. In addition, we complete and legitimize the
sketchy construction of p-adic invariant differential operators first given in
Chap. 1 (in Sect. 7.2.6). We also prove the irreducibility of the Igusa tower in
the way given in [PAF] in more down-to-earth terms (which is the basis of the
q-expansion principle essential in computing μ-invariants).
In Chap. 8, we generalize Sinnott’s method (reproduced in Chap. 1) of
proving the nonvanishing modulo p of Dirichlet L-values to Hecke L-values
via the theory of Shimura varieties.
Chapter 9 is devoted to the proof of the vanishing of the μ-invariant of
the p-adic Hecke L-functions (of each imaginary quadratic field) via a detailed
analysis of the q-expansion of Eisenstein series. The rigidity principle and the
x Preface

q-expansion principle (based on the irreducibility of the Igusa tower) play a

prominent role.
In Chap. 10, we give a proof of Chai’s local rigidity lemmas that is essential
to prove the rigidity principle. In the last chapter, Chap. 11, we prove the
rigidity principle for the elliptic Shimura curve and products of the copies of
the curve (making this book logically complete).
This book’s target audience encompasses graduate students (who already
know the basics of elliptic modular forms, for example, as described in
Chaps. 1–5 of [IAT]), postdoctoral scholars, and senior researchers working
in the field of number theory.
In 2011, my graduate students Bin Zhao and Ashay Burungale (respec-
tively in their third and second year of graduate school at UCLA) read most of
the manuscript and suggested many improvements. I personally thank them
for their careful reading.
In the hope of giving a good introductory account of my earlier (but more
difficult) book [PAF], I started writing the manuscript while I was visiting
l’Institut Henri Poincaré (Paris, France) in January–March of 2010 and con-
tinued writing while I visited Kyoto University in Japan from September to
December 2010, partially supported by Clay Mathematics Institute as a senior
scholar. I gave many lectures on the topics of this book at these institutions.
I thank the audiences of my lectures for their enthusiasm/criticism and also
thank these institutions for their hospitality and support. I hope that the
original purpose of an introductory account of my book [PAF] has been ac-
complished to a good extent.
While preparing the manuscript, I was partially supported by the NSF
grants DMS 0753991 and DMS 0854949.

Los Angeles, CA, USA Haruzo Hida

 Preface xi

Suggestions to the Reader

In the text, articles are quoted by abbreviating the author’s name; for
example, articles by Hida–Tilouine are quoted as [HT1] and [HT2]. There
is one exception: Articles written by the author are quoted, for example, as
[H04a] and [H98], indicating also the year published (or the year written in
the case of preprints). For these examples, [H04a] and [H98] are published in
2004 and in 1998, respectively. The articles by the author in a preprint form
are quoted, for example, as [H13c] (though their publication year may differ
from 2013). Books are quoted by abbreviating their title. For example, one of
my earlier books with the title Geometric Modular Forms and Elliptic Curves
is quoted as [GME]. Our style of reference is unconventional but has been
used in my earlier books [MFG], [GME], and [PAF], and the abbreviation is
(basically) common in all three books.
As for the notation and the terminology, the symbol Zp denotes the p-adic
integer ring inside the field Qp of p-adic numbers, and the symbol Z(p) is used
to indicate the valuation ring Zp ∩ Q. Throughout the book, we indicate an
algebraic closure Q of Q. A subfield E of Q is called a number field (often
assuming [E : Q] := dimQ E < ∞ tacitly). For a number field E, OE denotes
the integer ring of E, OE,p = OE ⊗Z Zp ⊂ Ep = E ⊗Q Qp , and OE,(p) =
OE ⊗Z Z(p) ⊂ E. A quadratic extension M/F is called a CM field if F is
totally real and M is totally imaginary. For the integer ring of an imaginary
quadratic field M (the simplest case of CM fields), we often use O for its
integer ring (in place of OM ).
The symbol W is exclusively used to indicate a discrete valuation ring
inside Q with residual characteristic p. The ring W could be of infinite rank
over Z(p) but with finite ramification index over Z(p) ; hence, it is still discrete.
The p-adic completion limn W/pn W is denoted by W , and we write Wm =
←−
W/pm W = W/pm W. We denote the algebraic closure Qp with p-adic absolute
value | · |p with |p|p = p−1 and write Cp for the completion of Qp under this
absolute value. We fix two embeddings i∞ : Q → C and ip : Q → Qp ⊂ Cp
ip
throughout the book. We assume that W → Q −→ Cp is continuous under
the topology of the valuation ring W; thus, we regard W as a closed subring
of Cp . For a local ring B, mB denotes its maximal ideal. We often write F for
the residue field W/mW = W/mW .
The symbol A denotes the adele ring of Q. For a subset Σ of rational
primes, we set A(Σ∞) = {x ∈ A|x∞ = xp = 0 for  p ∈ Σ}. If Σ is empty, A(∞)
denotes the ring of finite adeles. We put ZΣ = p∈Σ Zp and define Z(Σ) =
ZΣ ∩Q. If Σ = {p} for a prime p, we write A(p∞) for A(Σ∞) . For a vector space
of a number field E, we write VA = V (A) and VA(Σ∞) = V (A(Σ∞) ) for V ⊗Q A
×
and V ⊗Q A(Σ∞) , respectively. We identify A(Σ∞) with the subgroup of ideles
×
x ∈ A with xv = 1 for v ∈ Σ {∞} in an obvious way. The maximal compact
subring of A(∞) is denoted by Z, which is identified with the profinite ring
   ∩ A(Σ∞) and Z (p) = Z
 ∩ A(p∞) . For a
p Zp = lim Z/N Z. We put Z =Z
(Σ)
←−N
xii Preface

module L of finite type, we write L  = L⊗Z Z  = lim L/N L, L  (Σ) = L⊗Z Z  (Σ) ,
←−N
and L  = L ⊗Z Z
(p)  .
(p)

An algebraic group T (defined over a subring A of Q) is called a torus

if its scalar extension T/Q = T ⊗R Q is isomorphic to a product Grm
of copies of the multiplicative group Gm . The character group X ∗ (T ) =
Homalg-gp (T/Q , Gm/Q ) is sometimes simply denoted by X(T ), and elements of
X(T ) are often called weights of T . We write X∗ (T ) for the cocharacter group
Homalg-gp (Gm/Q , T/Q ). Similarly, for a split formal torus T (see Sect. 4.4.3 for
formal groups), we write X ∗ (T ) = Homformal-gp (T/B , G  m/B ) (formal charac-
 
ter group) and X∗ (T ) = Homformal-gp (Gm/B , T/B ) (formal cocharacter group).
Here B is either an algebraic closure of the finite field Fp with p elements or
the discrete valuation ring W as above, and G  m is the formal multiplicative
group over B we describe later in this book.
As we will describe in Chap. 4, a scheme X can be considered either a local
ringed space or a functor from a category of algebras or schemes into sets. If
we want to indicate that we are thinking of X as a functor, we often write
the functor as X (although we remove the underline if it is clear from the
context). Similarly, for a morphism f : Spec(A) → Spec(B) of affine schemes,
the corresponding algebra homomorphism B → A is sometimes written as f
or f ∗ or f # , depending on the setting.
Contents

1 Nontriviality of Arithmetic Invariants 1

1.1 Arithmetic Invariants in Iwasawa Theory . . . . . . . . . . . . . . . . . . . 3
1.1.1 Iwasawa Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.1.2 L-Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Dirichlet L-Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.2.1 A Nonvanishing Result for Dirichlet L-Values . . . . . . . . . 11
1.2.2 Hecke Operators for Gm . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.2.3 Measure Associated with a U (l)-Eigenfunction . . . . . . . . 15
1.2.4 Evaluation Formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.2.5 Zariski Density . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.2.6 Proof of Theorem 1.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.3 CM Periods and L-Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.3.1 Elliptic Modular Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.3.2 A Rationality Theorem, an Application . . . . . . . . . . . . . . 27
1.3.3 p-Adic Elliptic Modular Form . . . . . . . . . . . . . . . . . . . . . . . 29
1.3.4 CM Elliptic Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
1.3.5 Invariant Differential Operators . . . . . . . . . . . . . . . . . . . . . 33
1.3.6 p-Adic Differential Operators . . . . . . . . . . . . . . . . . . . . . . . 35
1.3.7 Katz Measure at a Glance . . . . . . . . . . . . . . . . . . . . . . . . . . 39

2 Elliptic Curves and Modular Forms 43

2.1 Curves over a Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.1.1 Plane Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.1.2 Tangent Space and Local Rings . . . . . . . . . . . . . . . . . . . . . 47
2.1.3 Projective Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.1.4 Projective Plane Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.1.5 Divisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
2.1.6 Riemann–Roch Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.1.7 Regular Maps from a Curve into a Projective Space . . . 58

xiii
xiv Contents

2.2 Elliptic Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

2.2.1 Abel’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
2.2.2 Weierstrass Equations of Elliptic Curves . . . . . . . . . . . . . . 60
2.2.3 Moduli of Weierstrass Type . . . . . . . . . . . . . . . . . . . . . . . . . 62
2.3 Modular Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
2.3.1 Elliptic Curves over General Rings . . . . . . . . . . . . . . . . . . . 65
2.3.2 Geometric Modular Forms . . . . . . . . . . . . . . . . . . . . . . . . . . 68
2.3.3 Archimedean Uniformization . . . . . . . . . . . . . . . . . . . . . . . . 69
2.3.4 Weierstrass ℘-Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
2.3.5 Holomorphic Modular Forms . . . . . . . . . . . . . . . . . . . . . . . . 73
2.4 p-Adic Uniformization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2.4.1 Explicit q-Expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
2.4.2 Tate Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
2.5 What We Study in This Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

3 Invariants, Shimura Variety, and Hecke Algebra 83

3.1 Abelian Component of the “Big” Hecke Algebra . . . . . . . . . . . . . 84
3.1.1 Is Characterizing Abelian Components Important? . . . . 89
3.1.2 Horizontal Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.1.3 Weil Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
3.1.4 A Rigidity Lemma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
3.1.5 CM Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
3.1.6 An Eigenvalue Formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
3.1.7 Polynomial Representations of GL(2) . . . . . . . . . . . . . . . . 106
3.1.8 Proof of Theorem 3.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
3.2 Finiteness of Abelian Varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
3.2.1 CM Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
3.2.2 Supercuspidality Implies Supersingularity . . . . . . . . . . . . 114
3.2.3 Twist Classes of Abelian Varieties of GL(2)-Type . . . . . 116
3.3 Vertical Version . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
3.3.1 Results Toward the Vertical Theorem . . . . . . . . . . . . . . . . 118
3.3.2 Proof of Theorem 3.25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
3.4 Nonconstancy of Adjoint L-Invariant . . . . . . . . . . . . . . . . . . . . . . . 119
3.4.1 Proof of Theorem 3.28 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
3.4.2 Review of L-Invariants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
3.4.3 Galois Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
3.4.4 Adjoint Selmer Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
3.4.5 Greenberg’s L-Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
3.4.6 Proof of Theorem 3.31 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
3.4.7 I-adic L-Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
3.5 Vanishing of the μ-Invariant of Katz L-Functions . . . . . . . . . . . . 130
3.5.1 Eisenstein Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
3.5.2 Modular Curves as Shimura Variety . . . . . . . . . . . . . . . . . 135
3.5.3 Subvarieties Stable under Hecke Action . . . . . . . . . . . . . . 138
3.5.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
 Contents xv

3.6 Hecke Stable Subvariety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139

3.6.1 Hecke Invariant Subvariety Is a Shimura Subvariety . . . . 140
3.6.2 Rigidity Lemma and a Sketch of Proofs . . . . . . . . . . . . . . 140

4 Review of Scheme Theory 145

4.1 Functorial Algebraic Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
4.1.1 Affine Variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
4.1.2 Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
4.1.3 Functors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
4.1.4 Affine Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
4.1.5 Zariski Open Covering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
4.1.6 Zariski Sheaves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
4.1.7 Sheaf of Differential Forms . . . . . . . . . . . . . . . . . . . . . . . . . 164
4.1.8 Scheme and Variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
4.1.9 Projective Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
4.1.10 Grothendieck Topology on Schemes . . . . . . . . . . . . . . . . . . 171
4.1.11 Excellent Rings and Schemes . . . . . . . . . . . . . . . . . . . . . . . 173
4.2 Fundamental Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
4.2.1 Galois Extensions of Infinite Degree . . . . . . . . . . . . . . . . . 175
4.2.2 Automorphism Group of a Field . . . . . . . . . . . . . . . . . . . . . 179
4.2.3 Galois Theory in Categorical Setting . . . . . . . . . . . . . . . . . 180
4.2.4 Algebraization of Fundamental Groups . . . . . . . . . . . . . . . 187
4.3 Group Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
4.3.1 Affine Algebraic Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
4.3.2 Basic Diagrams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
4.3.3 Functorial Representations . . . . . . . . . . . . . . . . . . . . . . . . . 194
4.3.4 Duality of Hopf Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
4.3.5 Duality of Finite Flat Groups . . . . . . . . . . . . . . . . . . . . . . . 197
4.3.6 Abelian Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
4.3.7 Barsotti–Tate Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
4.3.8 Connected–étale Exact Sequence . . . . . . . . . . . . . . . . . . . . 201
4.3.9 Ordinary Barsotti–Tate Group . . . . . . . . . . . . . . . . . . . . . . 203
4.4 Completing a Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
4.4.1 Formal Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
4.4.2 Deformation Functors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
4.4.3 Connected Formal Groups . . . . . . . . . . . . . . . . . . . . . . . . . . 210
4.4.4 Infinitesimal Splitting Implies Local Splitting . . . . . . . . . 214

5 Geometry of Variety 217

5.1 Variety over a Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
5.1.1 Rational Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
5.1.2 Zariski’s Main Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
5.1.3 Stein Factorization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
5.1.4 Provariety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
xvi Contents

6 Elliptic and Modular Curves over Rings 225

6.1 Basics of Elliptic Curves over a Scheme . . . . . . . . . . . . . . . . . . . . 225
6.1.1 Definition of Elliptic Curves . . . . . . . . . . . . . . . . . . . . . . . . 226
6.1.2 Cartier Divisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
6.1.3 Picard Schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
6.1.4 Invariant Differentials Are Nowhere Vanishing . . . . . . . . 233
6.1.5 Classification Functors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
6.1.6 Cartier Duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
6.2 Moduli of Elliptic Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
6.2.1 Moduli of Level 1 over Z[ 16 ] . . . . . . . . . . . . . . . . . . . . . . . . . 238
6.2.2 Compatible System of Tate Modules . . . . . . . . . . . . . . . . . 242
6.2.3 Moduli of ℘Γ1 (N ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
6.2.4 Definition of Modular Forms . . . . . . . . . . . . . . . . . . . . . . . . 245
6.2.5 Hecke Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
6.2.6 Moduli of Elliptic Curves with Level-Γ1 (N ) Structure . . 247
6.2.7 Compactification and Modular Line Bundles . . . . . . . . . . 250
6.2.8 q-Expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
6.2.9 Hecke Operators on q-Expansion . . . . . . . . . . . . . . . . . . . . 253
6.2.10 Moduli of Principal Level Structure . . . . . . . . . . . . . . . . . . 254
6.2.11 Hasse Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
6.2.12 Igusa Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
6.3 Deformation of Ordinary Elliptic Curves . . . . . . . . . . . . . . . . . . . 261
6.3.1 A Theorem of Drinfeld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
6.3.2 A Theorem of Serre–Tate . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
6.3.3 Group Structure on Deformation Space . . . . . . . . . . . . . . 264
6.3.4 Computation of Deformation Coordinates . . . . . . . . . . . . 270
6.4 Elliptic Curves with Complex Multiplication . . . . . . . . . . . . . . . . 273
6.4.1 CM Elliptic Curves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
6.4.2 Order of an Imaginary Quadratic Field . . . . . . . . . . . . . . . 275
6.4.3 Algebraic Differential on CM Elliptic Curves . . . . . . . . . . 275
6.4.4 CM Level Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
6.4.5 Adelic CM Level Structure . . . . . . . . . . . . . . . . . . . . . . . . . 277
6.4.6 Zeta Function of CM Elliptic Curves . . . . . . . . . . . . . . . . . 278

7 Modular Curves as Shimura Variety 281

7.1 Shimura Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
7.1.1 Elliptic Modular Function Fields . . . . . . . . . . . . . . . . . . . . 282
7.1.2 Complex Points of Shimura Curve . . . . . . . . . . . . . . . . . . . 285
7.1.3 Elliptic Curves Up to Isogenies . . . . . . . . . . . . . . . . . . . . . . 289
7.1.4 Integral Shimura Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.1.5 Finite-Level Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
7.1.6 Adelic Action on Shimura Curves . . . . . . . . . . . . . . . . . . . 300
7.1.7 Isogeny Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
7.1.8 Reciprocity Law at CM Points . . . . . . . . . . . . . . . . . . . . . . 303
7.1.9 Degeneracy Operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306
 Contents xvii

7.2 Igusa Tower . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307

7.2.1 Axiomatic Approach to Irreducibility . . . . . . . . . . . . . . . . 307
7.2.2 Mod-p Connected Components . . . . . . . . . . . . . . . . . . . . . . 310
7.2.3 Reciprocity Law and Irreducibility of Igusa Tower . . . . . 314
7.2.4 p-Adic Elliptic Modular Forms . . . . . . . . . . . . . . . . . . . . . . 314
7.2.5 Reciprocity Law for Deformation Space . . . . . . . . . . . . . . 317
7.2.6 Katz Differential Operator . . . . . . . . . . . . . . . . . . . . . . . . . . 321
7.3 Elliptic Modular Forms of Slope 0 . . . . . . . . . . . . . . . . . . . . . . . . . 324
7.3.1 Control Theorems of p-Adic Modular Forms . . . . . . . . . . 325
7.3.2 Bounding the p-Ordinary Rank . . . . . . . . . . . . . . . . . . . . . 328
7.3.3 Vertical Control Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . 329
7.3.4 Families of p-Ordinary Modular Forms . . . . . . . . . . . . . . . 330
7.4 Hecke Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
7.4.1 Hecke Operators on p-Adic Modular Forms . . . . . . . . . . . 331
7.4.2 Hecke Operators on Λ-Adic Modular Forms . . . . . . . . . . . 332
7.4.3 Duality of Hecke Algebra and Hecke Modules . . . . . . . . . 333

8 Nonvanishing Modulo p of Hecke L-Values 335

8.1 Rationality of Hecke L-Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
8.1.1 Differential Operators and Rationality . . . . . . . . . . . . . . . 336
8.1.2 Arithmetic Hecke Characters . . . . . . . . . . . . . . . . . . . . . . . 337
8.1.3 Optimal Eisenstein Series . . . . . . . . . . . . . . . . . . . . . . . . . . 339
8.1.4 Hecke Eigenvalues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
8.1.5 L-Functions of an Order . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
8.1.6 Anticyclotomic Hecke L-Values . . . . . . . . . . . . . . . . . . . . . . 348
8.1.7 Values of Eisenstein Series at CM Points . . . . . . . . . . . . . 348
8.2 Nonvanishing Modulo p of L-Values . . . . . . . . . . . . . . . . . . . . . . . . 351
8.2.1 Construction of a Modular Measure . . . . . . . . . . . . . . . . . . 352
8.2.2 Nontriviality of the Modular Measure . . . . . . . . . . . . . . . . 355
8.2.3 Preliminary to the Proof of Theorem 8.25 . . . . . . . . . . . . 358
8.2.4 Proof of Theorem 8.25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360
8.2.5 Linear Independence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
8.2.6 l-Adic Eisenstein Measure Modulo p . . . . . . . . . . . . . . . . . 364

9 p-Adic Hecke L-Functions and Their μ-Invariants 367

9.1 Eisenstein and Katz Measure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
9.1.1 q-Expansion of Eisenstein Series . . . . . . . . . . . . . . . . . . . . . 367
9.1.2 Eisenstein Measure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370
9.1.3 Katz Measure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
9.1.4 Evaluation of Katz Measure . . . . . . . . . . . . . . . . . . . . . . . . 373
9.2 Computation of the μ-Invariant . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
9.2.1 Splitting the Katz Measure . . . . . . . . . . . . . . . . . . . . . . . . . 377
9.2.2 Good Representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
9.2.3 Operators on p-Adic Modular Forms . . . . . . . . . . . . . . . . . 381
9.2.4 Linear Independence of Eisenstein Series . . . . . . . . . . . . . 382
xviii Contents

10 Toric Subschemes in a Split Formal Torus 387

10.1 Rigidity of Formal Tori . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
10.1.1 Power Series Ring over a Field . . . . . . . . . . . . . . . . . . . . . . 388
10.1.2 Linearity of Subschemes of a Formal Torus . . . . . . . . . . . 392
10.2 Representation of Lie Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
10.2.1 Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
10.2.2 Modules over Lie Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . 398
10.2.3 Semisimple Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
10.2.4 Differential of Group Representations . . . . . . . . . . . . . . . . 401

11 Hecke Stable Subvariety Is a Shimura Subvariety 405

11.1 Stability under Hecke Correspondence . . . . . . . . . . . . . . . . . . . . . . 405
11.1.1 Locally Linear Subvariety . . . . . . . . . . . . . . . . . . . . . . . . . . 405
11.1.2 An Example of Hecke Stable Subvariety . . . . . . . . . . . . . . 406
11.1.3 Stability under Toric Action, Local Study . . . . . . . . . . . . 408
11.1.4 Stability under Toric Action, Global Study . . . . . . . . . . . 412
11.1.5 Linear Independence Again . . . . . . . . . . . . . . . . . . . . . . . . . 424

References 427

Symbol Index 437

Statement Index 441

Subject Index 443

1
Nontriviality of Arithmetic Invariants

This chapter is an introductory and historical discussion of problems

concerning arithmetic invariants and L-values. Often a number-theoretic
object has an associated L-function. A number field has its Dedekind zeta
function, an algebraic variety has its Hasse–Weil zeta function, an auto-
morphic form/representation has its Langlands L-functions, and we have
L-functions associated with Galois representations, compatible systems of Ga-
lois representations and motives. Number theorists all agree that L-functions
and L-values are useful invariants for studying the object with number-
theoretic goals in mind. From L-functions, number theorists have created more
invariants, for example, λ- and μ-invariant from p-adic L-functions and the
L-invariant from exceptional zeros of p-adic L-functions.
An equally important invariant is the value of a modular form. An elliptic
modular form can be defined as a “function” of elliptic curves with additional
structure; so, it gives an invariant, giving a label to each elliptic curve. For
example, we have the J-invariant telling us the isomorphism class of each
elliptic curve over an algebraically closed field and Weierstrass’s g2 - and g3 -
functions, giving the coefficients of the canonical equation defining the curve
(and a differential on the curve). Often, special values of a modular form are
related to an L-value of the elliptic curve.
By the solution of Serre’s modulo p modularity conjecture by Khare and
Wintenberger (with some help from Kisin), we now know that each regu-
lar rank-2 compatible system of (odd) Galois representations with coefficient
field T appears as the system attached to an elliptic Hecke eigenform with
coefficient field T (a generalization of the Shimura–Taniyama conjecture; see
[KhW] II and [Kh2] Theorem 7.1). The original conjecture was proven earlier
by Wiles/Taylor et al. (e.g., [GME] Chap. 5). The coefficient field T , called
the Hecke field, is generated by the eigenvalues of Hecke operators. The eigen-
value itself is an arithmetic invariant. In the Hecke field, the eigenvalue ap of
the Hecke operator T (p) [or U (p)] is the trace of the p-Frobenius substitution
of the Galois representation of the motive. Thus, ap is again an important
arithmetic invariant, including the simple extension Q(ap ) ⊂ T .

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 1

in Mathematics, DOI 10.1007/978-1-4614-6657-4 1,
© Springer Science+Business Media New York 2013
2 1 Nontriviality of Arithmetic Invariants

In this book, we study many arithmetic invariants, particularly their

nontriviality [i.e., nonvanishing of invariant values and growth of the absolute
degree of the field Q(ap )]. We restate the geometric principle in the Preface:
If one wants to show algebraically the nonvanishing of some value, in practice,
the only way is to spread the value as a function (often an algebraic/polynomial
function or a power series) over a geometric object (say, an algebraic variety
that parameterizes the different values we study). If we could show the function
is nonconstant, there are not many zeros; thus, its specialization to the value
we want is often nonzero.
This is the main principle we follow in this book. This principle can also be
applied to the field Q(ap ), as we may regard ap as a function on the spectrum
Spec(h) of the “big” Hecke algebra h, and we study the growth of Q(ap ) over
Spec(h) (see Chap. 3).
The solution to nontriviality problems often finds striking applications;
for example, a result of Vatsal–Cornut [V3] is a key to the proof of the p-adic
Birch–Swinnerton-Dyer conjecture in [SU]. We are certain that our results will
also find important applications. Indeed, the anticyclotomic main conjecture
has been proven in almost all cases in [H06a] and [H09b] based on the nonva-
nishing modulo p of Hecke L-values in [H04b] and [H07a], exposed in Chap. 8
in this book, and the proof of cases of the full main conjecture of CM fields
appears imminent via results in Chaps. 8 and 9 and their generalization (see
[Hs1] and [Hs2]) and from the proof of the anticyclotomic cases [H06a] (see
[Hs3]).
In this introductory chapter, newcomers to number theory may encounter
terminology and symbols new to them, for example, the notion of “functor”
and the symbol Spec(A)(R). We suggest they just take the new notion as
explained briefly there and go through the chapter to learn the overall struc-
ture of the theory. These technical terminologies will be defined/explained in
full in later chapters, as indicated at each occurrence. Often in this book, our
argument is based on a fixed choice of a prime p for which we assume p > 2
in the statements (but often we give proofs assuming that p ≥ 5). In this
book, we assume a basic knowledge of algebraic number theory (including
class field theory in [BNT] and Iwasawa theory in [ICF]), Riemann/Dirichlet
L-functions as in [EDM] (or [LFE]) and classical theory of modular forms as
in [IAT] and [LFE]. If the reader is familiar with slightly more advanced al-
gebraic geometry (for example, as exposed in Chap. 1 of [GME]), it would be
easier to read through the heart of this book after Chap. 7, though we review
a substantial amount of algebro-geometric tools in Chap. 4.
We write Z for the ring of integers and Zl = limn Z/ln Z for the ring of
←−
l-adic integers with its l-adic topology (for a prime l). The letters A and R
often denote commutative rings with identity (hence, a Z-algebra), and A and
R could be “variables” running over the category of B-algebras (for a fixed
base ring B). See Sect. 4.1 for a formal definition of categories (though for the
first reading, it might be good not to care much about formal definitions).
 1.1 Arithmetic Invariants in Iwasawa Theory 3

1.1 Arithmetic Invariants in Iwasawa Theory

Here we give prototypical examples of our object of study: arithmetic
invariants. We consider the group scheme Gm (see Chap. 4 for a survey of
the theory of schemes and group schemes). For each commutative ring A,
we put Gm (A) = Homalg (Z[t, t−1 ], A) (the set of all ring homomorphisms
from Z[t, t−1 ] into A), which is canonically isomorphic to A× by sending
an algebra homomorphism φ : Z[t, t−1 ] → A to its value φ(t) ∈ A× . Here
Z[t] is the polynomial ring of one variable t with integer coefficients, and
Z[t, t−1 ] = n t−n Z[t] (the ring of fractions t inverted). Thus, we may regard
Gm as a functor from the category of commutative algebras to the category of
groups sending each algebra A to its multiplicative group A× . See Sect. 4.1.2
for categories and Sect. 4.1.3 for a precise definition of functors.
If the reader is not familiar with group schemes, for the moment, just take
Gm to be an association A → Gm (A) = A× for any commutative ring A. Each
algebra homomorphism φ : A → A automatically induces the homomorphism
×
of groups A× = Gm (A)  a → φ(a) ∈ Gm (A ) = A without changing the
direction of the arrow. We call a covariant functor such an association keeping
the direction of the arrows. This type of functor is called a “group” functor
(as it has values in the category of groups), and if such a group functor is
defined in purely an algebraic fashion, such as Gm , it has a lot of structure
useful for answering number-theoretic questions.
Since the ring Z[t, t−1 ] defines Gm , we write Gm = Spec(Z[t, t−1 ]) and
Spec(Z[t, t−1 )(A) := Homalg (Z[t, t−1 ], A) = Gm (A) (see Sect. 4.1.4 for the
spectrum of rings). We also denote OGm = Z[t, t−1 ], which is called the affine
ring of Gm . Similarly, we could consider Ga (A) = Homalg (Z[T ], A) ∼ = A by
(φ : Z[T ] → A) → φ(T ) ∈ A, which is again a covariant group functor
(sending a ring A to its additive group). Each element φ(t) ∈ OGm induces a
function Gm (A)  a → φ(a) = φ(t)|t=a ∈ A = Ga (A); hence, we may regard
φ : Gm → Ga as a morphism of functors (and hence a morphism of schemes;
see Lemma 4.17).
Here is another example of group functors: Fix a base ring B (for Gm , we
have taken B to be the ring of integers Z). For a positive integer N > 1, let
μN be the group of N th power roots of unity; so, for any B-algebra A, we
can think of μN (A) = {ζ ∈ A|ζ N = 1}, which is again canonically a group (a
multiplicative group). This association of a group μN (A) to a p-adic B-algebra
A is a functor; thus, μN is a group functor from  the category of B-algebras
to groups. For a prime p, we write μp∞ (A) = n μpn (A), which is again a
group functor from the category of B-algebras to groups. Note that μN is the
kernel of x → xN in Gm/B (in aggregate indexed by B-algebras A). Clearly,
μN (A) ∼ = Homalg (Z[t]/(tN −1), A) by sending t to the image of t by an algebra
homomorphism Z[t]/(tN − 1) → A. Here Z[t]/(tN − 1) is the residue ring Z[t]
modulo the principal ideal (tN − 1). In this sense, μN = Spec(Z[t]/(tN − 1)),
and OμN = Z[t]/(tN − 1). Abusing the language, we often write Q(μN ) for
the subfield of C generated by all N th roots of unity.
4 1 Nontriviality of Arithmetic Invariants

1.1.1 Iwasawa Invariant

Let p and l be primes. Studying the p-primary part pen of the “minus” part
h−
n of the class number hn of the cyclotomic field Q(μln ) is a classic problem.
When p = l, there is a formula by Iwasawa (cf. [ICF] Theorem 7.14):

en = λn + μpn + ν for three integers λ, μ, and ν.

In 1979, Ferrero and Washington proved a conjecture of Iwasawa, asserting

μ = 0 ([FW] and [ICF] Chap. 7).
The Kubota–Leopoldt p-adic L-function Lp (s, χ) for each nontrivial char-
×
acter χ : (Z/pZ)× /{±1} → Qp was originally defined as a continuous function
of s ∈ Zp interpolating Dirichlet L-values in the following sense:

Lp (1 − k, χω k ) = (1 − χω k (p)pk−1 )L(1 − k, χω k )

for all positive integers k. Iwasawa showed this function to be analytic of the
form Lp (s, χ) = Φχ (γ s −1) for a power series Φχ (T )
∈ Zp [[T ]], where γ = 1+p
∞  
(p > 2)  and (1 + p)s is given by the p-adic limit n=0 ns pn . The product
Φ(T ) = χ=1;χ(−1)=1 Φχ (T ) can be decomposed into pm φ(T ) in Zp [[T ]] with
p  φ(T ). By Weierstrass’s preparation theorem, φ(T ) has finitely many zeros
αj inQp with multiplicity mj . By the class number formula, we conclude
λ = j mj and μ = m. See [EDM] Sect. 5 and [ICF] for more details.
Once a p-adic L-function s → Lp (γ s − 1) for a power series Lp (T ) in-
terpolating good L-values is given, we may ask what the μ-invariant and
λ-invariant of the power series Lp (T ) ∈ W [[T ]] are. Here we allow a more
general coefficient ring W , which is a complete discrete valuation ring over
Zp . In this book, we study the vanishing of the μ-invariant for some p-adic
L-functions [other than Lp (s, χ)]. The vanishing of Iwasawa’s μ-invariant is
nonvanishing modulo pZp [[T ]] of Φ(T ); thus, this is a nontriviality problem
for Φ(T ) modulo p.
When p = l, in 1978, Washington ([Ws]) proved that en is bounded inde-
pendently of n. The proof in the two cases p = l and p = l are philosophically
close, although technically there is a difference. Washington achieved this by
showing that Dirichlet L-values L(0, χ) do not vanish modulo p for almost
all odd Dirichlet characters χ of the l-power conductor. A new proof of these
facts later given by Sinnott [Sn1] and [Sn2] in the mid-1980s was found more
amenable to generalization. In Sect. 1.2, we describe an “automorphic” version
of the proof of Sinnott in the case of p = l.
In Chaps. 2 and 6, we recall the moduli theory of elliptic curves and the
theory of modular curves. Then in Sect. 1.3 in this chapter and Sect. 3.5 in
Chap. 3, and in Chaps. 8 and 9, we will discuss how to generalize the argument
applied to Dirichlet L-values to Hecke L-values of imaginary quadratic fields
and to more general L-values via the moduli theory. We fix an odd prime p
and denote by l another odd prime different from p.
 1.1 Arithmetic Invariants in Iwasawa Theory 5

1.1.2 L-Invariant

We describe the L-invariant. We start with a brief definition of compatible

systems of l-adic Galois representations with coefficients in a number field
T ⊂ Q (see [ALR] I.2.3–4 and [GME] Sect. 4.1.7 for some more details), where
Q ⊂ C is the field of all algebraic numbers inside the complex field C. Write
O = OT for the integer ring of T (the integral closure of Z in T ). For a prime
ideal l of O, we define Ol = limn O/ln by the l-adic completion of O. Its field
←−
of fractions (i.e., the l-adic field) is denoted by Tl .
A system ρ := {ρl }l of Galois representations is a collection of represen-
tations ρl : Gal(Q/Q) → GLd (Tl ) acting on V = Tld indexed by primes l
of T . The field T is called the coefficient field of ρ. Write l(l) for the resid-
ual characteristic of l and F robq for the Frobenius element at a prime q. Let
Eq (X) = det(1 − ρl (F robq )|VI q
X) (l(l) = q), where VIq is the space of coin-
variants defined by VIq = V /( σ∈Iq (ρl (σ) − 1)V ) (the maximal quotient on
which the inertia subgroup Iq acts trivially). Here we write ρl (F robq )|VIq for
the action of the Frobenius element induced on the space of coinvariants. By
a compatible system ρ, we mean:
1. Each ρl : Gal(Q/Q) → GLd (Tl) is continuous semisimple and unramified
outside S ∪ {l(l), ∞} for a fixed finite set S of primes, where a represen-
tation of Gal(Q/Q) is unramified at a prime p (resp., at ∞) if an inertia
subgroup Ip at p (resp., complex conjugation) is in the kernel of the rep-
resentation [see Sect. 4.2.1 for the topology of Gal(Q/Q)].
2. The Frobenius characteristic polynomial Eq (X) has coefficients in T and
is independent of l  q.
This definition extends to a system of representations of Gal(Q/F ) for a num-
ber field F in an obvious manner.
We suppose that ρ is geometric (here, in an imprecise sense, just meaning
that it comes from algebro-geometric objects somehow). For example, taking
the group of all l-power roots of unity μl∞ inside Q, we have the l-adic cyclo-
tomic character Nl : Gal(Q/Q) → Q× σ
l given by ζ = ζ
Nl (σ)
for all ζ ∈ μl∞ (Q).
Since Q(μl∞ ) = Q(ζ|ζ ∈ μl∞ (Q)) is unramified at any prime different from l,
Nl is unramified at p = l; hence, S = ∅. By taking a prime P above (p) of the
integer ring Z[μl∞ ] of Q(μl∞ ), reduction modulo P: ζ → (ζ mod P) embeds
μl∞ into F× for the residue field F of P, and the (arithmetic) Frobenius ele-
ment F robp ∈ Gal(F/Fp ) acts on F by x → xp ; hence, Nl (F robp ) = p. Thus,
N := {Nl }l is a compatible system of Galois characters (with coefficients
in Q). By class field theory, it is not too difficult to show
Exercise 1.1 Any compatible system of characters of Gal(Q/Q) is of the
form χN w := {χ · Nlw }l for a finite order character χ : Gal(Q/Q) → Q[χ]×
and an integer w, where Q[χ] is the field generated over Q by the values of χ.
Since det(ρ) is a compatible system of Galois characters, it is equal to N w
for an integer w up to finite order characters. The integer w is called the weight
6 1 Nontriviality of Arithmetic Invariants

of ρ. By Eichler–Shimura, Deligne, and Serre, any Hecke eigen cusp form f

of weight k has an associated compatible system ρf of absolutely irreducible
two-dimensional Galois representations whose Frobenius polynomial at p is
given by the Hecke polynomial of f , that is, X 2 − ap X + ψ(p)pk−1 for the
T (p) eigenvalue ap and the Neben character ψ of f (see [GME] Chap. 4); thus,
the weight of ρf is k − 1.
We fix a prime p > 2 and write | · |p for the p-adic absolute value on Q nor-
malized so that |p|p = 1p . Then Cp is the completion of Q under | · |p . The field
Cp is algebraically closed (e.g., [NAA] Sect. 3.4.1). We write Qp for the field
of all numbers in Cp algebraic over Qp . We write p = {ξ ∈ OT : |ξ|p < 1} and
often write W := OT,p and K = Tp . If confusion is unlikely, we simply write
ρ for ρp , which acts on V = Tpd. If we admit a conjectural principle that any
geometric p-adic Galois representation fits into a compatible system (a version
of the conjecture of Fontaine–Mazur), we could have started with a geometric
p-adic representation without introducing compatible systems (though the use
of a compatible system is more elementary at this stage).
In this section, we assume that ρp is irreducible and ordinary in the fol-
lowing sense: ρ restricted to Gal(Qp /Qp ) is upper triangular with diagonal
characters N aj on the inertia Ip for the p-adic cyclotomic character N or-
dered from top to bottom as a1 ≥ a2 ≥ · · · ≥ 0 ≥ · · · ≥ ad . Thus,
⎛ a1 ⎞
N ∗ ··· ∗
0 N a2 ··· ∗
ρ|Ip = ⎝ .. .. . . .. ⎠ .
. . . .a
0 0 ··· N d

In other words, we have a decreasing filtration F i+1 V ⊂ F i V stable under

Gal(Qp /Qp ) such that the Tate twists gri (ρ)(−i) := (F i V /F i+1 V )(−i) are
unramified. Here for a p-adic Galois module M/Qp , the jth Tate twist M (j) has
the same underlying space, but the new twisted action is given by N j (σ)σv
for the original action v → σv. Define, following Greenberg in [Gr],

 
d
Hp (X) = det(1 − F robp |gri (ρ)(−i) pi X) = (1 − αj X).
i j=1

It is believed to have the identity Ep (X) = Hp (X) if p ∈ S and Ep (X)|Hp (X)

otherwise. In any case, ordp (αj ) ∈ Z. Let us define

βj = αj if ordp (αj ) ≥ 1, and βj = pα−1

j if ordp (αj ) ≤ 0,

and set e = |{j|βj = p}|. Then we define modification factors (which is con-
jectured to appear in front of the complex L-values divided by a period in the
evaluation formula of the conjectural p-adic L-function of ρ) by


d 
d
E(ρ) = (1 − βj p−1 ) and E + (ρ) = (1 − βj p−1 ).
j=1 j=1,βj =p
 1.1 Arithmetic Invariants in Iwasawa Theory 7

The number e is the number of the vanishing factors (1 − βj p−1 ), and e > 0
if ρ has eigenvalue 1 for the Frobenius  element F robp at p. The complex
L-function of ρ is defined by L(s, ρ) = l El (l−s )−1 .
The L-function L(s, ρ) is conjectured to have a meromorphic continuation
to the whole complex plane, and if ρl does not have a subquotient isomorphic
to a power Nlk ((l) = l ∩ Z) for an integer k, the continuation must be analytic
everywhere. Moreover, we have a well-defined Γ -factor Γρ (s) (a product of
specific translates of Γ -functions; e.g., [HMI] Sect. 1.2.1) and a constant ε with
complex absolute value 1; they are supposed to satisfy a functional equation
of the form Γρ (w + 1 − s)L(s, ρ̃) = εN −s Γρ (s)L(s, ρ), where N is a positive
integer called the conductor of ρ and ρ̃ = tρ−1 .
We assume that ρ (that is, each ρl ) does not contain N k as a subquotient.
An integer m is called critical for ρ if Γρ (w + 1 − s) and Γρ (s) are both
finite at s = m. We assume that the value at 1 is critical for L(s, ρ) (this
condition should follow from the condition a1 > 0 ≥ ad conjecturally). Assume
that the compatible system comes in an algebraic way as a factor of the
étale cohomology of an algebraic variety (after twisting by the cyclotomic
character). As conjectured by Deligne [D6] after the earlier discovery of the
rationality/algebraicity of many automorphic L-values by Shimura in [Sh6],
[Sh7], [Sh8] and [Sh9]; see Sect. 8.1 in the text and [HMI] Sect. 1.2.1), we
×
expect to have L(1,ρ⊗ε)
c+ (ρ(1)) ∈ Q for a well-defined period c (ρ(1)) ∈ C
+
for
all finite order characters ε : Z× ×
p → μp∞ (Q). Let γ = 1 + p ∈ Zp so that
Zp
1 + pZp = γ . Then we should have the following (cf. [MzTT] and [Gr]):
Conjecture 1.2 Suppose that s = 1 is critical for ρ. Then there exist a power
series Φan (X) ∈ W [[X]] and a p-adic L-function Lan an 1−s
p (s, ρ) = Φρ (γ − 1)
interpolating L(1, ρ ⊗ ε) for p-power order characters ε such that

L(1, ρ ⊗ ε)
ρ (ε(γ) − 1) ∼ E(ρ ⊗ ε)
Φan
c+ (ρ(1))

with the modifying p-factor E(ρ) as above [putting E(ρ ⊗ ε) = 1 if ε = 1].

The L-function Lanp (s, ρ) has zero of order e + ords=1 L(s, ρ) for a nonzero
constant Lan (ρ) ∈ C×
p (called the analytic L-invariant); we have

Lan
p (s, ρ) L(1, ρ)
lim = Lan (ρ)E + (ρ) + ,
s→1 (s − 1)e c (ρ(1))

where “lims→1 ” is the p-adic limit, c+ (ρ(1)) is the transcendental factor of

the critical complex L-value L(1, ρ), and E + (ρ) is the product of nonvanishing
modifying p-factors. If e = 0, we have E + (ρ) = E(ρ) and Lan (ρ) = 1.
There is some ambiguity in the conjecture. We need to divide L(1, ρ ⊗ ε) by
c+ (ρ(1) ⊗ ε) to get equality in place of ∼. Though the definition of c+ (ρ(1))
is precise only up to nonzero numbers in T , the ratio c+ (ρ(1) ⊗ ε)/c+ (ρ(1))
can be explicitly determined as a power of the Gauss sum of ε−1 (see [HMI]
8 1 Nontriviality of Arithmetic Invariants

Sect. 1.2.1, [D6] and [H94]). To avoid technical details of identifying the ratio,
we just left it ambiguous, inserting “∼” in place of “=.” Thus, once c+ (ρ(1))
is fixed, the power series Φanρ is uniquely determined.
When Katz constructed his p-adic Hecke L-functions in [K2], as we will
see later, he astutely avoided this ambiguity of choosing c+ (ρ(1)) when ρ is an
induced representation of a Hecke character of a CM field, and conjecturally
his trick should also apply to general ρ (see [SGL] for some idea of how to
make the p-adic L-function unique). In any case, Φan ρ is unique up to nonzero
constant in T ; thus, the above conjecture determines Lan (ρ) uniquely.
When e > 0, by our definition of E, we find E(ρ) = 0; so, by the above
interpolation formula, we have Lan p (1, ρ) = 0; hence, in such a case, we say
that Lan
p (s, ρ) has an exceptional zero at s = 1. The exceptional zero appears
if ρ(F robp ) has eigenvalue 1, and the number e is the multiplicity of the
eigenvalue 1. Since e linear factors of E(ρ) vanish, we “naively” guessed that
the order of zero at s = 1 is actually e, though each of these factors cannot be
regarded as a special value at s = 1 of any analytic function dividing Lp (as
the power function n → pn for integers n cannot be interpolated p-adically).
×
Example 1.3 Start with a Dirichlet character
√ χ : (Z/N Z) → Q with
χ(−1) = −1. Then c(ρ

+
(1))
 = 2πi for i = −1 (as known from Euler’s time).
If we suppose χ = −D· for a square-free positive
integer
 D, the modifying
−D
factor vanishes at s = 1 if the Legendre symbol p equals 1 (⇔ (p) = pp
in OQ[ −D] with p = {x ∈ OQ[ −D] : |x|p < 1}). By a work of Kubota–
√ √

Leopoldt and Iwasawa (e.g., [LFE] Chaps. 3 and 4), we have a p-adic analytic
L-function Lan an 1−s
p (s, χ) = Φ (γ −1) for a power series Φan (X) ∈ Λ = W [[X]]
and γ = 1 + p such that for E(χN m ) = (1 − χ(p)pm−1 )
L(m, χ)
Lan an 1−m
p (m, χ) = Φ (γ − 1) = E(χN m )L(1 − m, χ) ∼ E(χN m )
(2πi)m
for all positive integers m as long as |nm − n|p < 1 for all n prime to p.
If we have an exceptional zero at 1, it appears that we lose the exact con-
nection of the p-adic L-value and the corresponding complex L-value. How-
ever, the conjecture says we can recover the complex L-value via an appro-
priate derivative of the p-adic L-function up to the factor Lan (χ). We may
χ
regard χ as a Galois character Gal(Q[μN ]/Q) = (Z/N Z)× − → {±1}, and we
have the exceptional zero if χ(F robp ) = 1. √
For our later use, for the class number h of Q[ −D], we write the generator
√
of ph as ; hence, ph = () for  ∈ Q[ −D]. We then define logp (p) =
1 1
h logp () and logp (p) = h logp (). Here logp is the Iwasawa logarithm, which

is an analytic function defined by the power series t → ∞
n
n+1 (t−1)
n=1 (−1) n
on the open disk of radius 1 centered at 1 extended to the entire C× p by
logp (pα ) = 0 for all α ∈ Q. Thus, we have 0 = logp () = logp () + logp (),
and hence logp (p) = − logp (p). This number shows up as a factor of the L-
invariant for Lp (s, χ).
 1.1 Arithmetic Invariants in Iwasawa Theory 9

Assuming p > 2, we put x = p expp (p logp (x)) for x ∈ C×
p (which is
the p-torsion-free projection of x). Here expp is the p-adic exponential map,
√ ∞ 1/p
n=0 n (t − 1) , which is
n
which is convergent at p logp (x), and p t =
again convergent at t = expp (p logp (x)) (see [LFE] Sect. 1.3). We have another
example studied in [MzTT]:
Example 1.4 If ρp is ordinary semistable, we can formulate a conjecture
similarly. Here is such an example. Start with a rational elliptic curve E/Q ,
which yields a compatible system ρE := {Tl E}l given by the l-adic Tate mod-
ule Tl E = limn E[ln ](Q) for E[ln ] = {x ∈ E(Q)|ln x = 0E } (see Sect. 6.2.2).
←−
Suppose that E mod p removed singular points is isomorphic to Gm/Fp (so,
p ∈ S). Then
Hp (X) = (1 − X)(1 − pX), Ep (X) = (1 − X), E(ρE ) = 0 and E + (ρ) = 1.
By the solution of the Shimura–Taniyama conjecture ∞by Wiles (see [GME]
exists an elliptic cusp form f = n=1 a(n, f )q n of weight
Sect. 5.2.4), there 
∞
2 with L(s, f ) = n=1 a(n, f )n−s = L(s, E). This L-function has a p-adic
an
analog Lp (s, E) constructed by Mazur (see [LFE] Sect. 6.5). There exists
−1
G(ε )L(1,E,ε)
E (X) ∈ Λ such that ΦE (ε(γ) − 1) = E(ρE ⊗ ε)
Φan an
ΩE for all p-
×
power order characters ε : Zp → μp (Qp ); in other words, Lp (s, E) =
∞
an

Φan
E (γ
1−s
− 1). Here ΩE is a period of the nowhere vanishing differential of
E (see Sect. 2.1.2 for differentials over a field and Corollary 2.33 in Sect. 2.2.1
for nowhere vanishing differentials; see also Sect. 6.1.4). Thus, if F robp has
eigenvalue 1 on Tl E, the exceptional zero appears at s = 1, as in the case
of Dirichlet character. The F robp has eigenvalue 1 if and only if E has split
multiplicative reduction mod p.
The problem of L-invariant is to compute explicitly the L-invariant Lan (ρ)
without recourse to the p-adic L-function. The L-invariant in the above
examples was computed in the 1970s through 1990s, i.e., the cases where
ρ = χ = −D · and ρ = ρE for E with split multiplicative reduction. The
results are as follows:
Theorem 1.5 Let the notation and the assumption be as given above.
logp (q) logp (q)
1. We have Lan (χ) = = − for q ∈ Cp given by q = /
h
ordp (q) h
√
(p = (), p = ()) and the class number h of Q[ −D].
h

2. For E split multiplicative at p, writing E(Cp ) = C× Z

p /q for the Tate period
logp (q)
q ∈ Q×
p , we have L (ρE ) =
an
ordp (q) .
See Sect. 2.4.2 for a description of Tate curves and the Tate period.
The first assertion is due to Gross–Koblitz [GsK] and Ferrero–Greenberg
[FG]; the second was conjectured by Mazur–Tate–Teitelbaum [MzTT] and
later proven first by Greenberg–Stevens [GS] and additionally by others later
on. In Sect. 3.4.2, we give a brief description of Greenberg–Stevens’ argument.
log (q)
In the theorem’s first formula theorem, the sign “−” of − hp is correct, as
10 1 Nontriviality of Arithmetic Invariants

explained in [Gr] (10) (and if we evaluate the value at s = 0, the minus sign
disappears, as in [FG]).
Example 1.6 Starting with an ordinary p-adic Galois representation ρ :
Gal(Q/Q) → GLd (W ), there is a systematic way to create many Galois rep-
resentations whose eigenvalues of F robp contain 1. Indeed, let ρ act on the
d × d matrices Md (W ) by conjugation. We have

Md (W ) = sld (W ) ⊕ {scalar matrices}

for the trace 0 space sld (W ), which is stable under the conjugation. We write
Ad(ρ) for this Galois representation sld (W )  x → ρ(σ)xρ(σ)−1 ∈ sld (W ).
Then the action of Ad(ρ)(F robp ) on sld (W ) has eigenvalue 1 with multiplicity
≥ d−1. However, it is easy to check that the system Ad(ρ) is often not critical
if d > 2 even if we start with geometric ρ. Thus, in this book, we study the
case where d = 2. Take a representation ρF : Gal(Q/F ) → GL2 (W ) associated
with a p-ordinary Hilbert–Hecke eigenform of “weight ≥ 2” (i.e., belonging to a
discrete series at ∞) over a totally real field F . We make Ad(ρF ) and consider
the induced representation ρQ = IndQ F Ad(ρF ) : Gal(Q/Q) → GLn (W ) for
n = 2[F : Q]. Then ρQ (F robp ) has eigenvalue 1 with multiplicity e > 0. Here
the number e is the number of prime factors of p in F . The system ρQ is
critical at s = 1. The L-invariant of ρQ is studied in [HMI] Sect. 3.4.

Returning to Q with d = 2, there could be two ways to find geometric

objects parameterizing Ad(ρ). For example, each elliptic curve E defined over
number fields F gives rise to a two-dimensional p-adic Galois representation
ρE : Gal(Q/F ) → GL2 (Zp ); so E → L(Ad(ρE )) could be considered as a
function defined over the moduli space of elliptic curves (the modular curve).
What is this function, a modular object? This point is interesting but has
not yet been exploited to produce concrete results. In any case, the study
of the moduli space is important, as we know by experience (as we see later
in this book). Another way is to consider the universal Galois deformation
space S of a given two-dimensional representation ρ : Gal(Q/Q) → GL2 (Qp );
hence, for each point P ∈ S, we have a two-dimensional representation ρP :
Gal(Q/Q) → GL2 (κ(P )) for the coefficient field κ(P ). Then P → L(Ad(ρP ))
is again a function on S. We study this path in Sect. 3.4.

1.2 Dirichlet L-Values

As another introductory example, we describe a way of showing the nonvan-
ishing of Dirichlet L-values modulo p for most character twists. As was known
from the days of Euler (see [EDM] Chap. II and [LFE] Preface), Dirichlet L-
values can be obtained as an explicit sum of special values of a rational func-
tion Φ(t) = P (t)
Q(t) with P (t), Q(t) ∈ Z[t] at a certain set Ξ of roots of unity.
 1.2 Dirichlet L-Values 11

Regarding Φ(t) as a function defined on the multiplicative group Gm , the idea

(of Sinnott) is to regard the function Φ(t) as the spread-out object of the
L-values over Gm (and a product of copies of Gm ). By the explicit formula,
Φ(t) has a Laurent expansion of t nontrivial modulo p. On the other hand,
we want to prove that the vanishing of most L-values modulo p implies the
vanishing of Φ all over Ξ. If Ξ is a big set (for example, a dense set under a
good topology), we may conclude that Φ modulo p must be zero, which is a
contradiction against the nontriviality of the Laurent expansion.

1.2.1 A Nonvanishing Result for Dirichlet L-Values

Recall the group scheme Gm = Spec(Z[t, t−1 ]) as a covariant functor from the
category of commutative rings (i.e., Z-algebras) into the category of groups.
We take it as a functor from commutative Z-algebras into the category of
abelian groups sending an algebra A to its multiplicative group. We have
another functor Ga sending A to the additive group A. We may identify
Ga (A) with the set of algebra homomorphisms from a polynomial ring Z[T ]
into A by sending ϕ ∈ Homalg (Z[T ], A) to its value ϕ(T ). In this sense, we
can write Ga = Spec(Z[T ]) and OGa = Z[T ].
Each Laurent polynomial φ(t) ∈ OGm := Z[t, t−1 ] (the affine ring of the
scheme Gm ) can be considered to be a function Gm (A) = A×  a → φ(a) ∈
A = Ga (A). Thus, we may regard φ : Gm → Ga as a morphism of functors.
P (t)
Abusing the language, for any fraction φ(t) = Q(t) with P (t), Q(t) ∈ Z[t], we
regard φ : Gm → Ga , although the map is not well defined at a zero z of the
P (t)
denominator Q(t) [i.e., if Q(z) = 0]. If we can write φ(t) = Q(t) with Q(z) = 0
and P (z) = 0, we just simply put φ(z) = ∞ (and call z a pole of φ). Such a
function φ(t) is called a rational function of Gm . Let Q(t) for the field of all
rational functions on Gm , and define the stalk at 1 ∈ Gm (Fp ) by
 
P (t) 
OGm ,1 = φ(t) = ∈ Q(t)P (t), Q(t) ∈ Z[t], Q(1) ≡ 0 mod pZ(p) ,
Q(t)
  
where Z(p) = ab a, b ∈ Z, p  b . The ring Z(p) is a local ring (or more
specifically, a discrete valuation ring) with maximal ideal pZ(p) . Note that
OGm ,1 is the localization of the ring OGm at maximal ideal (p, t − 1); so
OGm ,1 = Z[t, t−1 ](p,t−1) (see [CRT] Sect. 4 for localization of rings).
Set 1 < N ∈ Z prime to p. We fix a Dirichlet character λ of (Z/N Z)×
i∞ ip
with λ(−1) = −1 and two embeddings C ← Q → Qp . We regard λ as having
values in any of the three fields. Consider a rational function:
∞
 N
λ(a)ta
Φ(t) = Φλ (t) = n
λ(n)t = a=1
∈ Z[t, t−1 ](p,t−1) = OGm ,1 ,
n=1
1 − tN
12 1 Nontriviality of Arithmetic Invariants

where OGm ,1 is the stalk at the closed point (p, t − 1). Since the numerator
N
a=1 λ(a)t is divisible by (t − 1), the rational function Φ is finite at t = 1.
a

Euler discovered in 1735 (a special case of) the following formula:

Φ(1) = L(0, λ). (1.2.1)

This is well known (see [EDM] Chap. II or [LFE] Sect. 2.1):

Exercise 1.7 Using (1.2.1), prove that L(0, λ) is a p-adic integer in the ring
Zp [λ] generated by the values of λ (as long as N > 1 is prime to p).
Writing P for the maximal ideal of the p-adic valuation ring of Qp , the theorem
of Washington [Ws] mentioned earlier can be stated as follows:
Theorem 1.8 Let l be a prime different from p. We have L(0, λχ) ≡ 0
mod P for almost all characters χ : Zl × → μl∞ .
Here “almost all” implies “except for finitely many.” By Kummer’s class num-
ber formula (e.g., [EDM] Sect. 5 or [ICF] Theorem 4.17), writing h+ n for the
class number of the maximal real field of Q(μln ) and h− +
n hn for the class num-
ber of Q(μln ), we have
  
− 1
hn = 2l n
− L(0, χ) .
n
2
χ mod l :χ(−1)=−1

Then the boundedness of the p-primary part of h− n is clear from the theorem,
−
and that of hn = h+ h
n n follows from this; see [ICF] Theorem 5.34 (an analytic
proof) or [ICF] Theorem 10.9 (an algebraic proof via Kummer theory).
Write C(Zl , A) for the space of all continuous functions on the ring of l-
adic integers Zl with values in A. Continuity is with respect to the l-adic
profinite topology on Zl . Often we equip A with the discrete topology; hence,
φ ∈ C(Zl , A) is a function factoring through Z/ln Z for sufficiently large n.
Our automorphic proof of this theorem has the following steps.
(Step1) Hecke operators: We introduce a Hecke operator U (l) acting on ratio-
nal functions on Gm/Fp and functions on μl∞ . For any given algebraic
group, we can define Hecke operators as was first done by Mordell
and Hecke for GL(2)/Q . These operators are very useful in character-
izing algebraic/rational functions on the group and often have strong
integrality properties. Because of the use of such operators, we call
our method of the proof “automorphic.”
(Step2) Measure associated with Hecke eigenforms: Choose a sequence of
d
generators ζN in μN so that ζN = ζN/d for 0 < d|N (to make
 
things simple, we choose ζN = exp 2πi N ). Fix an isomorphism
Zl ∼= Zl (1) = ←limn μln given by μln  ζlan ↔ a ∈ Z/ln Z. For a
− ×
Hecke eigenform f |U (l) = af with unit eigenvalue a ∈ Fp , step 2

is the construction of a measure df on Z× l with a+ln Zl df  f (ζln )
a
 1.2 Dirichlet L-Values 13

for the image ζlan of ζ a in μln . Here we note that Φ is a Hecke eigen-
form and that we will take f = Φ. Such a construction was given for
elliptic Hecke eigenforms in [Mz1] when l = p (see [LFE] Sect. 4.4 for
a version for p-adic Dirichlet L-functions), but we do this here for
rational functions on Gm and l = p. Here a measure μ on Zl with
values in Fp is an Fp -linear functional defined on the space C(Zl ; Fp )
of continuous functions: Zl → Fp . Thus,  μ : C(Zl ; Fp ) → Fp is an
Fp -linear map. We often write μ(φ) = Zl φdμ.
×
(Step3) Evaluation formula: For a character χ : Γ = Z×l /μl−1 → Fp , we
prove
  
L(0, λχ−1 )  χdΦ = χdΨ for Ψ (ζ) = Φ(ζ ε ).
Z×
l Γ ε∈μl−1

(Step4) Zariski density: Consider Ψ as induced from the rational function

  −1
 μl−1 /{±1}
Ψ̃ (tε ) = ε∈μl−1 /{±1} Φ(tε ) + Φ(tε ) on G = Gm (the
product of copies of Gm indexed by ε ∈ μl−1 /{±1}) by pullback
under the embedding i : μl∞ → G given by ζ → (ζ ε )ε ∈ G. The
Zariski density of i(μl∞ ) in a big subvariety in G—if Z× χdμΦ = 0
l

for infinitely many characters—implies the constancy of Ψ̃ and hence

that of Φ (a contradiction). For example, if l = 7, we have {1, ω, ω 2} =
μ3 ∼= μ6 /{±1}, and 1 + ω + ω 2 = 0 gives a relation tω2 tω t1 = 1; so the
big subvariety is the one defined by tω2 tω t1 = 1. The Zariski density
is an essential input from Sinnott [Sn2].

We are going to describe each step separately in the following subsections.

1.2.2 Hecke Operators for Gm

Slightly more generally, we start with Gm over a p-adic integral local domain
B whose quotient field is K. This means that we regard the functor Gm as
defined over the category of B-algebras (changing the base ring appears to be a
trivial maneuver but has a strong impact on the structure of the corresponding
scheme; see Sect. 4.1).
Take an algebraic closure K of K. We suppose that a prime l is invertible
in B and μl∞ (K) ⊂ B (that is, all l-power roots of unity in K are contained
in B). Fix a prime l prime to the characteristic of K. Let K(Gm ) = K(t) be
the rational function field of Gm = Spec(B[t, t−1 ]) [i.e., K(t) is made up of
P (t)
Q(t) for all polynomials 0 = Q(t), P (t) ∈ B[t]]. Define a linear operator U (l)
acting on rational functions φ ∈ K(t) on Gm by
1 
φ|U (l)(t) = φ(ζt1/l ). (U)
l
ζ∈μl

We call this operator the Hecke operator of the prime l.

14 1 Nontriviality of Arithmetic Invariants

The Hecke operator has the following geometric interpretation: We have

the l-power group homomorphism [l] : Gm → Gm given by x → xl . The
map [l] is actually an endomorphism of the functor Gm . In this sense, it is
essentially surjective (Gm is a divisible group under fppf topology over B in
the geometric √ terminology in Sect. 4.1.10), as s ∈ Gm (A) is in the image of [l]
from Gm (A[ l a]). Its kernel is the group μl of lth roots of unity whose affine
ring is a smaller ring B[t]/(tl − 1) free of finite rank l over B (we call the rank
l the order of μl ; so μl has finite “order” l).
For the moment, take B to be a field K. Then the affine ring K[t, t−1 ] of
Gm/K has infinite dimension as a K-vector space and has Krull dimension 1
as a ring, hence far bigger than the affine ring K[t]/(tl − 1) of μN/K which
has dimension l as K-vector space and Krull dimension 0 as a ring. In this
sense, μN is “small” (see [CRT] Sect. 5 for Krull dimension).
Return to a general base ring B. Since [l] is essentially surjective with
small “finite” kernel, we call [l] an isogeny. We will see later that [l] is an étale
isogeny if l is invertible in B (see Sect. 4.1.4 for the exact notion of étale map,
but here “étale” basically means that for any maximal ideal m of B, B/m[μl ]
is a separable extension of B/m; see [CRT] Sect. 26 for separability). Then
taking t to be the variable on the target Gm , we have t1/l in the source Gm .
Then φ ◦ [l]−1 = φ(t1/l ) is an element of the function field of the source Gm ,
which is a degree-l Kummer extension of the function field of the target Gm .
Exercise 1.9 Assume that B is a field K of characteristic different from l.
Prove that {ζt1/l }ζ∈μl is the full set of all conjugates of t1/l in the degree-l
extension K[t, t−1 ][t1/l ] of K[t, t−1 ] inside an algebraically closed field con-
taining K[t, t−1 ].

The sum ζ∈μl φ(ζt1/l ) is an element in the function field K(t) of the
target Gm . Thus, the above operator U (l) acts on the function fields of Gm .
2
Since [l] ◦ [l] = [l2 ] : Gm → Gm gives x → xl , we can define U (l2 ) using [l2 ]
in place of [l]. In other words,
1  2
φ|U (l2 )(t) = φ(ζt1/l ).
l2
ζ∈μl2

Then we have U (l2 ) = U (l)2 . Similarly, we may define U (ln ), which is equal
to U (l)n . 
Expand φ into a Laurent series n
−∞ a(n, φ)tn . Then we have
1  
φ|U (l)(t) = ζ n tn/l = a(nl, φ)tn ,
n
l n
ζ∈μl

because 
 0 if l  n,
ζn =
ζ∈μl
l if l|n.
 1.2 Dirichlet L-Values 15

This shows a(n, φ|U (l)) = a(nl, φ); in particular,

a(n, Φ|U (l)) = a(nl, Φ) = λ(ln) = λ(l)λ(n) = λ(l)a(n, Φ). (UL)
From this, we conclude Φ|U (l) = λ(l)Φ. Assume 1p ∈ B. As long as K contains
all N th roots of unity (for example, K = B = Fp ), regarding Φ ∈ K(Gm ), Φ
is a Hecke eigenfunction in the stalk of OGm at 1 ∈ Gm given by
P (t)
OGm ,1/B = {φ = ∈ K(Gm )|P (t), Q(t) ∈ B[t] and Q(1) ≡ 0 mod p}.
Q(t)

1.2.3 Measure Associated with a U (l)-Eigenfunction

We start with a brief description of measure theory on a profinite group G.
Let B be a p-adic integral domain; thus, B = limn B/pn B. For any profinite
←−
group G = limn Gn with finite groups Gn , we write C(G, B) for the space
←−
of continuous functions: G → B. Here the group G is a topological group
whose system of open neighborhoods of x ∈ G is given by {xGn }n for normal
subgroups Gn with G/Gn = Gn .
Define a norm |x|p = p−n on B if x ∈ pn B but x ∈ pn+1 B. Then B is
complete under this norm. If pB = 0, |x|p = 1 if x = 0, and |x|p = 0 if
x = 0. Since G is compact, any continuous function φ : G → B is uniformly
continuous. In other words, for any given small positive real number δ, there
exists a positive integer N such that |φ(x) − φ(y)|p < δ if xy −1 ∈ GN . If pB =
0, this just means that φ ∈ C(G, B) is a locally constant function. A measure
μ : C(G, B) → B is a B-linear map with |μ(φ)|p ≤ |φ|p = Supx∈G |φ(x)|p .
In other words, equipping C(G, B) with the uniform topology induced by the
norm | · |p , a measure is a bounded B-linear functional. If pB  = 0, this just
means that μ is just a B-linear map. We often  write μ(φ) = G φdμ.
Choosing a coset decomposition G = x xGn for every n and writing
x = xGn ∈ Gn , we define a locally constant function φn whose value at
y ∈ x is given by φ(x). Then, by the uniform continuity of φ, φ = limn φn
  (x)
in C(G, B), and G φdμ = limn G φn dμ by the continuity of μ. Writing  χn
for the characteristic function of x, we define the volume of x to be x dμ =
 (x)
G χn dμ. Then we can decompose the constant function 1 with value 1 into
 (x)  (x)
the
 sum 1  = x χn
 . Thus, φn = 1φn = x φ(x)χn . This shows that
G φn dμ
  = x φ(x) x dμ. Thus, the measure μ is determined by the values
x
dμ n,x
. Since y = x x for x = xGn ⊂ y if n > m, to have a well-defined
measure μ, these values must satisfy the following distribution relation:
 
dμ = dμ for all n > m, (Dist1)
x⊂y x y

where y = yGm . The boundedness of μ follows from the fact that μ(x) ∈ B
for all n and j; so we can forget about it. The condition (Dist1) is equivalent
to the following condition for all φ factoring through Gn :
16 1 Nontriviality of Arithmetic Invariants
    
φ(x) dμ = φdμ = φ(y) dμ for all n > m, (Dist2)
x x G y y

where x runs over Gn and y runs over Gm .

Example 1.10 Take G = Zl (additive group). Then we have Gn = ln Zl and

Gn = Z/ln Z. The relation (Dist1) then becomes
  
dμ = dμ for all n > m, (1.2.2)
x≡y mod lm ,x∈Z/ln Z x+ln Zl y+lm Zl

where x runs over a complete representative set in Zl for Z/ln Z.

Example 1.11 Take G = Z× l (multiplicative group) for an odd prime  l. We
may regard a measure μ on Z× as that on the additive group Z by Zl φdμ =
 l  l
× φdμ. In other words, for x divisible by l, we impose φdμ = 0. Under
Zl  x+l Zl
n

this vanishing condition, an assignment of values { x+ln Zl dμ ∈ B}n,x∈Z/lnZ×

satisfying (Dist1) gives rise to a measure on Zl × . Splitting Zl × into a product
Γ × μl−1 for Γ = 1 + lZl , a bounded measure on Γ is a system of values
{ x+ln Zl dμ ∈ B}n,x∈Γ/Γ ln satisfying (Dist1).

We now give the definition of the measure associated with each eigen-
function φ ∈ OGm ,1/B of U (l). Write D∞ (φ) for the polar divisor of φ (see
Sect. 2.1.5 for divisor and polar divisor); thus, its support |D∞ (φ)| is the finite
set given by {α ∈ K|φ(α) = ∞} for an algebraic closure K of K.
Lemma 1.12 Let 0 = φ ∈ OGm ,1/B with φ|U (l) = aφ for a ∈ B × . If l = p,
then we have |D∞ (φ)| = |D∞ (φ)l |, and φ(ζ) is in B for all ζ ∈ μl∞ (K).

Proof. We first show that φ(ζ) ∈ K. We have |D∞ (φ)| = |D∞ (φ|U (l))| (as
φ|U (l) = aφ). Note τ ∈ |D∞ (φ|U (l))| ⇒ ζτ 1/l ∈ |D∞ (φ)| for some ζ ∈ μl .
Thus, |D∞ (φ|U (l))| = |D∞ (φ)| ⊂ |D∞ (φ)l |. This shows |D∞ (φ)| = |D∞ (φ)l |.
n
In particular, if ζ ∈ μln (K) ∩ |D∞ (φ)|, 1 = ζ l ∈ |D∞ (φ)|, which is absurd.
Therefore, φ is finite at all ζ ∈ μl∞ (K). Applying the above argument to φ
mod mB (and replacing both K and B by B/mB ), we conclude φ(ζ) ∈ B.

Let 0 = φ ∈ OGm ,1/B , with φ|U (l) = aφ for a ∈ B × . Define Zl (1) =

limn μln (K), and fix a generator ζ ∈ Zl (1) over Zl . We define ζ x ∈ μln (K)
←−
for x ∈ Z/ln Z by the power ζnx for the image ζn of ζ in μln (K). We define an
l-adic measure dφ on Zl in the following way: For a function f : Z/ln Z → B,
 
f dφ = (la)−n f (x)φ(ζ x ). (1.2.3)
x∈Z/ln Z

This is well defined (by Lemma 1.12) independently of the choice of Z/ln Z
through which f factors, because the condition (Dist2) follows from
 1.2 Dirichlet L-Values 17

al · φ(ζ y ) = φ|l · U (l)(ζ y ) = φ(ζ x )
x≡y mod lm

for y ∈ Z/lm Z and x runs over elements in Z/ln Z for n = m + 1. Formally,

we could have defined
 
f dφ(t) = (la)−n f (x)φ(ζ x t) ∈ OGm ,1/B ,
x∈Z/ln Z
 
and then f dφ is its evaluation at t = 1: f dφ(1). We then have for a
primitive Dirichlet character χ : (Z/ln Z)× → B ×
 
χdφ(t) = (la)−n χ(x)a(m, φ)(ζ x t)m
x m
⎛ ⎞
 
= (la)−n ⎝ χ(x)ζ mx ⎠ a(m, φ)tm
m x∈Z/ln Z

= G(χ)(la)−n χ−1 (m)a(m, φ)tm ,
m

where G(χ) is the Gauss sum: G(χ) = x∈Z/ln Z χ(x)ζ x = 0.

Remark 1.13 We may define φ|U (l) for any function φ : μl∞ (K) → B by
the same formula (U). Then if φ|U (l) = aφ for a function φ : μl∞ (K) → B
with a ∈ B × , we can define the associated measure dφ again by the same
formula (1.2.3).

1.2.4 Evaluation Formula

∞ B = Zpm
Take [μN ] ⊂ Qp . Applying
 the computation in Sect. 1.2.3 to φ = Φλ =
m=0 λ(m)t , we find χdΦ(t) = G(χ)(lλ(l))−n Φχ−1 λ (t), and evaluating
the result at t = 1, we get from (1.2.1) (applied to χ−1 λ in place of λ)

χdΦ = (lλ(l))−n G(χ)Φχ−1 λ (1) = (lλ(l))−n G(χ)L(0, χ−1 λ).

Since χ = 1 is supported on Zl × , we may restrict dΦ to Zl × .

Since any character χ : Zl × → μl∞ factors through Γ = Zl × /μl−1 , we
want to have a measure ϕ supported on Γ = Zl × /μl−1 so that we have
 
χdϕ = χdΦ for all characters χ of Γ .
Γ Zl ×

The measure ϕ is not associated with a rational function such as Φ, but if

we allow functions on μl∞ , ϕ is associated
∞ with a function Ψ close to Φ. Note
that any z ∈ Zl has l-adic expansion n=0 an ln with integers 0 ≤ an < l and
18 1 Nontriviality of Arithmetic Invariants
 n ∞ n m n
that for ζ ∈ μlm , ζ z = ζ n an l = n=0 ζ l an = n=0 ζ l an is a well-defined
×
root of unity in μl∞ (K). In particular, we have Zl ⊂ Autgroup (μl∞ (K)), and
the group μl−1 ⊂ Zl × acts on functions f defined on μl∞ by f (ζ) → f (ζ s )
(s ∈ Zl ). This action commutes with U (l) given in Remark 1.13. Define
 
Ψ (ζ) = Φ(ζ ε ) = (Φ(ζ ε ) + Φ(ζ −ε )),
ε∈μl−1 ε∈μl−1 /{±1}

which is an eigenfunction of U (l) with eigenvalue λ(l). Assuming l  N [i.e.,

λ(l) ∈ B × ], we get ϕ = dΨ by construction.

1.2.5 Zariski Density

We now assume that B = Fp = K. We prove the Zariski density result in

(step 4). We start with the following result in [Sn2]:
Theorem 1.14 (Sinnott) Let Ξ ⊂ μl∞ (Fp ) be an infinite set. Let F be
the Fp -algebra of functions on Ξ with values in Fp . If a1 , . . . , ar ∈ Zl are
linearly independent over Z, the algebra homomorphism from the affine ring
R0 = Fp [y1 , y1−1 . . . , yr , yr−1 ] of Grm into F sending yj to an element given by
ζ → ζ ai for i = 1, 2, . . . , r is injective.
We prove this theorem after stating an exercise and a lemma.
Exercise 1.15 Let K be a field and L/K be a finite field extension. Suppose
that K ⊃ μl (K). For ζ ∈ μl∞ (L), prove that

0 if ζ ∈ K,
TrL/K (ζ) =
[L : K]ζ if ζ ∈ K.

Lemma 1.16 If b1 , . . . , bs ∈ Zl are finitely many elements distinct in Z/lN Z

for a given integer N > 0, then the zero set of the function f : μl∞ → Fp
 s
given by f (ζ) = rj=1 cj ζ bj for 0 = (c1 , . . . , cs ) ∈ Fp is a finite set.

Proof. Let k be the finite field generated

 by cj (j = 1, 2, . . . , r) and all elements
in μl (Fp ) over Fp . We write lN0 = k ∩ μl∞ (Fp ). By Exercise 1.15 applied to
K = k, we have Trk(ζ)/k (ζ) = 0 if ζ ∈ μl∞ (Fp ) − k. Put M = N0 + N . If
f (ζ) = 0 for a root of unity ζ ∈ μlM (Fp ), 0 = Trk(ζ)/k (ζ −bi f (ζ)) = [k(ζ) : k]ci ,
because ζ bj −bi ∈ k (i = j). Since [k(ζ) : k] is an l-power, we find that ci = 0
for all i, a contradiction; hence, the zero set is contained in μlM (Fp ).

Here is the proof of Theorem 1.14 by Sinnott: Since a1 , . . . , ar are linearly

independent over Z, for all monomials y k = y1k1 . . . yrkr with k = (k1 , . . . , kr ) ∈
Zr appearing in a nonzero Laurent polynomial f (y1 , . . . , yr ) in R0 , the l-adic
numbers k1 a1 + · · · + kr ar are distinct. Let us order these finitely many l-
adic numbers k1 a1 + · · · + kr ar as b1 , b2 , . . . , bs . Since they are distinct in Zl ,
 1.2 Dirichlet L-Values 19

there exists 0 < N ∈ Z such that bj mod lN are distinct. Thus, the function
ζ → f (ζ a1 , . . . , ζ ar ) has only finitely many zeros in μl∞ ; so, f = 0 in F . Thus,
the map R0 → F is injective.  
To conclude the assertion of (step 4), we need to make the following vari-
able change: Let A be the additive subgroup of Zl generated by μl−1 and take a
Z-basis I = {a1 , . . . , ar } of A. Take a complete set of representatives ε1 , . . . , εn
 μl−1 /{±1}
for μl−1 /{±1} and write εj = i cij ai (cij ∈ Z). Put T = Gm =
−1
Spec(R) [resp., Y = Spec(R0 ) = Gm ] for R = Fp [t1 , t1 , . . . , tn , t−1
I
n ] [resp.,
R0 = Fp [y1 , y1−1 , . . . , yr , yr−1 ]]. Here tj is the variable on the factor Gm in-
dexed by εj . Consider the ring homomorphism π ∗ : R → R0 sending tj to
 cij
i yi . This algebra homomorphism is the pullback of a group homomor-
phism π : Y → T given as follows: Note Y = Gm ⊗Z Zr (A = Zr via the
basis {ai }) and T := Spec(R) = Gm ⊗Z Zn . Regard Zr and Zn as row vector
modules. For the r × n matrix C = (cij ), C : Zr → Zn given by x → xC
id ⊗C
induces π : Y = Spec(R0 ) ∼ = Gm ⊗Z Zr −−−−→ Gm ⊗Z Zn ∼ = Spec(R) = T ;
hence, π is a morphism of algebraic groups. Since a1 , . . . , ar is a basis of A
and ε1 , . . . , εn generate A, the matrix C has rank r; thus, C : Zr → Zn is
× ×
injective. This shows that Ker(π : Y (Fp ) = (Fp )r → (Fp )n = T (Fp )) is finite.

Exercise 1.17 Why is Ker(π : Y (Fp ) → T (Fp )) finite?

Lemma 1.18 For an infinite subset Ξ ⊂ μl∞ , the set

Ξ̃ = {(ζ ε1 , . . . , ζ εn ) ∈ T (Fp )|ζ ∈ Ξ}

is the image of ΞY := {(ζ a1 , . . . , ζ ar ) ∈ Y (Fp )|ζ ∈ Ξ} under π and is Zariski

dense in π(Y ).

Proof. Note
  c
ζ εj = ζ i ai cij
⇔ tj |tj =ζ εj = yi ij |yi =ζ ai = π(tj )|yi =ζ ai .
i

Thus, we find Ξ̃ = π ({(ζ a1 , . . . , ζ ar ) ∈ Y |ζ ∈ Ξ}). Take f ∈ R. We need to

show that if f (π(ζ ε1 , . . . , ζ εn )) = 0 for all ζ ∈ Ξ, we have f |π(Y ) = 0. The
vanishing f |Ξ̃ = 0 implies f |Ξ = 0 in F . Then by Theorem 1.14, f |π(Y ) = 0;
thus, Ξ̃ is dense in π(Y ).

In the following section, we conclude the assertion of (step 4) from the

following:
Lemma 1.19 Let the notation be as above. Then a relation of the form

(P1 (t1 ) + · · · + Pn (tn )) |π(Y ) = 0 (∗)

for Pj (z) ∈ Fp [z, z −1 ] can only occur if Pj (z) ∈ Fp for all j.

20 1 Nontriviality of Arithmetic Invariants

Proof. Since aj is a basis of A,
 the equation εj = i cij ai determines integers
cij
(cij )i uniquely. Since tj = i yi on π(Y ), Pi (ti )|π(Y ) and Pj (tj )|π(Y ) for
i = j do not contain common monomials of yi as an element of R0 . Since
monomials of {yi }i are linearly independent over Fp , we find that the relation
(∗) implies Pi (z) ∈ Fp for all i.

1.2.6 Proof of Theorem 1.8


We first assume that Γ χdϕ = 0 [that is, L(0, χ−1 λ) ≡ 0 mod P] for all
χ : Γ → μl∞ . Then, by the orthogonality relation of characters (see [LRF]
Sects. 2.3 and 18.2), we find Ψ̃ (ζ) = 0 for all ζ ∈ μl∞ . Since the image of μl∞ in
μ /{±1}
Gml−1 by ζ → (ζ ε )ε is Zariski dense in π(Y ) (over Fp ), we find that Φ(tε )+
−1
Φ(tε ) is constant by Lemma 1.19, which is impossible by the t-expansion of Φ.
As we show now, from a slightly weaker assumption of infinity of characters χ
with vanishing L(0, χ−1 λ) ≡ 0 mod P, by Zariski density in Y = GIm proven
by Sinnott (Theorem 1.14), we can still conclude that a nonconstant linear
combination of translations of Φ(tε ) (under the multiplication on Gm ) is a
constant in Fp . From this contradiction, we conclude the generic nonvanishing
of the L-values.
Proof of Theorem 1.8. Our way of proof is via contradiction. Thus, we as-
sume
 that we have an infinite sequence of characters {χj }j of order lnj with
Γ χj dϕ = 0, which implies by variable change
 
x →a−1 x
χj (x)dϕ(ax) = χ(a)−1 χdϕ = 0.
Γ Γ

Exercise 1.20 For any field k of characteristic different from l containing a

primitive lth root of unity, prove the following formula for a primitive ln th
root of unity ζln with n ≥ 2 not in k:

Trk[ζln ]/k (ζlxn ) = 0 ⇔ ζlxn ∈ k for x ∈ Zl .

Hint: This follows from Exercise 1.15 and the minimal polynomial of ζln :
n−1 n−1
X l (l−1) + X l (l−2) + · · · + 1 = 0 over Z.
For simplicity, we assume that λ has values in F×p . Then, applying the
Frobenius automorphism F (x) = xp , we find for χ = χj

 pn  pn
au
0= χ(x)dϕ(ax) = χ(u)Ψ (ζln )
Γ u
 
n
pn pn n −1 n
= χ (u)Ψ (ζlaup
n ) = χ (p ) χp dϕ(ax)
u Γ
 1.3 CM Periods and L-Values 21

for all n. Thus, taking the trace from the field Fp [χj ] generated by the values
of χj to Fp [μl ], we find that

χj (u)Ψ (ζlau
nj ) = 0
nj
u∈χ−1
j (Fp [μl ])⊂Γ/Γ
l

nj −m nj
for all a ∈ Γ . The above sum only involves u ∈ Γ l /Γ l for a constant m
independent of j. Indeed, writing the order of the l-primary part of (Fp [μl ])×
as lm and taking nj so that nj ≥ 2m, we can identify the multiplicative group
nj −m nj
Γl /Γ l with the additive one Z/lm Z by Z/lm Z  v → 1 + lnj −m v = u.
We can then write χj (u) = ζlmj for bj ∈ (Z/lm Z)× and ζlau
b v a v
n = ζln ζlm . Since

{χj } is infinite, replacing {χj } by an infinite subset of {χj }, we may assume

that bj is a constant b. Then we have for any a ∈ Z× l
 
ζlbv m Ψ |ζlm (ζ nj ) = 0,
a v
m Ψ (ζ nj ζlm ) =
l ζlbv v a
l
v mod lm v mod lm

where for f ∈ Fp (Gm ), f |x ∈ Fp (Gm ) is defined by f |x(t) = f (tx) for x ∈

Gm (Fp ). Since π(Ξ) for Ξ = j (μlnj \ μlnj −1 ) is still dense in π(Y ), applying

Lemma 1.19 to Pj (z) = Φj (z) + Φj (z −1 ) for Φj (z) = v mod lm ζlavm Φ|ζlm (z)
−1
on Gm = Spec(Fp [z, z ]), we conclude Pj (z) ∈ Fp . Let us compute the Taylor
expansion at z = 1 of Pj (z). We have

Φj (z) = ζlbv
m Φ|ζlm (z)

v mod lm
 ∞
= ζlbv
m λ(n)(ζlm z)n
v n=1
  (b+n)v
= λ(n)z n ζlm
n≥1 v mod lm

= lm λ(n)z n ,
n>0,n≡−b mod lm

which is nonconstant, and Pj is also nonconstant. This finishes the proof of

Theorem 1.8.
Exercise 1.21 Give a proof of Theorem 1.8 when λ has values in F×
q for a
general p-power q.

1.3 CM Periods and L-Values

We continue our outline of the principal results of this book; later we will fill
in all the details. This section has a twofold purpose:
22 1 Nontriviality of Arithmetic Invariants

1. To give a concise proof of the rationality and integrality result (due to

Shimura [Sh6] and Katz [K2]) of the special values of (Archimedean and
p-adic) arithmetic modular forms at CM points (Sects. 1.3.5 and 1.3.6).
2. To give an outline of the construction of a two-variable p-adic mea-
sure interpolating critical Hecke L-values of imaginary quadratic fields
(Sect. 1.3.7).
We follow [Sh6] to prove the rationality of the special values of classical arith-
metic modular forms and their derivatives (Theorem 1.27).
After some dormant period, the study of the rationality of special values
of modular/automorphic forms (particularly at CM points) and L-values at
critical integers was revived by many of Shimura’s works from the early 1970s
on, for example, [Sh6], [Sh7], [Sh8] and [Sh9]. The rationality/algebraicity of
modular/automorphic forms at CM points is the base of the construction of
Shimura varieties (which Shimura did in the 1960s to early 1970s; see Chap. 7
for an example of a Shimura variety). A principle we found in Shimura’s work
is that abelian or modular Hecke L-values are often realized as a finite sum
of the special values of specific modular/automorphic forms at well-chosen
points, hence getting rationality. Invariant differential operators (studied first
by Maass and later revived again by Shimura) play a prominent role in such
a setting to prove the rationality of nonholomorphic modular/automorphic
forms at CM points. As for L-values, an integer is called critical for an L-
function if its Γ -factor is finite at the integer and its counterpart of the func-
tional equation. If the L-function is associated with algebro-geometric objects
(for example, a projective variety or a motive), in the late 1970s, Deligne
made a prediction of rationality of the L-values at critical integers relative to
an intrinsic motivic period [D6] (though, strangely, he did not quote much of
Shimura’s work in [D6]).
Our new proof of p-integrality statements due originally to Katz (Theo-
rem 1.34) is a version of Shimura’s argument and can easily be generalized
to Hilbert modular forms (and beyond). Again, a p-adic invariant differential
operator (constructed by Katz as an analog of Archimedean operators) plays
a fundamental role.
An elliptic curve E defined over a base ring B is a specific kind of curve
(with a lot of fine structures) defined by the zero set Φ(x:y:z) = 0 (in the two-
dimensional projective space P2 ) of a special type of a cubic homogeneous
equation Φ(x:y:z) with coefficients in B (see Sects. 2.1.3 and 2.1.4 for more of
an explanation on such curves). Indeed, for any local B-algebra A, we may
regard E(A) = {(x:y:z) ∈ P2 (A)|Φ(x:y:z) = 0} as a functor A → E(A) (see
Chaps. 2 and 4). A very important property is that E(A) has a canonical
group structure (Theorems 2.32 and 6.3).
For any elliptic curve E/B , because of the group structure, we have the
N
  !
kernel of x → N x = x + x + · · · + x on E(A) for a positive integer N . Write
this kernel E[N ](A), getting another functor A → E[N ](A) from the category
 1.3 CM Periods and L-Values 23

of B-algebras to groups. We put E[p∞ ](A) = n E[pn ](A) for a prime p.
A morphism μpn → E[pn ] is a morphism of group functors. We will study
such functor morphisms in Chap. 2 for an algebraically closed field B = k
and for a general ring B in Chap. 4. Until then, just take it as a sort of
generalization of a usual homomorphism of groups [it is a compatible system
of homomorphisms μpn (A) → E[pn ](A) indexed by algebras A over B].

1.3.1 Elliptic Modular Forms

What are modular forms? In the simplest case of elliptic modular forms,
writing w = t (w1 , w2 ) for two linearly independent complex numbers [with
Im(z) > 0 (z = w 1 /w2 )],
 aweight- k modular
  form is a holomorphic function f
of w satisfying f ac db w = f (w) for ac db ∈ SL2 (Z) and f (aw) = a−k f (w)
for a ∈ C× . In other words, f is a “holomorphic” function on the set Lat
of lattices in C with f (aL) = a−k f (L) (see Sect. 2.3.4). If we regard f as a
function of z ∈ H = {z ∈ C| Im(z) > 0} by setting f (z) = f (2πi ( z1 )), the two
relations can be stated as a single one:
 
az + b
f = (cz + d)k f (z)
cz + d
 
for ac db ∈ SL2 (Z). This latter definition might be more familiar for some
of the readers. Here we put 2πi to define f (z) to make the q-expansion of f
rational if f is algebro-geometrically rational [since f (2πiw) = (2πi)−k f (w),
this is just the division by a power of (2πi)]. This division has to be done
because of exp : C/2πi(Z + Zz) ∼ = Gm (C)/q Z for q = exp(2πiz). We want to
prove algebraicity and integrality of the value f (w) when w is a basis of an
imaginary quadratic field (up to a canonical complex number, called the CM
period of the elliptic curve). This rationality/integrality result is due to some
mathematicians, notably, Hurwitz, Shimura, and Katz.
We now describe an algebraic interpretation of modular forms. Waiting
until Chaps. 2 and 6 for a more thorough treatment of the algebraization,
here we give an outline of how to define modular forms algebraically. Pick
two linearly independent numbers w = (w1 , w2 ) ∈ C2 . Writing u for the
variable on C, the quotient C/Lw of C by a lattice Lw = Zw1 + Zw2 gives
rise to a pair (E, ω) of elliptic curves and the differential ω = du of first kind
(nowhere vanishing differential). First of all, we note E(C) ∼ = C/Lw . Then we
embed E into P2 by u → (x(u), y(u), 1) ∈ P2 (C) for Weierstrass ℘-functions
(Sect. 2.3.4):

1   1 1

1 g2 g3
x(u) = ℘(u; Lw ) = 2 + − 2 = 2 + u2 + u4 + · · ·
u (u − l)2 l u 20 28
0=l∈Lw

 −4

and y = dx
du , where g2 (w) = 60 0=l∈Lw l and g3 (w) = 140 0=l∈Lw l−6 .
Then the equation satisfied by x and y is y 2 = 4x3 −g2 x−g3 and ω = du = dx
y
24 1 Nontriviality of Arithmetic Invariants

(see Sect.
 2.3.4). The pair w (or lattice Lw ) can be recovered by ω so that
wi = γi ω for a basis (γ1 , γ2 ) of the Betti homology group H1 (E(C), Z) =
π1top (E(C)) (see Sect. 2.3.3 for the topological fundamental group π1top (E)).
For a given (E, ω)/C , we write LE for its lattice. Here C/Lw is an additive
group, and this is the canonical group structure of E(C).
Conversely, start with a pair (E, ω)/A defined over a ring A made of an
elliptic curve (a smooth curve of genus 1 with a specific point 0 = 0E ∈
E(A)) and a nowhere vanishing differential ω (see Sect. 2.1.2 for a definition
of algebraic differentials over a field and Sect. 4.1.7 over rings/schemes). Then
take an algebraic parameter u around 0 so that ω = du. Write [0] for the
relative Cartier divisor given by 0 (see Sect. 2.1.5 for divisor and Sect. 6.1.2
for Cartier divisor). Since the line bundle L(m[0]) (made of meromorphic
functions having only pole at 0 of order at most m) is free of rank m if m > 0
(by the existence of ω), we can find x ∈ H 0 (E, L(2[0])) having a pole of order
2 whose Laurent expansion has its leading term u−2 . If 6−1 ∈ A, there is a
unique way of normalizing x and u so that y 2 = 4x3 − g2 x − g3 with y = dx du
for a unique pair (g2 = g2 (E, ω), g3 = g3 (E, ω)) ∈ A2 (see Sect. 2.2.2 for
Weierstrass’s computation of the equation). Since E/A is smooth, this pair
(g2 , g3 ) has to satisfy Δ = g23 − 27g32 ∈ A× (Proposition 2.37). This shows (see
Sect. 2.2.3)

{(g2 , g3 ) ∈ A2 |Δ ∈ A× }
1 to 1 and onto
[(E, ω)/A ] ↔
1 1 1 1
= HomALG (Z[ , g2 , g3 , ], A) = Spec(Z[ , g2 , g3 , ])(A).
6 Δ 6 Δ
Here HomALG denotes the set of algebra homomorphisms, the ring Z[ 16 ][g2 , g3 ]
is a polynomial ring with variables g2 , g3 , and the straight brackets [·] indi-
cates the set of isomorphism classes of the objects inside; thus, [(E, ω)/A ] =
{(E, ω)/A }/ ∼
=.
An important fact is that all these functions g2 , g3 and Δ have Fourier ex-
pansions in Z[ 16 ][[q]] for q = exp(2πiz). Indeed, g2 and g3 are rational multiple
of the following Eisenstein series for k = 4, 6:

(k − 1)!  1
2(2πi)k (mz + n)k
(m,n)∈Z2 \{(0,0)}
∞ 
1
= ζ(1 − k) + qn dk−1
2 n=1 0<d|n
1 
= ζ(1 − k) + q mn (1.3.1)
2
(m,n)∈Z2 \{(0,0)}/Z× ,mn>0

for even integers 2 < k ∈ Z. This follows from the partial fraction expansion
of the cotangent function of z = log q
2πi ([EDM] (2.18) or [EEK] Chap. II):
 1.3 CM Periods and L-Values 25
∞    ∞
"
1  1 1 
+ + = π cot(πz) = πi 1 − 2 qn , (1.3.2)
z n=1 (z + n) (z + n) n=1

  k
d k
and its derivatives by (2πi)−1 dz d
= q dq :
∞
 ∞
1 (−1)k (2πi)k  k−1 n
= n q . (1.3.3)
n=−∞
(z + n)k (k − 1)! n=1

In particular, keeping in mind the fact that gk (z) = gk (2πi ( z1 )), we find
⎧ ⎫
∞ ⎨  ⎬ ∞
1 1 n3 q n
g2 (q) = + 20 d3 q n = + 20 ,
12 ⎩ ⎭ 12 1 − qn
n=1 0<d|n n=1
⎧ ⎫
7  ⎨  5⎬ n
∞ ∞
1 1 7  n5 q n
g3 (q) = − + d q =− + , (1.3.4)
216 3 n=1 ⎩ ⎭ 216 3 n=1 1 − q n
0<d|n
∞

Δ(q) = q (1 − q n )24 .
n=1

To obtain the product expansion of Δ, one needs to work a little more (see
[EEK], IV (36) and [IAT] (4.6.1)).
We can then think of the Tate curve Tate(q) defined over the power series
ring Z[ 16 ][[q]] by the (affine) equation y 2 = 4x3 − g2 (q)x − g3 (q). As shown
by Tate (Sect. 2.4.2), we have Tate(q)(Qp [[q]]) ⊃ (Qp [[q]])× , and therefore we
get a natural inclusion φN,can : μN (Qp ) → Tate(q)[N ], which comes from a
unique morphism of finite flat group schemes (see Sect. 4.3 for finite flat group
schemes). A Tate curve also has a canonical differential ωcan = dx y , which is a
unique (up to scalar multiple) nowhere vanishing differential on Tate(q) (see
Sect. 6.1.4). A Tate curve is not an elliptic curve over Z[ 16 ][[q]] but is an elliptic
curve over Z[ 16 ]((q)) := Z[ 16 ][[q]][q −1 ] because the nonunit q is a factor of the
discriminant Δ(q) of the elliptic curve.
Let B be a Z[ 16 ]-algebra. For general elliptic curve E over a B-algebra
R, a level Γ1 (N ) structure is an embedding φN : μN → E[N ] of finite flat
group schemes (i.e., a group homomorphism of functors inducing an embed-
ding of group schemes we describe later in Sect. 4.3). For the first reading,
if the reader is not familiar with the theory of group schemes, just assume
N = 1 to forget about φN . If the triple (E, φN , ω) is all defined over R,
we call (E, φN , ω)/R a test object over R. The elements g2 , g3 , Δ in Z[g2 , g3 ]
are functions of pairs (E, ω)/R of an elliptic curve E and a differential ω de-
fined over R with values in R and can be considered as a function of test
objects (E, φN , ω) disregarding φN . This motivates the following algebraic
definition/theorem (see Theorem 2.48) of B-integral elliptic modular forms of
level Γ1 (N ) as functions of test objects (E, φN : μN → E[N ], ω) satisfying
26 1 Nontriviality of Arithmetic Invariants

(G0) f assigns a value f ((E, φN , ω)/R ) ∈ R for each test object

(E, φN : μN → E[N ], ω)/R

defined over an B-algebra R. Here R is also a variable (running over the

category of B-algebras).
(G1) f ((E, φN , ω)/R ) ∈ R depends only on the isomorphism class of the triple
(E, φN , ω)/R .
(G2) If ϕ : R → R is a B-algebra homomorphism, we have

f ((E, φN , ω)/R ⊗R,ϕ R ) = ϕ(f ((E, φN , ω)/R )),

where (E, φN , ω)/R ⊗R,ϕ R means that we regard (E, φN , ω)/R as de-
fined over R via ϕ [so, for example, if N = 1, (E, ω) ⊗R,ϕ R is defined
by the equation y 2 = 4x3 − ϕ(g2 (E, ω))x − ϕ(g3 (E, ω))].
(G3) f ((E, φN , a · ω)/R ) = a−k f (E, φN , ω) for a ∈ R× .
(G4) f (q) = f ((Tate(q), φN , ωcan )/R[[q1/d ]][q−1/d ] ) ∈ R[[q 1/d ]] for any level N -
structures φN on Tate(q) defined over R[[q 1/d ]][q −1/d ] for any factor
d|N . In particular, we have

f (q) = f ((Tate(q), φN,can , ωcan )/B[[q]][q−1 ] ) ∈ B[[q]].

Here, for example, if N is invertible in R and R contains all N th roots of

unity, Z/N Z ∼= μN over R, and we can think of a level Γ1 (N )-structure φet N :
∼
Z/N Z = μN = q 1/N Z /q Z ⊂ Tate(q)[N ], which is defined over R[[q 1/N ]][q −1/N ].
More generally, if N = dN  with d prime to N  , assuming 1d ∈ R and that R
contains all dth roots of unity, we can think of

d × φN  ,can : μN = Z/dZ × μN  → Tate(q),

φN = φet

which is defined over R[[q 1/d ]][q −1/d ].

The space of modular forms defined by the conditions (G0–4) ) will be writ-
ten as Gk (N ; B) = Gk (Γ1 (N ); B). We confirm Gk (1; B) = 4a+6b=k Bg2a g3b
(Theorem 2.48), and Gk (Γ1 (N ); Z[ 16 ]) ⊗Z[ 16 ] C = Gk (Γ1 (N ); C). Also, if
f ∈ Gk (Γ1 (N ); C), f (q) with q = exp(2πiz) gives the Fourier expansion of f
at the cusp ∞.
In addition to (G1–4), if f satisfies the following condition, we call f a
cusp form:
(s) f (q) = f ((Tate(q), φN , ωcan )/R[[q1/d ]][q−1/d ] ) ∈ q 1/d R[[q 1/d ]] for any level
structures φN on Tate(q) defined over R[[q 1/d ]][q −1/d ] with d|N . This
means that the constant term of f vanishes at all cusps.
We write Sk (N ; B) = Sk (Γ1 (N ); B) ⊂ Gk (N ; B) for the subspace of cusp
forms.
 1.3 CM Periods and L-Values 27

1.3.2 A Rationality Theorem, an Application

In 1897, Hurwitz studied in [Hz1] and [Hz2] an analog of the Riemann zeta
function:  1
L(4k) =
(a + bi)4k
a+bi∈Z[i]−{0}

for Gaussian integers Z[i] and showed that for a positive integer k,
 1 
L(4k) dx dx
∈ Q (Ω∞ = 2 √ = : CM period of the lemniscate).
4k
Ω∞ 0 1 − x4 γ y

Today we regard this value as a special value of a Hecke L-function:

 √
L(s, λ) = λ(a)N (a)−s of the Gaussian field Q[i] (i = −1).
a

Here λ = λ4k is a Hecke ideal character of Q[i], with λ4k ((α)) = α−4k and
L(4k) = 4L(0, λ), and a runs over all nonzero ideals of the Gaussian integer
ring Z[i].
The plane affine curve G defined by y 2 = 1 − x4 was first studied by
Gauss around the same time when he finished writing his first major treatise,
Disquisitiones Arithmeticae, in 1798 (he seems to have claimed that he could
extend his theory of drawing a regular N -gon in a circle to this lemniscate
or more general curves, which means, if true, he knew how to compute N
section/torsion points of G[N ]). This Gauss’s lemniscate is equivalent to Y 2 =
(4+4i)y (1+i)x+1+i
4X 3 − 4X by Y = ((i−1)x+(1−i)) 2 and X = (i−1)x+1−i ; hence, it is an elliptic

curve (E, ωE := dXY )/C with a given nowhere vanishing differential ωE . We

1  1 dx
have X = 0 ⇔ x = −1 and X = ∞ ⇔ x = 1. Since −1 √1−x dx
4
= 2 0 √1−x 4
,
we get (cf. [EDM] Sect. 13.9)
 1  ∞
dx dX
Ω∞ = 2 √ = √ .
0 1 − x4 0 4X 3 − 4X
Here, writing the integral path γ := [0, ∞] = −[0, 0E ] as an element of the
topological fundamental group π1top (E(C), 0E ), we get the “CM period” Ω∞
in the lattice LE ∈ Lat of E, which is a part of a Z-basis of LE .
Gauss’s curve has an automorphism [i] : (x, y) → (ix, y). This corresponds
to the automorphism [i] : (X, Y ) → (iX, −Y ) of the elliptic curve E. Note
that [i](0E ) = 0E , which implies, by Abel’s theorem, that [i] is a group endo-
morphism of E (see Lemma 6.1 and the remark after the lemma).
We can verify this fact differently. Any curve endomorphism α : E → E
sending 0E to 0E induces an endomorphism of the universal covering α :
Z → Z by sending a path γ : 0E → z to α(γ) : 0E = α(0E ) → α(γ) (the
image of γ under α). Then, by the definition of composition of paths, we
have α(γγ  ) = α(γ)α(γ  ). The group structure on Z = C is given by this
product structure, and α : C → C is an additive group endomorphism. Since
28 1 Nontriviality of Arithmetic Invariants

α is holomorphic (as it is a polynomial map in coordinates of P2/C containing

E), α has to be a C-linear map; thus, the original α : C/LE → C/LE is
a group homomorphism. See Sect. 2.3.3 for the covering Z = Z(E(C)) and
π1top (E(C), 0E ).
Now the vertical line LY0 defined by Y = Y0 intersects with E(C) at
[i]2 (X0 , Y0 ) = (−X0 , Y0 ) and (X0 , Y0 ) and the infinity 0E . Thus, in End(E/C ),
[i] satisfies [i]2 = −1. In other words, we have an embedding Z[i] → End(E/C )
given by a + bi → a + b[i]. Therefore, [i] acts on π1top (E(C), 0E ) ∼ = LE by [i]
on the left-hand side and via multiplication by i on the right-hand side. In
short, E has complex multiplication by the Gaussian integers Z[i]. Since the
path [−1, 1] is one of the generators of H1 (R, Z) for the Riemann surface R
associated with y 2 = 1 − x4 , we find that LE = Z[i] · Ω∞ ⊂ C.
For a lattice L = Zw1 + Zw2 ⊂ C, set
1  1
E2k (L) = (Eisenstein series),
2 (aw1 + bw2 )2k
aw1 +bw2 ∈L

which is a function of lattices satisfying E2k (αL) = α−2k E2k (L). The quo-
tient C/L gives rise to an elliptic curve  X(L) ⊂ topP2 by Weierstrass theory.
Since we can recover the lattice L as { γ du|γ ∈ π1 (X(L))} out of the pair
(X(L), du) for the variable u on C, we can think of E2k as a function of the
pairs (E, ω) of an elliptic curve E and a nowhere vanishing differential ω sat-
isfying E2k (E, αω) = α−2k E2k (E, ω). We have E4 (E, ω) = 120 1
g2 (E, ω) and
1
E6 (E, ω) = 280 g3 (E, ω). Since E2k is a rational isobaric polynomial of g2 and
g3 , E2k is a modular form f of weight 2k.
Weierstrass’s function has the following Laurent expansion:
xL (u) = u−2 + 6E4 (E, ω)u2 + · · · + 2(2k + 1)E2k+2 (E, ω)u2k + · · · . (1.3.5)
Taking the derivative, we get
yL (u) = −2u−3 +12E4 (E, ω)u+· · ·+4k(2k+1)E2k (E, ω)u2k−1 +· · · . (1.3.6)
2
Plugging these into the relation yL = 4x3L − g2 (E, ω)xL − g3 (E, ω), we get
a relation of E2k (noted by Hurwitz but known to Weierstrass earlier; see
[EDM] Sect.10.2). Solving the relation, we can compute the isobaric polyno-
mial Φ2k (X, Y ) ∈ Q[X, Y ], with E2k = Φ2k (g2 , g3 ). See [EDM] Sect. 10 for
more of these relations.
Returning to Gauss’s curve (E, ωE ) defined by y 2 = 4x3 − 4x, we have
LE = Z[i] · Ω∞ . Thus,
−2k −2k
E2k (E, ΩE ) = E2k (Z[i] · Ω∞ ) = Ω∞ E2k (Zi + Z) = Ω∞ E2k (i),
where at the extreme right, we regard E2k as a function on H by E2k (z) =
E2k (2πi(Zz + Z)). On the other hand,
E2k (E, ωE ) = Φ2k (g2 (E, ωE ), g3 (E, ωE )) = Φ2k (4, 0) ∈ Q.
Note that E2k (i) = L(0, λ2k ). Thus, we get the following result:
 1.3 CM Periods and L-Values 29
L(0,λ4k )
Theorem 1.22 We have Ω∞4k ∈ Q for all 0 < k ∈ Z.

See Hurwitz’s paper [Hz1] and [Hz2] for numerical values of L(0,λ Ω∞
4k )
4k and a
generalization of the von Staut theorem (an integrality result) for these num-
bers.
√ curve defined by y = x − 1 that
2 3
We can apply the same technique to the
has complex multiplication by the field Q[ −3], as a cubic root of unity ζ acts
on the curve by (x, y) → (ζx, y). See [H81a] Sect. 8 for numerical examples in
this cubic root case and [EDM] Sect. 13 for more CM elliptic curves.
This is an obvious analog of the rationality (and recurrence relations) of
Riemann zeta values by Euler/Bernoulli (see [EDM] Sect. 11):
∞

ζ(2k) 1 1
2k
= ∈ Q.
(2πi) (2πi) n=1 n2k
2k

*
Indeed, 2πi is the integral |z|=1 dz
z of the invariant differential of the multi-
plicative group Gm/Z sending a ring A to its multiplicative group A× , and
∼
also note Gm (C) = C× ←−− C/2πiZ, while E(C) ∼ = C/Ω∞ · Z[i].
exp
The rationality/integrality results of Hurwitz is now generalized to all
imaginary quadratic field M and L-values of the form L(0, λk,j ) with integers
j < 0 ≤ k for characters of the form λk,j (α) = αk αj by the effort of many
mathematicians, notably, Shimura and Katz, and the value is algebraic up to a
power of the period Ω∞ (E, ω) and a power of 2πi. Here Ω∞ (E, ω) is given by
γ
ω for a pair (E, ω) defined over a number field with complex multiplication
by the integer ring of M . Elementary treatments of this generalization can be
found [EDM] Chap. IV and [EEK].
We can further ask
(Q1) Is there a good expression by an L-value of the value of a non-Eisenstein
series f ∈ Gk (1; Q) at (E, ωE ) (or at more general elliptic curves with
complex multiplication)?
(Q2) What happens if we evaluate a modular form in Gk (1; Q) at a rational
elliptic curve (E, ω)/Q without complex multiplication?
To get a reasonable answer, we need to assume that the modular form in ques-
tion is an eigenvector of all Hecke operators (as Eisenstein series are examples
of such eigenforms). Under this assumption, as for (Q1), there are good an-
swers by Waldspurger [Wa] (see [H10b] for an elementary treatment) and also
by Gross–Zagier [GZ] (which promoted much progress toward solution of the
Birch–Swinnerton-Dyer conjecture). As for (Q2), not much is known yet.

1.3.3 p-Adic Elliptic Modular Form

Fix a prime p ≥ 5 and a positive integer N prime to p. We call a Zp -algebra

R a p-adic algebra if R = limn R/pn R. Thus, Zp is a p-adic algebra, but Qp is
←−
30 1 Nontriviality of Arithmetic Invariants

not. Take a p-adic algebra B as a base ring. As we will learn in more detail in
Sect. 7.2.4, the space of B-integral p-adic modular form V (B) = VΓ1 (N )/B is
a collection of rules f assigning a value f ((E, φN , φp : μp∞ → E[p∞ ])/R ) ∈ R
for p-adic B-algebras R satisfying the following conditions (V0–3) (where φp
is a group homomorphism of functors inducing an embedding of Barsotti–Tate
groups we describe later in Sect. 4.3.7):
(V0) f assigns a value f ((E, φN , φp )/R ) ∈ R to each test object
(E, φN , φp : μp∞ → E[p∞ ])/R
defined over a p-adic B-algebra R. Here R is also a variable.
(V1) The value f ((E, φN , φp )/R ) ∈ R depends only on the isomorphism class
of (E, φN , φp )/R .
(V2) If ϕ : R → R is an B-algebra homomorphism continuous under the
p-adic topology, we have
f ((E, φN , φp )R ⊗ R ) = ϕ(f ((E, φN , φp )/R )).
(V3) f (q) = f ((Tate(q), zφp,can , φN )/R[[q1/d ]][q−1/d ] ) ∈ R[[q 1/d ]] for any level
N -structures φN on Tate(q) over R[[q 1/d ]][q −1/d ] for 0 < d|N and
z ∈ Z× p . Again, we note f (q) = f ((Tate(q), φp,can , φN,can )/R[[q]][q−1 ] ) ∈
R[[q]].
Here we have simply written φp,can for
φp∞ ,can := lim φpn ,can : μp∞ → Tate(q)[p∞ ].
−→n

We note that VΓ1 (N )/B = V (B) is a p-adic B-algebra, as we see in Sect. 7.2.4.
Replacing (V3) by the following condition:
(s) f (q) = f ((Tate(q), φp,can , φN )/R[[q1/d ]][q−1/d ] ) ∈ q 1/d R[[q 1/d ]] for any level
structures φN on Tate(q) defined over R[[q 1/d ]][q −1/d ] for 0 < d|N ,
we define the subspace of p-adic cusp forms VΓcusp1 (N )/B
.
As we learn in Sect. 4.4.3, the knowledge of μp∞ /Zp = limn μpn /Zp is
−→
equivalent to the knowledge of the formal group G  m/Z = Spf(Z[t, t−1 ])
p


for Z[t, −1 n
t−1 ] := limn Zp [t, t ]/(t − 1)) (see Example 4.79 and Sect. 4.4
p
←−
for the functor “Spf”). Then φp : μp∞ → E induces an identification
φp : G
m ∼=E  = lim E[pn ]◦ with the formal completion E  along the identity
←−n
of E (in short, the formal group of E). Since G  m has a canonical “invari-
ant” differential t , φp induces a nowhere vanishing differential ωp = φp,∗ dt
dt
t .
Thus, f ∈ Gk (Γ1 (N pn ); B) can be regarded as a p-adic modular form by
f ((E, φN , φp : μp∞ → E[p∞ ])/R ) = f (E, φN , φp |μpn , φp,∗ dt
t ) ∈ R, and we
have a canonical B-linear map Gk (Γ1 (N pn ); B) → V (B) = VΓ1 (N )/B . The
following fact is called the q-expansion principle based on these two facts
(as we will see later): the irreducibility of the Igusa tower over Fp and the
existence of the Tate curve (see Sects. 7.2 and 2.4):
 1.3 CM Periods and L-Values 31

(q0) f (q) = 0 ⇔ f = 0 for any f in V (B) or in Gk (Γ1 (N pn ); B). In particular,

Gk (Γ1 (N pn ); B) → VΓ1 (N ) (B) is an injection (see Proposition 7.41), and
functions in the image satisfy f (E, a · φp ) = a−k f (E, φN , φp ) for a ∈ Z×
p.
(q1) Let fn ∈ VΓ1 (N ) (B) be a sequence. Then fn converges p-adically in
VΓ1 (N ) (B) ⇔ fn (q) converges p-adically in B[[q]] ⇔ fn ((E, φN , φp )/R )
converges p-adically for all (E, φN , φp )/R and all p-adic B-algebras R
(see Remark 7.42).
(q2) If B0 is a Z[ 16 ]-algebra p-adically dense in B,
+
Gk (Γ1 (N p∞ ); B0 ) = Gk (Γ1 (N pn ); B0 )
n

is dense in VΓ1 (N ) (B) for any k ≥ 2 (see [H88b] Corollary 5.2).

(q3) If f ∈ VΓ1 (N ) (B) ⊗Z Q and f (q) ∈ B[[q]], then f ∈ VΓ1 (N ) (B), assuming
B is flat over Zp .
By (q1–2),
we may construct a p-adic modular form as a p-adic limit of classical
modular forms. (Limit principle)
This limit principle is used as the definition of p-adic modular forms at the
start of the theory by J.-P. Serre (see [Se2]). Because of this limit principle,
V (B) is complete under p-adic topology (see Sect. 7.2.4).

1.3.4 CM Elliptic Curve

An elliptic curve E/A is said to have complex multiplication if End(E/A ) con-

tains an order O of the integer ring O of an imaginary quadratic field M ⊂ C.
An order O is a subring of finite index in O. If E(C) = C/Lw has complex
multiplication, we have O ·Lw ⊂ Lw , and hence O = {α ∈ M |α·Lw ⊂ Lw }. In
this way, we have a representation ρ : M × → GL  a 2b(Q)
 such that αw = ρ(α)w
for α ∈ M × . Since ρ(α)(z0 ) = az 0 +b
cz0 +d (ρ(α) = c d ) and z0 = w1 /w2 corre-
sponds to the same elliptic curve, we have ρ(α)(z0 ) = z0 . If it is necessary to
indicate dependence on z0 , we write ρz0 for ρ.
Suppose that E has complex multiplication by O . Take a large complete
discrete valuation ring W in Cp and put W = i−1 p (W ) (we may assume that
W has residue field Fp ). Then, by the finiteness of isomorphism classes over
C of elliptic curves having CM by O , E is defined over a number field K, and
by a result of Serre–Tate, E is defined over a valuation ring V ⊂ W of K of
residual characteristic p (see Proposition 6.53). For an ideal m ⊂ O , we can
think of the kernel of multiplication by m:
,
E[m](A) = {x ∈ E(A)|mx = 0} = E[α](A).
α∈m


We suppose further p splits into a product of two primes pp in O
 (so, nas
  ∞
we will see later, Op = O ⊗Z Zp = O ⊗Z Zp = Op ). Let E[p ] = n E[p ].
32 1 Nontriviality of Arithmetic Invariants

Then we may assume that E[p∞ ]/V is isomorphic to μp∞ after extending
scalars to the strict henselization W ⊂ Q of V (see Sect. 4.3.9); hence, we
have φ = φE : μp∞ ∼ = E[p∞ ]. If p = pp in O but not in O (so, O is an
order of conductor divisible by p), we just assume that E has an isogeny
π
E − → E defined over a finite extension W  ⊂ Q of W such that E  has
complex multiplication by O and Ker(π) ∩ E  [p∞ ] = 0. Under this setting,
φ : μp∞ ∼= E  [p∞ ] induces φ = φE = π ◦ φE  : μp∞ → E[p∞ ]. We study in
deoth later the sheaf ΩE/W  of differentials on the scheme E (see Sect. 6.1.4).
An important point is that its global sections H 0 (E, ΩE/W  ) are a free W  -
module of rank 1. Pick ω ∈ H 0 (E, ΩE/W  ) so that H 0 (E, ΩE/W  ) = W  ω.
As described above, we fix an embedding φp : μp∞ /W  → E[p∞ ]/W and
an isomorphism E(C) = C/i∞ (a) for a fractional O -ideal a. In this case, we
write E = E(a). Thus, we may assume that a = Z + Zz0 (z0 ∈ M × ∩ H).
Note W ∼ = lim W/pn W, and set W  = limn W  /pn W  , and identify W  with
←−n ←−
the closure W of ip (W  ) in Cp . Then we have two numbers Ω∞ ∈ C× and
×
Ωp ∈ W  such that
dt
ω = Ω∞ du = Ωp φp,∗ .
t
The following result is plainly a generalization of Theorem 1.22:
Theorem 1.23 Suppose that p = pp with p = p in O. Let f = f∞ ∈

Gk (Γ1 (N pn )) be a W-integral form and let W/W be a finite extension of W,
which is discrete valuation ring. Write fp ∈ VΓ1 (N ) (W  ) as the corresponding
p-adic modular form coming from f∞ . If (E(a), ω)/W  has complex multipli-
cation by an order O of O, we have

f∞ (z0 ) (1) f∞ (E(a), φN , du) fp (E(a), φN , φp,∗ dt

t ) (2)
k
= k
= = f (E(a), φN , ω) ∈ W  .
Ω∞ Ω∞ Ωpk

Here the identity (1) is the base of Shimura’s rationality theory of special
values of modular/automorphic forms (cf. [EDM] Sect. 12) and (2) is a key to
the p-adic version by Katz.
Remark 1.24 Replacing W by its quotient field, the assertion of the theorem
is valid, for an obvious reason, also for f = hg if h ∈ Gk+k (Γ1 (N pn ); W) and
g ∈ Gk (Γ1 (N pn ); W) with g(E(a), φN , du)) = 0.
Remark 1.25 To have a well-defined p-adic period Ωp , a key point here is
to have an embedding φp : μp∞ → E[p∞ ] of Barsotti–Tate groups for a CM
elliptic curve E not E having multiplication by the full integer ring O. We
will scrutinize φp for E(C) = C/i∞ (a) for a lattice a in M with ap not equal
to Op in Sect. 6.4.5. Then the above theorem is valid over a finite extension
W  /W [over which E(a) is defined]. The minimum ring W  is given by W[μpn ]
for n depending on how far ap differs from Op (see Sects. 6.3.4 and 6.4). So
we state the result hereafter without assuming Op = Op .
 1.3 CM Periods and L-Values 33

1.3.5 Invariant Differential Operators

Shimura studied the effect on modular forms of the following invariant differ-
ential operators on the upper half-complex plane H indexed by k ∈ Z:
 
1 ∂ k
δk = √ + √ for z = x + iy ∈ H and δkr = δk+2r−2 · · · δk ,
2π −1 ∂z 2y −1
(1.3.7)
where r ∈ Z with r ≥ 0. For some other properties of these operators not
stated here, see [LFE] 10.1. Here are easy identities:
Exercise 1.26 Show the following formulas:
1. δk+l (f g) = gδk f + f δl g.
2. For a holomorphic function f : H → C, δkr (f |kα) = (δkr f )|k+2r α if
f |k α(z) = det(α)k/2 f (α(z))(cz + d)−k for α = ac db ∈ GL2 (R) with
det(α) > 0.
By the exercise, if f ∈ Gk (Γ1 (N ); C), δkr (f ) satisfies δkr (f )|k+2r γ = δkr (f ) for
all γ ∈ Γ1 (N ). Although δkr (f ) is not a holomorphic function, defining

δkr (f )(w) = w2−k−2r δkr (f )(z),

we have a well-defined homogeneous modular form. In this sense, δkr (f ) is a

real-analytic modular form on Γ1 (N ) of weight k + 2r.
An important fact Shimura found is that the differential operator preserves
rationality property at CM points of (arithmetic) modular forms, although
it does not preserve holomorphy. Here we call z0 ∈ H a CM point if z0 ∈
H ∩ i∞ (M ) for an imaginary quadratic field M . Then a := i−1∞ (Z + Zz0 ) ⊂ M
is a lattice, and we have a CM elliptic curve E(a) with multiplication by
O(a) = {α ∈ M |αa ⊂ a} as in Remark 1.25. Here is the rationality result of
Shimura [Sh6] (see also [EDM] Theorem 12.2):
Theorem 1.27 (G. Shimura) Let the notation be as above; in particular,
z0 is a CM point of H. For f ∈ Gk (Γ1 (N ); Q), we have

(δkr f∞ )(z0 ) (δ r f )(E(a), φN , du)

k+2r
= k k+2r
∈ Q. (Sh)
Ω∞ Ω∞
In this theorem, z0 is just a CM point, and it has nothing to do with the
prime p we have chosen. Thus, we do not need to assume that the prime p is
split in the imaginary quadratic field M = Q[z0 ].
Proof. We follow the argument of Shimura in [Sh6]. Since

(δkr f )(E, φN , du) = w2−k−2r (δkr f )(z) = (δkr f )(z)

(δ r f )(z )
for z = w1 /w2 ∈ H (and w2 = 1), we need to show Ωk k+2r0 ∈ Q. When
∞
r = 0, the result follows from Theorem 1.23. We have ρ : M × → GL2 (Q)
34 1 Nontriviality of Arithmetic Invariants

given by ( z0αα ) = ρ(α) ( z10 ) for α ∈ M \ Q. Then ρ(α)(z0 ) = z0 . Writing

ρ(α) = ac db , we have cz0 + d = α. Apply δk to f |k ρ(α) = f h [putting
h = (f |k ρ(α))/f ], by Exercise 1.26, we have (δk f )|k+2 ρ(α) = (δk f )h + f (δ0h).
Specializing this equality at z0 and choosing α ∈ M × of infinite order with
det(ρ(α)) = N (α) = 1, we have

α−k−2 (δk f )(z0 ) = (δk f )|k+2 ρ(α)(z0 ) = (δk f )(z0 )h(z0 ) + f (z0 )(δ0 h)(z0 )
= (δk f )(z0 )α−k + f (z0 )(δ0 h)(z0 ),

because h(z0 ) = (f |k ρ(α))(z0 )/f (z0 ) = α−k . As α2 = 1, we have

(δk f )(z0 ) = αk (α−2 − 1)−1 f (z0 )(δ0 h)(z0 ).

Note that δ0 h is a meromorphic modular form of weight 2 defined over Q by

the q-expansion principle (see (2.3.3) and Sect. 6.2.8 for the principle). Thus,
δ0 h(z0 )
∈ Q (Remark 1.24), and this proves the result when r = 1. We repeat

2
Ω∞

this process r times. By the Leibnitz formula, δkr (f h) = 0≤s≤r rs δks f δ0r−s h.
From this, we get
 r 
δkr (f )|k+2r ρ(α) = (δkr f )h + (δkr−s f )(δ0s h).
s
0<s≤r

Evaluating this at z0 , we finally get

 r 
(δkr f )(z0 ) = αk (α−2r − 1)−1 (δkr−s f )(z0 )(δ0s h)(z0 ). (1.3.8)
s
0<s≤r

Note that δ0s h = δ2s−1 δ0 h, and as we have already observed, δ0 h is a meromor-

phic Q-rational modular form finite at z0 . Then, by the induction hypothesis,
we get the desired rationality.
Remark 1.28 Choosing g ∈ Gk+2r (Γ1 (N ); W) with g(z0 ) = 0 under the
δ r f (z )
notation of the above proof, Shimura actually proved in [Sh6] that kg(z0 )0 ∈ Q,
which is equivalent to the above theorem by Theorem 1.23.
Remark 1.29 For a given f ∈ Gk (Γ1 (N ); Q) as above, defining the transfor-
mation equation P (X, f ) (of Fricke–Klein) by

 
d
P (X, f ) = (X − f |k γ) = aj (z)X j ,
γ∈Γ1 (N )\SL2 (Z) j=0

we have aj ∈ Gkd−jd (1; W). Thus, aj = Qj (g2 , g3 ) for an isobaric polynomial

Qj with coefficients in Q. If (E, ω) is defined by the Weierstrass equation
y 2 = 4x3 − g2 (E, ω)x − g3 (E, ω), f (E, φN , φp , ω) satisfies
 1.3 CM Periods and L-Values 35


d
Qj (g2 (E, ω), g3 (E, ω))X j = 0.
j=0

Thus, this gives an algorithm to compute the value f (E(a), φN , φp , ω). Once
we know the value f (E(a), φN , φp , ω) = f (E(a),φ
Ωk
N ,du)
, we can then compute
∞
r
δk (f (z0 ))
Ω∞ k+2rfollowing the above proof (in particular, the induction process). See
[H81a] Sect. 8 for numerical examples of derived values of Eisenstein series.

1.3.6 p-Adic Differential Operators

On V (W  ), we have amore standard

 differential operator d = δ0 whose effect
on q-expansion is d( n an q n ) = n nan q n . An elementary construction of
d can be given as follows. Pick f ∈ Gk (Γ1 (N pm ); W  ) ⊂ Gk (Γ1 (N pm ); C).
: Z/pr Z → W  , we define its Fourier transform φ∗ :
Then, for any function φ 
 ∗
Z/p Z → W by φ (x) = u∈Z/pr Z φ(u)e(xu/pr ), where e(x) = exp(2πix).
r

Exercise 1.30 Prove (φ∗ )∗ (x) = pr φ(−x).

We define  u
f |φ(z) = p−r φ∗ (−u)f (z + ). (1.3.9)
pr
u mod Z/pr Z
 
Then we have ( n an q n )|φ) = n φ(n)an q n ∈ Gk (Γ1 (N p2r+m ); W  ).
Exercise 1.31 Define φ|x(u) = φ(xu) for x ∈ (Z/pr Z)× (r > 0). Prove that
 
(f |φ)|k γ = (f |k γ)|(φ|ad−1 ) if γ = ac db ∈ Γ1 (N pm ) ∩ Γ0 (p2r )

for f ∈ Gk (Γ1 (N pm ); C). In particular, f |φ ∈ Gk (Γ1 (N pm ); C).

Hint: Use the strong approximation theorem of SL(2) and the formula:
 a b −1  1 u/pr   a b  1 (a−1 d)u/pr 
0 d 0 1 0 d = 0 1

(see also [IAT] Proposition 3.64).

Choosing φn : Z/pn Z → W  so that φn (u) ≡ u mod pn W  , the q-expansion
limn→∞ (f |φn ) converges p-adically
 to the q-expansion of df . By the limit
principle, Gk (N p∞ ; W  ) := m Gk (N pm ; W  ) is dense in V (W  ), and we have
a unique df ∈ V (W  ) (this p-adic approximation process in the space of p-adic
modular forms will be fully justified in Remark 7.42). Thus, dr f (E, φp ) ∈ W 
is well defined. The effect of dr on the q-expansion of a modular form is
given by
 
dr a(n)q n = a(n)nr q n . (1.3.10)
n n

We can let a ∈ Z×
p act on f ∈ V (B) by
36 1 Nontriviality of Arithmetic Invariants
a 
f |a(E, φN , φp ) = f | 0
0 a−1
(E, φN , φp ) = f (E, φN , a · φp ).

The operator d has the invariance properties described in the following two
lemmas. So it is natural to call it the p-adic invariant differential operator.
Lemma 1.32 If f ∈ Gk (Γ1 (N pm ); W  ), then we have
 0 
(dr f )| a0 a−1 = a−k−2r (dr f )

for a ∈ Z×
p.
 0 
Proof. We can approximate p-adically g := a0 a−1 by an element γn ∈
Γ1 (N pm ) ∩ Γ0 (p2n ) so that γn ≡ g mod pn M2 (Zp ). By Exercise 1.31, we
have

df |a = a−k lim f |φn |k γn = a−k lim f |γn |(φn |a2 ) = a−k−2 df

n→∞ n→∞

because φn (u) ≡ u mod pn W  . Then, iterating this formula r times, we get

the formula in the lemma.

The above action of a [or g ∈ T1 (Zp ))] is the local one concentrated at p (as
φN is intact), where T1 (A) is the subgroup of SL2 (A) made up of diagonal
matrices for any ring A. We have a global action f → f |γ for γ ∈ GL2 (Z(p) ).
Since γ changes the level structure φN , the definition is more involved. For
that, we actually need to extend the level structure  to the prime-to-p Tate
(p∞) 2 ∼
(p)
module η : (A ) = V (E) = limpm E[m] ⊗Z Q so that we can let
(p)
←−
γ act by η → η ◦ γ. This is tantamount to introducing the structure of
(p) (p)

Shimura variety, and this will be done in Chap. 7. Define

(dr f )|ρ(α)(E, φp , η (p) ) := (dr f )(E, φp ◦ αp , η (p) ◦ ρ(p) (α))

for the image αp ∈ Op of α. Here we just note the following fact:

Lemma 1.33 Recall the elliptic curve E(a) with complex multiplication by an
imaginary quadratic field M in which p splits into (p) = pp. Define ρ : O×
(p) →

α 0
G(Zp × A(p∞) ) by α(p) ◦ η (p) = η (p) ◦ ρ(α) and ρp (α) = 0 αp . Then, for
p

f ∈ Gk (Γ1 (N pm ); W  ), if N (α) = 1, we have d(f |ρ(α)) = α2p (df |ρ(α)) and

((dr f )|ρ(α))(E(a), φp , η (p) ) = α−k−2r

p · dr f (E(a), φp , η (p) ).

Proof. By the deformation theory of E(a) (see Remark 7.49), the differential
operator d commutes with the action η (p) → η (p) ◦ g for g ∈ SL2 (A(p∞) ).
Then the effect of d on the operation f → f |ρ(α) can be computed by
Lemma 1.32. Note that (E(a), φp ◦ αp , η (p) ◦ ρ(p) (α)) ∼
= (E(a), φp , η (p) ) by
complex multiplication.
 1.3 CM Periods and L-Values 37

Katz interpreted the differential operator d in terms of the Gauss–Manin

connection of the universal elliptic curve over the modular curve X1 (N ) and
gave a purely geometric definition of the operator dr acting on V (R) for any p-
adic W  -algebra R (see Katz’s paper [K2]). Since his definition of dr is purely
geometric, it is valid for classical modular forms and p-adic modular forms at
the same time. An important formula given in [K2] (2.6.7) is as follows.
Theorem 1.34 (N. Katz) Let the notation and the assumption be as in
Theorem 1.23; in particular, E(a)/W  is the CM elliptic curve associated with
a lattice a ⊂ M for an imaginary quadratic field M in which p splits, where
W  is a discrete valuation ring finite flat over W over which E(a) is defined.
For f ∈ Gk (pn ; W  ), we have

(dr f )(E(a), φN , φp ) (δkr f )(E(a), φN , du)

= ∈ W . (K)
Ωpk+2r Ω∞k+2r

If a is a fractional ideal of O, we can take W  = W as explained earlier. We

can always find a nowhere vanishing differential ω in ΩE(a)/W  , as W  is a
discrete valuation ring, and as before ω = Ωp φp,∗ dt
t . We give here a proof
similar to the argument that proves Theorem 1.27.
Proof. We use the notation introduced in the proof of Theorem 1.27; hence,
×
a = i−1
∞ (Z + Zz0 ) for z0 ∈ H. We take α ∈ O(p) of infinite order, with αα = 1
and α ≡ 1 mod N .
After identifying geometric forms and analytic ones by q-expansions via
ip i
the two fixed embeddings Cp ←− W  −−
∞
→ C, we see that d = 2πi
1 ∂
∂z . We write
 f
A = A(N ; Q) = k { g |f, g ∈ Gk (Γ1 (N ); Q)}. For meromorphic functions
h(z) ∈ A, we have

1 ∂h(ρ(α)(z0 ))
d(h ◦ ρ(α))(z0 ) =
2πi ∂z
1 ∂h
= α−2 ((ρ(α)(z0 )) = α−2 (dh) ◦ ρ(α)(z0 ).
2πi ∂z
Since dh = g1 /g2 for g1 ∈ Gk+2 (Γ1 (N ); W  ) and g2 ∈ Gk (Γ1 (N ); W  ) for
sufficiently large k, we have (Remark 1.24)

(dh)(E(a), φN , φp,∗ dt
t )
2
= (dh)(E(a), φN , ω) = (δ0 h)(E(a), φN , ω) ∈ Q.
Ωp
(1.3.11)
For sufficiently large k, we will see later in Sect. 6.2.6 that the line bundle
generated by weight k forms is very ample; thus, we can write any modular
function of level N as a ratio of two modular forms of weight k, and hence,
any weight-2 meromorphic modular form is also a ratio of forms, one of weight
k + 2 and another of weight k.
38 1 Nontriviality of Arithmetic Invariants
p,∗ dt )
f (E(a),φ
Since Ωpk
t
= f (E(a), φN , ω) ∈ W  , we first show

(dr f )(E(a), φN , φp ) (δkr f )(E(a), φN , du)

= ∈Q
Ωpk+2r Ω∞k+2r

by induction on r. When r = 0, this follows from Theorem 1.23. To treat

r > 0, take f ∈ Gk (Γ1 (N ); W  ), and define h ∈ A by f |k ρ(α) = f h as in the
proof of Theorem 1.27.
Applying d to f |k ρ(α) = f h, we have (df )|k+2 ρ(α) = (df )h + f (dh). Spe-
cializing this equality at (E(a), φN , ω), we get from Lemma 1.33

α−k−2 (df (E(a), φN , φp )) = ((df )|ρ(α))(E(a), φN , φp )

= (df )(E(a), φN , φp )h(E(a)) + f (E(a), φN , φp )(dh)(E(a), φN , φp ).

Since h(E(a)) = (f |k ρ(α))(E(a), φN , φp )/f (E(a), φN , φp ) = α−k , we have

(df )(E(a), φN , φp ) = αk (α−2 − 1)−1 f (z0 )(dh)(E(a), φN , φp ).


dh(E,φ ,φ dt
))
Thus, we have again proved N
Ωp2
p,∗ t
∈ Q, and also this proves the
result when r = 1.We repeat
 this process r times. By the Leibnitz formula,
we have dr (f h) = 0≤s≤r rs ds f dr−s h. From this, we get

 r 
r r
d (f )|k+2r ρ(α) = (d f )h + (dr−s f )(ds h).
s
0<s≤r

αk
Evaluating this at (E(a), φN , φp ), we get for C = (α−2r −1)

 r 
(dr f )(E(a), φN , φp ) = C· (dr−s f )(E(a), φN , φp )(ds h)(E(a), φN , φp ).
s
0<s≤r

Dividing by Ωpk+2r , we finally get

(dr f )(E(a), φN , φp )  r  (dr−s f )(E(a), φN , φp ) (ds h)(E(a), φN , φp )

= C · .
Ωpk+2r s>0
s Ωpk+2r−2s Ωp2s

By the induction hypothesis, we have, for s > 0,

(dr−s f )(E(a), φN , φp ) (δkr−s f )(E(a), φN , du)

=
Ωpk+2r−2s Ω∞ k+2r−2s

and
(ds h)(E(a), φN , φp ) (ds−1 dh)(E(a), φN , φp ) (δ2s−1 dh)(E(a), φN , du)
= = .
Ωp2s Ωp2s 2s
Ω∞
 1.3 CM Periods and L-Values 39

Replacing each term as above by the corresponding Archimedean term, we

k+2r
recover the right-hand side of (1.3.8) divided by Ω∞ . Then, by the induction
hypothesis, we get the desired identity:

(dr f )(E(a), φN , φp ) (δ r f )(E(a), φN , du)

k+2r
= k k+2r
Ωp Ω∞

inside Q. Since the left-hand side of the above identity is in the completion
W  of ip (W  ) in Cp , we conclude the identity in W  = i−1 
p (W ).

Remark 1.35 We note that this process of proving algebraicity and p-

integrality applies to Hilbert modular forms (and beyond) after an appropriate
adjustment (as Shimura’s argument proving Theorem 1.27 has been general-
ized to unitary/symplectic Shimura varieties by himself in [AAF] Chap. III).
Therefore, the use of the Gauss–Manin connection to study this type of alge-
braicity is not necessary (though the use is perhaps more conceptual than our
way). In particular, if ap = Op , the proof via the Gauss–Manin connection
is more involved, because one needs to make scalar extension of the ring of
1
definition of E(O) to split the Hodge filtration on HDR (E(a)) in an appropri-
ate manner [see [K2] (2.4.2)]. We note that [K2] (essentially) covers the case
ap = Op . In any case, the existence of a canonical family of abelian varieties
over the Shimura variety is essential in either way one goes.

1.3.7 Katz Measure at a Glance

x
Recall the binomial polynomial m given by
  
x 1 if m = 0,
= x(x−1)···(x−n+1)
m m! if m ≥ 1.
    d
So x1 = x, x2 = x(x−1) , and so on. Consider the differential operator m
d 2    x 

[e.g., 2 f = 12 (d2 f − df )]. An easy property of m x
is m = 0 for integers
 x  x=n n

0 ≤ n ≤ m, and m x=n is the traditional binomial coefficient m ∈ Z. In
x
short, for the set of nonnegative integers Z+ , x → m has values in Z+ . Since
a polynomial function is p-adically
 x  continuous, we conclude immediately that
the polynomial function x → m sends Zp into Zp as Z+ is dense in Zp (the
existence of the p-adic expansion of each p-adic integer). Then we have
  n
d n
( an q ) = an q n .
m n n
m
n
In particular, m an ∈ R if an ∈ R for any p-adic algebra R. This shows
d d
m : V (R) → V (R). In particular, m f (E, ω) ∈ W if f ∈ Gk (pn ; W ).
A remarkable fact Mahler found in [Mh] (though elementary) is
40 1 Nontriviality of Arithmetic Invariants

Theorem 1.36 Let V = limn V /pn V be any p-adic Banach algebra over W
←−
with norm | · |p ; then the space
 of continuous functions C(Zp ; V ) of Zp with
values in V has a basis { m x
}n=0,1,... over V .In other words, Φ ∈ C(Zp ; V )
∞
n=0 an (Φ) n for an (Φ) ∈ V satisfying
x
has a unique expansion Φ(x) =
|an (Φ)|p → 0 as n → ∞.
One can find an easy proof of this theorem in [LFE] Sect. 3.2. Note here
that the space C(Zp ; V ) is again a Banach space under the norm |Φ|p =
Supx∈Zp |Φ(x)|p . Therefore, any bounded V -linear functional φ : C(Zp ; V ) →
V (called a bounded   on Zp with values in V ) is determined uniquely
  measure
by the value {φ( nx ) = Zp nx dφ}n=0,1,... . In short, we have

    

m
x
Φ(x)dφ = lim an (Φ) .
Zp m→∞
n=0 Zp n

Introducing
∞ x n a formal variable T , we have a formal identity  (1 + T )x =
T . Thus, by associating a formal power series (1 + T )x dφ(x) =
∞  x  n
n=0 n

n=0 Zp n
dφ T ∈ V [[T ]] to a bounded measure φ as above, we have an
isomorphism between the power series ring V [[T ]] and the space M(Zp ; V ) of
all bounded measures on Zp with values in V .
Corollary 1.37 We have a canonical isomorphism of p-adic Banach spaces:
M(Zp ; V ) ∼  ]], where the Banach norm on M(Zp ; V ) is given by |φ|p =
= V [[T
 
SupΦ=0  Zp Φdφ /|Φ|p .
p
   
 
Exercise 1.38 Prove |φ|p = Supn  Zp nx dφ , and show M(Zp ; V ) ∼
= V [[T ]]
p
as p-adic Banach spaces.
By Mahler’s theorem, a given
 continuous  x function Φ : Zp → W can be
expanded uniquely as Φ(x) = m≥0 am (Φ) m for am (Φ) ∈ W tending to 0
 x d
as m → ∞. Thus, defining Zp m df (x) = m f (E, φN , φp ), we have a unique
p-adic measure df : C(Zp ; W ) → W , where C(Zp ; W ) is the p-adic Banach
space of continuous functions on Zp with values in W .
Theorem 1.39 Let the notation and the  assumption
 xbe
 as in Theorem 1.34,
and suppose f ∈ Gk (pn ; W). If Φ(x) = m≥0 am (Φ) m ∈ C(Zp ; W ), we have
   
d
Φ(x)df (x) = Φ(x) = am (Φ) f (E(a), φN , φp ).
Zp m
m≥0

In particular, we have
 r
Zp x df (x) dr f (E(a), φN , φp ) δkr f (E(a), du)
= = ∈ W.
Ωpk+2r Ωpk+2r Ω∞k+2r
 1.3 CM Periods and L-Values 41

Recall the Eisenstein series

2 
ek (w) = l−k .
(k − 1)!
0=l∈Lw

As seen in (1.3.1), this series ek has the following q-expansion:

 
ek (q) = 2−1 ζ(1 − k) + qn ak−1 .
n>0 0<a|n

Thus, defining Ek = ek |1 for the characteristic function 1 of (Z/pZ)× on

(Z/pZ) in order to remove coefficients of q mp for m = 0, 1, . . . , we get
 
Ek (q) = qn ak−1 .
n>0,pn 0<a|n

 x  m E  
Then, writing m = j=0 cj xj and defining m = j cj Ej+1 as a function
of (E, ω), we find its q-expansion in Z[[q]]:
    a
E
= q n
∈ Z[[q]].
m m
n>0,pn 0<a|n

Thus, we can create a two-variable measure dE : C(Z2p ; W ) → W as follows.

Theorem 1.40 (N. Katz) Let the notation and the assumption be as in
Theorem 1.34. There exists a measure dE : C(Z2p ; W ) → W such that
      
x y d E
dE = (E(a), φN , φp ) ∈ W
Z2p m n m n

for all integers n ≥ 0 and m ≥ 0.

If E(a) is given by Gauss’s lemniscate E = E(O): y 2 = 1−x4 ∼
= y 2 = 4x3 −4x,
√ 1  ∞ dx
we have O = Z[i] for i = −1, Ω∞ = 0 du = 0 √1−x4 dx, and

2  L(0, λk )
−k
ek (E, ω) = Ω∞ α−k = ,
(k − 1)! (k − 1)!Ω∞ k
0=α∈Z[i]

where λk ((α)) = α−k . More generally, the differential operator δkr brings λk
into λk+r,−r , with λk+r,−r ((α)) = α−k (α/α)r , and we get a p-adic measure
L(0,λ )
interpolating Ω k+2rk+r,−r
(2πi)−r
over Z2p [up to an explicit constant like (k − 1)!]. We
∞
may regard λk+r,−r as a continuous character of Z× ×
p × Zp with values in Zp
×

k+r,−r (x, y) = x−k (y/x)r ; thus, λ

by putting λ k+r,−r (α, α) = λk+r,−r ((α)) for
×
all α ∈ O . We call λ k+r,−r the p-adic avatar of λk+r,−r . See Definition 8.3
(p)
for a more theoretical definition of p-adic avatars.
42 1 Nontriviality of Arithmetic Invariants

For a general imaginary quadratic field M , one needs to make a combina-

tion of the above type of measures to get this type of p-adic interpolation of
Hecke L-values. Indeed, writing Cl(pn ) for the ray class group of M modulo
pn , the limit C = limn Cl(pn ) has a decomposition C = A∈Cl [A]O× p /{±1}.
←−
Each A gives rise to an elliptic curve with complex multiplication by O with
EA (C) = C/i∞ (A). Since we assumed that p splits in O, we have Op ∼ = Zp ×Zp
as algebras. By the above construction, we get a measure dEA associated with
EA on the coset [A]O× p /{±1}. Since we want to have a measure supported on
C, which is the Galois group of the maximal abelian extension of M unrami-
fied outside p, we need to modify this construction as the original measure is
supported on Z2p . We also construct the p-adic avatar λ  : C → Q× , so that
p

λ(a) = λ(a) for all fractional ideals a prime to p (see Sect. 9.1.4). After an
appropriate (but tricky) adjustment, Katz proved the following theorem from
Theorems 1.27 and 1.34 in this way (see Sect. 9.1 for the actual construction):

Theorem 1.41 (N. Katz) Let M be an imaginary quadratic field in which

the prime p splits. Then there exists a measure dμ on C such that for a Hecke
character λ with λ((α)) = α−k αj for α ≡ 1 mod pn for some n > 0, writing

its p-adic avatar as λ,


λdμ L(0, λ)
C
= c(λ)(1 − λ(p))(1 − λ(p)−1 p−1 ) ∈ W[λ],
Ωpk+j k+j
(2πi)−j Ω∞

where 0 ≤ j < k and W[λ] is the ring generated over W by λ(A) for A running
over all fractional ideals of M prime to p. For the simple constant c(λ), see
Theorem 9.4.
The determination of the μ-invariant and the λ-invariant of the Katz p-
adic L-functions is a basic question. We would like to answer this question
about μ in the present book.
2
Elliptic Curves and Modular Forms

We now describe basics of elliptic curves and modular curves in three steps:
1. as plane curves over a field;
2. as scheme/group functor over a ring;
3. modular forms as functorial rules on modular curves.
Elliptic curves and modular curves are perhaps the most important objects
studied in number theory. The theory gives a base of the proof by Wiles
(through Ribet’s work) of Fermat’s last theorem, it supplies us with the sim-
plest (and perhaps the most beautiful) example of Shimura varieties (cf. [IAT]
Chaps. 6 and 7), a fast prime factorization algorithm (cf. [REC] IV), and so
on. We give a sketch of the theory of modular curves and modular forms and
(a minimal amount of) notation and terminology for us to be able to state
main themes in the next chapter. For graduate students just starting to learn
elliptic curves and modular forms, this chapter hopefully serves as an intro-
ductory illustration of the theory. Experienced readers may skip this chapter,
going directly to the Chap. 3.

2.1 Curves over a Field

In this section, we describe basics of plane curves over a fixed field k. We also
fix an algebraic closure k of k and a sufficiently big algebraically closed field
Ω containing k. Here we suppose that Ω has many transcendental elements
over k. An example of this setting is the familiar one: k = Q ⊂ Q ⊂ C = Ω.

2.1.1 Plane Curves

Let a be a principal ideal of the polynomial ring k[X, Y ]. Note that polyno-
mial rings over a field are
 a unique factorization domain. We thus have the
prime factorization a = p pe(p) with principal primes p. We call a square-

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 43

in Mathematics, DOI 10.1007/978-1-4614-6657-4 2,
© Springer Science+Business Media New York 2013
44 2 Elliptic Curves and Modular Forms

free if 0 ≤ e(p) ≤ 1 for all principal primes p. Fix a square-free a. The set of
A-rational points for any k-algebra A of a plane curve defined over k is given
by the zero set
  
Va (A) = (x, y) ∈ A2 f (x, y) = 0 for all f (X, Y ) ∈ a .

It is common to take an intermediate field Ω/A/k classically, but the defini-

tion itself works well for any k-algebra A (here a k-algebra is a commutative
ring containing k and sharing identity with k). Often in mathematics, if one
has more flexibility, proofs become easier; so, we just allow Va (A) for any
k-algebras A. Obviously, for a generator f (X, Y ) of a, we could have defined
  
Va (A) = Vf (A) = (x, y) ∈ A2 f (x, y) = 0 ,

but this does not depend on the choice f of generators and depends only on the
ideal a; thus, it is more appropriate to write it as Va . As an exceptional case,
we note V(0) (A) = A2 . Geometrically, if a = {0}, we think of Va (Ω) as a curve
in Ω 2 = V(0) (Ω). This is intuitively more geometric if we take k ⊂ Ω = C (a
“curve” is a two-dimensional “plane” as a real manifold). In this sense, for any
algebraically closed field K over k, a point x ∈ Va (K) is called a geometric
point with coefficients in K, and V(f ) (K) ⊂ V(0) (K) is called the geometric
curve in V(0) (K) = K 2 defined by the equation f (X, Y ) = 0.
By Hilbert’s zero theorem (Nullstellensatz; see [CRT] Theorem 5.4 and
[ALG] Theorem I.1.3A), writing a for the principal ideal of k[X, Y ] generated
by a, we have
  
a = g(X, Y ) ∈ k[X, Y ]g(x, y) = 0 for all (x, y) ∈ Va (k) . (2.1.1)

Thus we have a bijection

{square-free ideals of k[X, Y ]} ↔ {plane curves Va (k) ⊂ V(0) (k)}.

The association Va : A → Va (A) is a covariant functor from the category

of k-algebras to the category of sets (denoted by SET S; see Sect. 4.1 for
category and functor and Example 4.1 for a list of notations for categories).
Indeed, for any k-algebra homomorphism σ : A → A , we have an associated
map: Va (A)  (x, y) → (σ(x), σ(y)) ∈ Va (A ) as 0 = σ(0) = σ(f (x, y)) =
f (σ(x), σ(y)). Thus, a = a ∩ k[X, Y ] is determined uniquely by this functor,
but the value Va (A) for an individual A may not determine a. From a number-
theoretic viewpoint (Diophantine problems), studying Va (A) for a small field
(or even a ring, such as Z) is important. Thus, it would often be better to
regard Va as a functor.
If a = p p for principal prime ideals p, by definition, we have
+
Va = Vp .
p|a
 2.1 Curves over a Field 45

The plane curve Vp (for each prime p|a) is called an irreducible component of
Va . Since p is a principal prime, we cannot have a finer nontrivial decomposi-
tion Vp = V ∪ W with plane curves V and W defined over k. A prime ideal
p ⊂ k[X, Y ] generates an ideal in p in k[X, Y ], which may decompose into a
product of primes in k[X, Y ]. If the ideal p remains prime in k[X, Y ], we call
Vp geometrically irreducible.
Suppose that we have a map FA = F (φ)A : Va (A) → Vb (A) given by
two polynomials φX (X, Y ), φY (X, Y ) ∈ k[X, Y ] (independent of A) such that
FA (x, y) = (φX (x), φY (y)) for all (x, y) ∈ Va (A) and all k-algebras A. Such a
map is called a regular k-map or a k-morphism from a plane k-curve Va into
Vb . Here Va and Vb are plane curves defined over k. If A1 = Vb is the affine
line, that is, Vb (A) ∼= A for all A (taking, for example, b = (y)), a regular
k-map Va → A1 is called a regular k-function. Regular k-functions are just
functions induced by the polynomials in k[x, y] on Va ; hence, Ra is the ring
of regular k-functions of Va defined over k. Let An = (A1 )n .
We write Homk-curves (Va , Vb ) for the set of regular k-maps from Va into
Vb . Obviously, only φ? mod a (? = X, Y ) can possibly be unique. We have a
commutative diagram for any k-algebra homomorphism σ : A → A :
F
Va (A) −−−A−→ Vb (A)
⏐ ⏐
⏐
σ.
⏐σ
.
Va (A ) −−−−→ Vb (A ).
FA

Indeed,

σ(FA ((x, y))) = (σ(φX (x, y)), σ(φY (x, y)))

= (φX (σ(x), σ(y)), φY (σ(x), σ(y)) = FA (σ(x), σ(y)).

Thus, the k-morphism is a natural transformation of functors (or a morphism

of functors) from Va into Vb . We write HomCOF (Va , Vb ) for the set of natural
transformations from Va into Vb [we will see later that HomCOF (Va , Vb ) is a
set].
The polynomials (φX , φY ) induce a k-algebra homomorphism F from
k[X, Y ] into itself by pullback; that is, F (Φ(X, Y )) = Φ(φX (X, Y ), φY (X, Y )).
Take a class [Φ]b = Φ + b in B = k[X, Y ]/b. Then look at F (Φ) ∈
k[X, Y ] for Φ ∈ b. Since (φX (x), φY (y)) ∈ Vb (k) for all (x, y) ∈ Va (k),
Φ(φX (x, y), φY (x, y)) = 0 for all (x, y) ∈ Va (k). By Nullstellensatz, F (Φ) ∈
a ∩ k[X, Y ] = a. Thus, F (b) ⊂ a, and F induces a (reverse) k-algebra homo-
morphism
F : k[X, Y ]/b → k[X, Y ]/a,
making the following diagram commutative:
46 2 Elliptic Curves and Modular Forms
F
k[X, Y ] −−−−→ k[X, Y ]
⏐ ⏐
⏐ ⏐
. .
k[X, Y ]/b −−−−→ k[X, Y ]/a.
F

We write Ra = k[X, Y ]/a and call it the affine ring of Va . Here is a useful (but
tautological) lemma that is a special case of Yoneda’s lemma:
Lemma 2.1 We have a canonical isomorphism:

HomCOF (Va , Vb ) ∼
= Homk-curves (Va , Vb ) ∼
= Homk−alg (Rb , Ra ).

The first association is covariant, and the second is contravariant.

Here is a sketch of the proof.
Proof. First, we note Va (A) ∼
= HomALG/k (Ra , A) via

Va (A)  (a, b) ↔ (Φ(X, Y ) → Φ(a, b)) ∈ HomALG/k (Ra , A).

Thus, for functors, we have Va (?) ∼= HomALG/k (Ra , ?). We identify the two
functors A → Va (A) and A → Hom(Ra , A) in this way. Then the main point
of the proof of the lemma is to construct, from a given natural transformation
F ∈ HomCOF (Va , Vb ), a k-algebra homomorphism F : Rb → Ra , giving F by
F
Va (A) = HomALG/k (Ra , A)  φ →A
φ ◦ F ∈ HomALG/k (Rb , A) = Vb (A). Then
the following exercise finishes the proof, as, clearly, if we start with F , the
above association leads to F .
Exercise 2.2 Let F = FRa (idRa ) ∈ VRb (Ra ) = HomALG/k (Rb , Ra ), where
idRa ∈ Va (Ra ) = HomALG/k (Ra , Ra ) is the identity map. Then prove that F
does the required job.
Recall that Va is irreducible (resp., geometrically irreducible) if a is a prime
ideal of k[x, y] (resp., a = ak[X, Y ] is a prime ideal in k[X, Y ]).
Exercise 2.3 1. Prove that for any unique factorization domain R, R[X] is
a unique factorization domain.
2. Give an example of two distinct principal prime ideals a, b of Q[X, Y ] with
Va (Q) = Vb (Q).
3. If a and b are two distinct principal prime ideals of Q[X, Y ], prove
Va (Q) = Vb (Q).
4. For a principal ideal a = (f ) ⊂ k[X, Y ], prove a ∩ k[X, Y ] = a.
5. Show that F : k[X, Y ]/b → k[X, Y ]/a is uniquely determined by the mor-
phism F : Va → Vb of functors.
An element in the total quotient ring of Ra is called a rational k-function on
Va . If Va is irreducible, then rational k-functions form a field. This field is
called the rational function field of Va over k and is written as k(Va ).
 2.1 Curves over a Field 47

2.1.2 Tangent Space and Local Rings

Suppose a = (f (X, Y )). Write V = Va and R = Ra . Let P = (a, b) ∈ Va (K).

We consider partial derivatives
∂f ∂f ∂f ∂f
(P ) := (a, b) and (P ) := (a, b).
∂X ∂X ∂Y ∂Y
Then the line tangent to Va at (a, b) has equation

∂f ∂f
(a, b)(X − a) + (a, b)(Y − b) = 0.
∂X ∂Y
We write the corresponding linear space as TP = Vb for the principal ideal b
∂f ∂f
generated by ∂X (a, b)X + ∂Y (a, b)Y . We say that Va is nonsingular or smooth
at P = (a, b) ∈ Va (K) for a subfield K ⊂ Ω if this TP is really a line, in other
∂f
words, if ( ∂X ∂f
(P ), ∂Y (P )) = (0, 0).
Example 2.4 Let a = (f ) for f (X, Y ) = Y 2 − X 3 . Then for (a, b) ∈ Va (K),
we have
∂f ∂f
(a, b)(X − a) + (a, b)(Y − b) = −3a2 (X − a) + 2b(Y − b).
∂X ∂Y
Thus, this curve is singular only at (0, 0).
Example 2.5 Suppose that k has characteristic different from 2. Let a =
(Y 2 − g(X)) for a cubic polynomial g(X) = X 3 + aX + b. Then the tangent
line at (x0 , y0 ) is given by 2y0 (X −x0 )−g  (x0 )(Y −y0 ). This equation vanishes
if 0 = y02 = g(x0 ) and g  (x0 ) = 0 and hence is singular at only (x0 , 0) for a
multiple root x0 of g(X). Thus, Va is a nonsingular curve if and only if g(X)
is separable if and only if its discriminant −4a3 − 27b2 = 0.
Suppose that K/k is an algebraic field extension. Then K[X, Y ]/aK[X, Y ]
contains Ra as a subring. A maximal ideal (X −a, Y −b) ⊂ K[X, Y ]/aK[X, Y ]
induces a maximal ideal P = (X − a, Y − b) ∩ Ra of Ra . Then the local ring
OV,P at P is the localization
/a 0
OV,P = b ∈ R, b ∈ R \ P ,
b

where ab = ab if there exists s ∈ R \ P such that s(ab − a b) = 0. Write the
maximal ideal of OV,P as mP . Then mP ∩ R = P .
Lemma 2.6 The linear vector space TP (K) is the dual vector space of
P/P 2 = mP /m2P .

Proof. Write a = (f ). Replacing k[X, Y ]/(f ) by K[X, Y ]/(f ), we may as-

sume that K = k. A K-derivation ∂ : OV,P → K (at P ) is a K-linear
map with ∂(φϕ) = ϕ(P )∂(φ) + φ(P )∂(ϕ). Write DV,P for the space of
48 2 Elliptic Curves and Modular Forms

all K-derivations at P , which is a K-vector space. Clearly, for A := V(0) ,

DA,P is a two-dimensional vector space generated by ∂X : φ → ∂X ∂φ
(P ) and
∂Y : φ → ∂Y (P ). We have a natural injection i : DV,P → DA,P given by
∂φ

i(∂)(φ) = ∂(φ|V ). Note that Ω(a,b) = (X − a, Y − b)/(X − a, Y − b)2 is a

two-dimensional vector space over K generated by X−a and Y −b. Thus, DA,P
and Ω(a,b) are dual to each other under the pairing (α(X − a) + β(Y − b), ∂) =
∂(α(X − a) + β(Y − b)). The projection k[X, Y ]  R induces a surjection
Ω(a,b) → ΩV,P = P/P 2 , whose kernel is spanned by

∂f ∂f
f mod (X − a, Y − b)2 = (a, b)(X − a) + (a, b)(Y − b)
∂X ∂Y
if a = (f ), since we have
∂φ ∂φ
φ(X, Y ) ≡ (a, b)(X − a) + (a, b)(Y − b) mod (X − a, Y − b)2 .
∂X ∂Y
Thus, the above duality between Ω(a,b) and DA,(a,b) induces the duality
ΩV,P = P/P 2 and TP (K) given by (ω, t) = t(ω), where we regard t as a
derivation OV,P → K. 
We call TP the tangent space at P and ΩP = ΩV,P the cotangent space
at P of V . More generally, a k-derivation ∂ : Ra → Ra is a k-linear map
satisfying the Leibniz condition ∂(φϕ) = φ∂(ϕ) + ϕ∂(φ) and ∂(k) = 0. For a
k-derivation as above, f ∂ : ϕ → f ·∂(ϕ) because f ∈ Ra is again a k-derivation.
The totality of the k-derivation DerVa /k is therefore an Ra -module.
To make TP explicit, first take a = (0); thus, Va = A2 . We have

∂(X n ) = nX n−1 ∂X, ∂(Y m ) = mY m−1 ∂Y

and ∂(X n Y m ) = nX n−1 Y m ∂X + mX n Y m−1 ∂Y

for ∂ ∈ DerA2 /k ; hence, ∂ is determined by its value ∂(X) and ∂(Y ). Note
∂ ∂
that (∂X) ∂X + (∂Y ) ∂Y in DerA2 /k , and the original ∂ has the same value at
X and Y ; thus, we have
∂ ∂
∂ = (∂X) + (∂Y ) .
∂X ∂Y
∂ ∂ 
Thus, ∂X , ∂Y gives a basis of DerA2 /k .
Assuming Va nonsingular [including A2 = V(0) ], we write the Ra -dual as
ΩVa /k := Hom(DerVa /k , Ra ) (the space of k-differentials) with the duality
pairing
(·, ·) : ΩVa /k × DerVa /k → Ra .
We have a natural map d : Ra → ΩVa /k given by φ → (dφ : ∂ → ∂(φ)) ∈
DerVa /k . Note

(d(φϕ), ∂) = ∂(φϕ) = φ∂(ϕ) + ϕ∂(φ) = (φdϕ + ϕdφ, ∂)

 2.1 Curves over a Field 49

for all ∂ ∈ DerVa /k . Thus, we have d(φϕ) = φdϕ + ϕdφ, and d is a k-linear
derivation with values in ΩVa /k .
Again, let us first look into ΩA2 /k . Then, by definition, (dX, ∂) = ∂X
∂ ∂ 
and (dY, ∂) = ∂Y ; hence, {dX, dY } is the dual basis of ∂X , ∂Y . We have
∂Φ ∂Φ
dΦ = ∂X dX + ∂Y dY , as we can check easily that the left-hand and the
right-hand sides have the same value on any ∂ ∈ DerA2 /k .
If ∂ : Ra = k[X, Y ]/(f ) → Ra is a k-derivation, we can apply it to any
polynomial Φ(X, Y ) ∈ k[X, Y ] and hence regard it as  Y ] → Ra . By
 ∂∂ : k[X,
∂
the above argument, Derk (k[X, Y ], Ra ) has a basis ∂X , ∂Y now over Ra .
Since ∂ factors through the quotient k[X, Y ]/(f ), it satisfies ∂(f (X, Y )) =
(df, ∂) = 0. Thus, we have the following:
Lemma 2.7 We have an inclusion DerVa /k → (Ra ∂X ∂
⊕ Ra ∂Y
∂
) whose image
is given by {∂ ∈ Derk (k[X, Y ], Ra )|∂f = 0}. This implies

ΩVa /k = (Ra dX ⊕ Ra dY )/Ra df

∂f ∂
for df = ∂X dX + ∂Y dY by duality.
Remark 2.8 If Va is irreducible (so that Ra is an integral domain), the space
k(Va )ΩVa /k = (k(Va )dX ⊕ k(Va )dY )/k(Va )df has dimension 1, as df = 0 in
ΩA2 /k . In particular, if we pick ψ ∈ Ra with dψ = 0 (i.e., a nonconstant), any
differential ω ∈ ΩVa /k can be uniquely written as ω = φdψ for φ ∈ k(Va ).
Lemma 2.9 The four following conditions are equivalent:
1. A point P of V (k) is a smooth point.
2. OV,P is a local principal ideal domain, not a field.
3. OV,P is a discrete valuation ring with residue field k.
4. limn OV,P /mnP ∼
= k[[T ]] (a formal power series ring of one variable).
←−
Proof. Let K = k. By the above lemma, TP is a line if and only if dim TP (K) =
1 if and only if dim P/P 2 = dim mP /m2P = 1. Thus, by Nakayama’s lemma
(Lemma 10.8), mP is principal. Any nonzero prime ideal of k[X, Y ] is either
principal or maximal (i.e, the ring k[X, Y ] has Krull dimension 2). Thus, any
prime ideal of R and OV,P is maximal. Thus, (1) and (2) are equivalent.
The equivalence of (2) and (3) follows from general ring theory (see [CRT]
Theorem 11.2). We leave the equivalence (3) ⇔ (4) as an exercise.
Write x, y for the image of X, Y ∈ k[X, Y ] in Ra . Any ω ∈ ΩVa /k can be
written as φdx + ϕdy. Suppose that Va is nonsingular. Since OVa ,P → k[[T ]]
[for P ∈ Va (k)] for a local parameter T as above, φ, ϕ, x, y have
 the “Tay-
lor expansion” as an element of k[[T ]], for example, x(T ) = n≥0 an (x)T n
 an (x) ∈ k. Thus,
with  dx, dy also have a well-defined expansion, say, dx =
d( n≥0 an (x)T n ) = n≥1 an (x)T n−1 dT . Therefore, we may expand

ω = φdx + ϕdy = an (ω)T n dT
n≥0
50 2 Elliptic Curves and Modular Forms

once we choose a parameter T at P . This expansion is unique independent

of the expression φdx + ϕdy. Indeed, if we allow meromorphic functions Φ as
coefficients, as we remarked already, we can uniquely write ω = Φdx and the
above expansion coincides with the Taylor expansion of Φdx.
Exercise 2.10 Let P ∈ Va (K) for a finite field extension K/k, and pull back
P to a maximal ideal (X −a, Y −b) ⊂ K[X, Y ]. Define (X −a, Y −b)∩k[X, Y ],
and project it down to a maximal ideal p ⊂ Ra = k[X, Y ]/a. Write OVa ,p for
the localization of Ra at p. Prove the following facts:
1. p is a maximal ideal and its residue field is isomorphic to the field k(a, b)
generated by a and b over k.
2. (p/p2 ) ⊗k(a,b) K ∼= P/P 2 as K-vector space.
3. Any maximal ideal of Ra is the restriction of P ∈ Va (K) for a suitable
finite field extension K/k.
4. OVa ,p is a discrete valuation ring if and only if OVa ,P is a discrete valuation
ring.
Write Max(Ra ) for the set of maximal ideals of Ra . Then, clearly, we have
a natural inclusion Va (k) → Max(Ra ) sending (a, b) to (x − a, y − b) for the
image x, y in Ra of X, Y ∈ k[X, Y ]. For P ∈ Max(Ra ), we say P is smooth on
Va if OV,P is a discrete valuation ring. By the above exercise, this is consistent
with the earlier definition (no more, no less).
For any given affine plane irreducible curve Va , we call Va normal if Ra is
integrally closed in its field of fractions.
Corollary 2.11 Any normal irreducible affine plane curve is smooth every-
where.

Proof. By ring theory, any localization of a normal domain is normal. Thus,

OV,P is a normal domain. By the exercise below, we may assume that P ∩
k[X, Y ] = (0). Then P is a maximal ideal, and hence K = k[X, Y ]/P is an
algebraic extension of k. Then OV,P is a normal local domain with principal
maximal ideal, which is a discrete valuation ring (cf. [CRT] Theorem 11.1).

Exercise 2.12 1. Let P = k[X, Y ] ∩ (X − a, Y − b) for (a, b) ∈ Va (Ω), where

(X − a, Y − b) is the ideal of Ω[X, Y ]. Is it possible to have P = (0) ⊂
k[X, Y ] for a point (a, b) ∈ Va (Ω)?
2. If a = (XY ), is the ring OV,O for O = (0, 0) an integral domain? What
is dimk mO /m2O ?
3. For all points P ∈ Va (Ω) with Ra ∩ P = (0) [regarding P = (x − a, y − b)
as an maximal ideal of Ω[X, Y ]/aΩ[X, Y ]], prove that V is smooth at P .
4. If A is a discrete valuation ring containing a field k ⊂ A that is naturally
isomorphic to the residue field of A, prove A = lim A/mn ∼
←−n A = k[[T ]], where
mA is the maximal ideal of A.
 2.1 Curves over a Field 51

2.1.3 Projective Space

Let A be a commutative   ring. Write
 AP for the localization at a prime ideal
P of A. Thus, AP = sb s ∈ A \ P / ∼, where sb ∼ sb if there exists s ∈ A \ P


such that s (s b − sb ) = 0. An A-module M is called locally free at P if

MP = { m s |s ∈ A \ P }/ ∼= AP ⊗A M is free over AP . We call M locally free if
MP is free at all prime ideals P of A. If rankAP MP is constant r independent
of P , we write rankA M = r.
Write ALG/B for the category of B-algebras; hence, HomALG/B (A, A ) is
made up of B-algebra homomorphisms from A into A , sending the identity
1A to the identity 1A . Here B is a general base ring, and we write ALG for
ALG/Z (and ALG is the category of all commutative rings with identity). We
consider a covariant functor Pn = Pn/B : ALG/B → SET S given by
  
Pn (A)= L ⊂ An+1 L (resp., An+1 /L) is locally A-free of rank 1 (resp., n) .
This is a covariant functor (represented by the projective space Pn of dimen-
sion n). Indeed, if σ : A → A is a B-algebra homomorphism, letting it act
on An+1 coordinatewise, L → σ(L) ⊗A A [the A -module generated by σ(L)]
induces a map Pn (A) → Pn (A ). If A is a field K, then L ∈ Pn (K) has to be
free of dimension 1 generated by a nonzero vector x = (x0 , x1 , . . . , xn ). The
vector x is unique up to multiplication by nonzero elements of K. Thus, we
have proven the first statement (for a field) of the following:
Lemma 2.13 Suppose that K is a local ring with maximal ideal m. Then
Pn (K) is canonically in bijection to
 
x = (x0 , x1 , . . . , xn ) ∈ K n+1 |x ≡ (0, . . . , 0) mod m /K × .
Moreover, writing Di : ALG/B → SET S for the subfunctor Di (A) ⊂ Pn (A)
made up of the classes L whose  projection to the ith∼component A ⊂ An+1 is
n n
surjective, we have P (K) = i Di (K) and Di (A) = A canonically for all
B-algebras A. If A is a local ring K, Di ∼ = An is given by sending (x0 , . . . , xn )
to ( xi , . . . , xi ) ∈ K , removing the ith coordinate.
x0 xn n

Proof. Since K = Km for its maximal ideal m, L is free if it is locally free.

Thus, we have a generator x = (x0 , . . . , xn ) of L over K. Since K n+1 /L is
locally free of rank n, it has to be free of rank n over K as K is local. Taking
a basis v 1 , . . . , v n of K n+1 /L, we lift them to vi ∈ K n+1 so that x, v1 , . . . , vn
form a basis of K n+1 over K (by Nakayama’s lemma; Lemma 10.8). Thus,
x ≡ 0 mod m for the maximal ideal m of K. In particular, for an index i,
xi ∈ m; hence, xi ∈ K × . Since the projection of L to the ith component
×
is generated
n
 by xi ∈ K , it is equal to K, and hence x ∈ Di (K). Thus,
P (K) = i Di (K).
If L ∈ Di (A), we have the following commutative diagram.
→
L −−−−→ An+1
⏐ ⏐
⏐
.
⏐i-th proj
.
∼
L −−−−→ A
52 2 Elliptic Curves and Modular Forms

Thus, L is free of rank 1 over A and hence has a generator (x0 , . . . , xn ) with
xi ∈ A× . Then (x0 , . . . , xn ) → ( xx0i , . . . , xxni ) ∈ An gives rise to a natural
transformation of Di onto An (which is an isomorphism of functors).  
If K is local (in particular, a field), we write (x0 :x1 : · · · :xn ) for the point of
Pn (K) represented by (x0 , . . . , xn ), as only the ratio matters.
Exercise 2.14 Is there any example of a point in X ∈ P1 (A) (and a ring
A) such that the projections to the first and second coordinates are both not
surjective?
We assume that K is a field for a while. When n = 1, we see P1 (K) =
K × {∞} by (x:y) → xy ∈ K {∞}. Thus, P1 (R) [resp., P1 (C)] is isomorphic
(topologically under Euclidean topology) to a circle (resp., a Riemann sphere).
We now assume that n = 2. Set L = {(x:y:0) ∈ P2 (K)}. Then P1 ∼ =L
by (x:y) → (x:y:0); hence, L is isomorphic to the projective line. We have
P2 (K) = D(K)  L for fields K, where D = D2 . Thus, geometrically (i.e.,
over algebraically closed fields K), P2 (K) is the union of the affine plane and
a projective line L ∼
= P1 (K). We let L = L∞ (the line at ∞).

2.1.4 Projective Plane Curve

Return to our base field B = k. For a plane curve defined by a = (f (x, y)) for
f (x, y) of degree m, we define F (X, Y, Z) = Z m f ( X Y
Z , Z ), which is a (square-
free) homogeneous polynomial of degree m in k[X, Y, Z]. If L ∈ P2 (A), we
can think of F (#) for # ∈ L. We write F (L) = 0 if F (#) = 0 for all # ∈ L.
Thus, for any k-algebra A, we define the functor V a : ALG/k → SET S by
 
V a (A) = L ∈ P2 (A)|F (L) = 0 .
If A is a field K, we have L ∈ P2 (K) sent its generator (a, b, c) ∈ L to identify
P2 (K) with the (classical) projective space with homogeneous coordinate.
Since F (L) = 0 if and only if F (a:b:c) = 0, we have
 
V a (K) = (a:b:c) ∈ P2 (K)|F (a, b, c) = 0 ,
which is called a projective plane k-curve.
Since D2 ∼= A2 canonically via (x:y:1) → (x, y) (and this coordinate is well
defined even over general A), we have V a (A) ∩ D2 (A) = Va (A). In this sense,
we can think of V a as a completion of Va , adding the boundary at ∞: V a ∩L∞ .
Since in Dj ∼= A2 (j = 0, 1, 2), V a ∩ Dj is a plane affine curve (for example,
V a ∩ D0 is defined by F (1, y, z) = 0), (L∞ ∩ V a )(k) is a finite set. Thus, V a
is a completion/compactification of the (open) affine curve Va . Of course, we
can start with a homogeneous polynomial F (X, Y, Z) [or a homogeneous ideal
of k[X, Y, Z] generated by F (X, Y, Z)] to define a projective plane curve. Fol-
lowing Lemma 2.1, we define Homproj k-curves (V a , V b ) := HomCOF (V a , V b ).
A projective plane curve V a is nonsingular (or smooth) if V a ∩ Dj is a
nonsingular plane curve for all j = 0, 1, 2. The tangent space at P ∈ V a (K)
is defined as before since P is in one of Dj ∩ Va .
 2.1 Curves over a Field 53

Example 2.15 Suppose a = (y 2 − f (x)) for a cubic f (x) = x3 + ax + b. Then

F (X, Y, Z) = Y 2 Z − X 3 − aXZ 2 − bZ 3 . Since L∞ is defined by Z = 0, we
find L∞ ∩ V a = {(0:1:0)} made of a single point (of V a intersecting with L∞
with multiplicity 3). We call this point the origin 0 of the curve V a . If V a is
smooth, the pair (V a , 0) is called an elliptic curve.
Exercise 2.16 Suppose V a is defined by F (X, Y, Z) = 0. Let f (x, y) =
F (x, y, 1) and g(y, z) = F (1, y, z). Then the projective plane curve V a for
a = (f (x, y)) satisfies V a ∩ D0 = V(g) . Show that OVa ,P ∼
= OV(g) ,P canonically
if P ∈ V a ∩ D0 ∩ D2 .
By the above exercise, the tangent space (the dual of mP /m2P ) at P ∈ V a (K)
does not depend on the choice of j with P ∈ V a ∩ Dj . If a projective plane
curve C is irreducible, the rational function field k(C) of C over k is the field
of fractions of OC,P for any P ∈ C(k) hence, independent of C ∩ Dj .
Lemma 2.17 Take a nonzero f ∈ k(C). Then there exist homogeneous poly-
nomials G(X, Y, Z), H(X, Y, Z) ∈ k[X, Y, Z] with deg(G) = deg(H) such that
f (x:y:z) = H(x,y,z)
G(x,y,z) for all (x:y:z) ∈ C(k).

Proof. We may write C ∩ D2 f (x, y, 1) = h(x,y) g(x,y) . If m = deg(h) = deg(g),

we just define H(X, Y, Z) = h( Z , Z )Z and G(X, Y, Z) = g( X
X Y m Y m
Z , Z )Z . If
X Y deg(h)
deg(h) > deg(g), we define H(X, Y, Z) = h( Z , Z )Z and G(X, Y, Z) =
g( X ,
Z Z
Y
)Z deg(h)
. If deg(h) < deg(g), we define H(X, Y, Z) = h( X Y
Z , Z )Z
deg(g)

and G(X, Y, Z) = g( X Y
Z , Z )Z
deg(g)
. Multiplying h or g by a power of Z does
not change the above identity f (x, y, 1) = h(x,y) g(x,y) , because Z = 1 on C ∩ D2 .
Thus, adjusting in this way, we get G and H.

Example 2.18 Look at φ = cx + dy in k(C) for C = V a for a generated by

y 2 − x3 − ax − b. Then C is defined by Y 2 Z − X 3 − aXZ 2 − bZ 3 = 0, and
X Y cX + dY
φ(X:Y :Z) = c +d = .
Z Z Z
Thus, φ has a pole of order 3 at Z = 0 (as the infinity on C has multiplicity
3) and three zeros at the intersection of L := {cx + dy = 0} and C ∩ D2 ∩ L.
Take a projective nonsingular plane k-curve C/k . Set Ci = C ∩ Di , which is an
affine nonsingular plane curve. Then we have well-defined global differentials
DerCi /k . Since ∂ : DerCi /k induces ∂P : OCi ,P → K for any P ∈ Ci (K) by
f → ∂(f )(P ), we have ∂P ∈ TP . If ∂i ∈ DerCi /k given for each i = 0, 1, 2
satisfies ∂i,P = ∂j,P for all (i, j) and all P ∈ (Di ∩ Dj )(k), we call ∂ = {∂i }i
a global tangent vector defined on C. Obviously, the totality TC/k of global
tangent vectors is a k-vector space. The k-dual of TC/k is called the space
of k-differentials over k and written as ΩC/k . We will see that ΩC/k is finite
dimensional over k.
54 2 Elliptic Curves and Modular Forms

Corollary 2.19 Suppose that C is nonsingular. Each φ ∈ k(C) induces φ ∈

Homproj k-curves (C, P1 ). Indeed, we have k(C){∞} ∼
= Homproj k-curves (C, P1 ),
where ∞ stands for the constant function sending all P ∈ C(A) to the image
of ∞ ∈ P1 (k) in P1 (A).

Proof. We prove only the first assertion. Suppose k = k. Write φ(x:y:z) =

h(x,y,z)
g(x,y,z) as a reduced fraction by the above lemma. For L ∈ C(A) ⊂ P (A), we
2

consider the sub-A-module φ(L) of A2 generated by {(h(#), g(#)) ∈ A2 |# ∈ L}.

We now show that φ(L) ∈ P1 (A); thus, we will show that the map C(A) 
L → φ(L) ∈ P1 (A) induces the natural transformation of C into P1 . If A
is local, by Lemma 2.13, L is generated by (a, b, c) with at least one unit
coordinate. Then any # ∈ L is of the form λ(a, b, c) (for a scalar λ), and
therefore φ(#) = λdeg(h) φ(a, b, c). Thus, φ(L) = A · φ(a, b, c). Since A is a
k-algebra, k is naturally a subalgebra of the residue field A/m of A. Since
φ(P ) for all P ∈ C(k) is either a constant in k or ∞, we may assume that
(h(P ), g(P )) = (0, 0) for all P ∈ C(k). Since (a, b, c) ≡ 0 mod m as (a, b, c)
generates a direct summand of A3 , thus (h(a, b, c), g(a, b, c)) ≡ (0, 0) mod m.
After tensoring A/m over A, (A/m)2 /(φ(L)/mφ(L)) is one-dimensional. Thus,
by Nakayama’s lemma (see [CRT] Theorem 2.2–3 and Lemma 10.8 in the
text), A/φ(L) is generated by a single element and has to be a free module of
rank 1 as φ(L) is a free A-module of rank 1. Thus, φ(L) ∈ P1 (A). If k is not
algebraically closed, replacing A by A = A ⊗k k, we find φ(L) ⊗k k ∈ P1 (k)
and hence φ(L) ⊗A A/m ∈ P1 (k), which implies φ(L) ∈ P1 (A).
If A is not necessarily local, applying the above argument to the local ring
AP for any prime ideal P of A, we find that φ(L)P = φ(LP ) and A2P /φ(LP ) are
free of rank 1, and so φ(L) and A2 /φ(L) are locally free of rank 1. Therefore,
φ(L) ∈ P1 (A); hence, L → φ(L) induces a natural transformation of functors.

Exercise 2.20 Prove the following facts:

1. If Lm is free of finite rank r for a maximal ideal m of A, LP is free of
rank r for any prime ideal P ⊂ m.
2. If L ⊂ A2 is a free A-submodule of rank 1 and A2 /L is generated by one
element over A, A2 /L is A-free of rank 1.
3. Homproj k-curves (C, P1 ) \ ∞ ∼
= k(C).

2.1.5 Divisors

Let C be a nonsingular projective geometrically irreducible plane curve. Since

C is nonsingular, for any point P ∈ C(k), OC,P is a discrete valuation ring,
and the rational function field k(C) is the quotient field of OC,P (regarding C
as defined over k). Writing vP : k(C)  Z ∪ {∞} for the additive valuation of
OC,P , we have a well-defined vP (f ) ∈ Z for any nonzero rational k-function
v (f )
f ∈ k(C). Since mP = (tP ) and tPP f in OC,P , f has a zero of order vP (f )
at P if vP (f ) > 0 and a pole of order |vP (f )| if vP (f ) < 0. In other words,
 2.1 Curves over a Field 55

the Taylor expansion of f at P is given by n an (f )tnP and vP (f ) = min(n :
an (f ) = 0). We start with Bézout’s theorem:
Theorem 2.21 Let C and C  be two plane projective k-curves inside P2
defined by relatively prime homogeneous equations
F (X, Y, Z) = 0 and G(X, Y, Z) = 0
of degree m and n, respectively. Then, counting with multiplicity, we have
|C(k) ∩ C  (k)| = m · n.
Here we do not assume F and G are square-free. As is clear from the definition
of multiplicity given below, for example, if F = F0e with deg(F0 ) = m0 ,
|C(k) ∩ C  (k)| = e|C0 (k) ∩ C  (k)| = em0 · n = m · n
for the curve C0 defined by F0 = 0. Thus, for the proof of the theorem, we
may assume that F and G are square-free.
If C is smooth at P ∈ C ∩ C  in C ∩ D2 , φ = G(X,Y,Z) Zn is a function
vanishing at P . The multiplicity of P in C ∩ C  is just vP (φ). More generally,
if P = (a, b) is not necessarily a smooth point, writing C ∩ D2 = Va and
C  ∩ D2 = Vb for principal ideals a, b in k[X, Y ] and viewing P as an ideal
(X − a, Y − b) ⊂ k[X, Y ],
the multiplicity is given by the dimension of the localization (k[x, y]/(a + b))P
over k. The same definition works well for any points in C ∩ D0 and C ∩ D1 .
One can find the proof of this theorem with a better definition of multiplicity
in good textbooks on algebraic geometry (e.g., [ALG] Theorem I.7.7).
The divisor group Div(C) of a smooth curve C is a formal free Z-module
generated by points P ∈ C(k). Whenwe consider a point P as a divisor, we
[P ]. For each divisor D = P mP [P ], we define the degree of D by
write it as 
deg(D) = P mP .
Consider the space of meromorphic differentials:
ΩC/k,η = {f · ω|f ∈ k(C), ω ∈ ΩCi /k } (= k(C) · ΩC/k if ΩC/k = 0).

For ω ∈ ΩC/k,η , we have its expansion n an (ω)tnP dtP at each P ∈ C(k);
thus, we define vP (ω) := min(n : an (ω) = 0).
Since there
 are only finitely many poles  and zeros of f , we define divisors
div(f ) = P ∈C(k) vP (f )[P ], div0 (f ) = P ∈C(k),vP (f )>0 vP (f )[P ] (zero divi-

sor) and div∞ (f ) = P ∈C(k),vP (f )<0 vP (f )[P ] (polar divisor) of f . Similarly,

for a meromorphic differential ω, we define again div(ω) = P vP (ω)[P ]. By
Lemma 2.17, we may write f (x:y:z) = h(x:y:z)
g(x:y:z) for a homogeneous polyno-
mial h, g in k[x, y, z] of equal degree. If the degree of equation defining C is
m and C  is defined by h(X, Y, Z) = 0, deg0 (div(f )) = |C(k) ∩ C  (k)| =
m
deg(h) = m deg(g) = deg∞ (div(f  )). This shows deg(div(f )) = 0 as
P,vP (f )>0 m P = m deg(h) and − P,vP (f )<0 mP = m deg(g). Thus, we get
the following:
56 2 Elliptic Curves and Modular Forms

Lemma 2.22 Let C be a smooth projective plane curve. For any f ∈ k(C),
deg(div(f )) = 0, and f is a constant in k if f ∈ k(C) is regular at all P ∈ C.
Lemma 2.23 If f ∈ k(C) satisfies deg(div0 (f )) = deg(div∞ (f )) = 1, f :
C → P1 induces an isomorphism of projective plane curve over k.

Proof. Write φ(x:y:z) = H(x,y,z)

G(x,y,z) as a reduced fraction of homogeneous poly-
nomials G, H ∈ k[X, Y, Z] of degree n. Consider the curve C  defined by
H = 0. Suppose C is defined by a homogeneous equation of degree m. Then
by Bézout’s theorem (applied to C and C  ), m · n = deg(div0 (φ)) = 1. Thus,
m = n = 1, and it is then clear that (x:y:z) → (G(x, y, z):H(x, y, z)) gives
rise to an isomorphism C ∼= P1 .
Another proof: By the proof of Corollary 2.19, deg(div0 (f )) is the number
of points over 0 (counting with multiplicity) of the regular map f : C → P1 .
By taking a constant α ∈ k ⊂ P1 away from f , deg(div0 (f − α)) = 1 =
deg(div∞ (f − α)), and |f −1 (α)| = deg(div0 (f − α)) = 1; hence, we find that
f is one-to-one and onto. Thus, f is an isomorphism.  

Write Div0 (C) = {D ∈ Div(C/k )| deg(D) = 0}. Inside Div0 (C), we have the
subgroup {div(f )|f ∈ k(C)× }. We call two divisors D, D linearly equivalent
if D = div(f ) + D for f ∈ k(C). We say that D and D are algebraically
equivalent if deg(D) = deg(D ). The quotient groups

Div0 (C) Div(C)

J (C) = and Pic(C) =
{div(f )|f ∈ k(C)× } {div(f )|f ∈ k(C)× }

are called the jacobian and the Picard group of C, respectively. Sometimes,
J (C) is written as Pic0 (C) (the degree-0 Picard group).

2.1.6 Riemann–Roch Theorem


We write D = P mP [P ] ≥ 0 (resp., D > 0) for a divisor D on C if mP ≥ 0
for all P (resp., D ≥ 0 and D = 0). For a divisor D on Ck ,

L(D) = {f ∈ k(C)|div(f ) + D ≥ 0} ∪ {0}.

Clearly, L(D) is a vector space over k. It is known that #(D) = dimk L(D) <
∞. For φ ∈ k(C)× , L(D)  f → f φ ∈ L(D − div(φ)) is an isomorphism.
Thus, #(D) depends only on the class of D in Pic(C).

Example 2.24 Let C = P1 . Take a divisor D = a∈k ma [a] with ma ≥ 0
and ma > 0 for some a, regarding a ∈ k as a point [a] ∈ P1 (k) = k  {∞}.
g(x)
On A1 (k) = k, forgetting about ∞, div(f ) + D ≥ 0 if f =  (x−a) ma for
a
a polynomial g(x). If deg(D) ≥ deg(g(x)), the function f does not have a
pole at ∞. Thus, L(D) = {g(x)| deg(g(x)) ≤ deg(D)}, and we have #(D) =
 2.1 Curves over a Field 57

1+deg(D). If C is a plane projective curve, we write f = h(X,Y,Z)

g(X,Y,Z) as a reduced

fraction by Lemma 2.17. Take D = P mP [P ] ∈ Div(C), and put

|D| = {P |D = mP [P ] with mP = 0}.
P

If |D| is inside D2 ∩ C ⊂ A2 and D > 0 (i.e., mP > 0 for some P ), we

may assume that V(g(X,Y,1)) ∩ C contains |D|. In order not to have a pole in
C \ D2 , deg(h) has to be bounded; thus, #(D) < ∞. Since L(D) ⊂ L(D+ ) in
general, writing D = D+ + D− so that D+ ≥ 0 and −D− ≥ 0, this shows
that #(D) < ∞.

Exercise 2.25 Give more details of the proof of #(D) < ∞.

Theorem 2.26 (Riemann–Roch) Let C=V a be a smooth projective
irreducible curve over a field k. Let K = div(ω) for meromorphic 0 = ω ∈
ΩC/k,η . Then, for g = dimk ΩC/k , we have #(D) = 1 − g + deg(D) + #(K − D)
for all divisors D on C(k). If g = 1, we have K = 0 in J (C).
The number g in the above theorem is called the genus of the curve C and is
written as g(C). The divisor K is called a canonical divisor K (whose linear
equivalence class is unique). Note that

L(K) = {f ∈ k(C)|div(f ω) = div(f ) + div(ω) ≥ 0} ∼

= ΩC/k

by f → f ω ∈ ΩC/k . Then, by the above theorem,

g(C) = dim ΩC/k = #(K) = 1 − g + deg(K) + #(0) = 2 + deg(K) − g(C),

and from this, we conclude deg(K) = 2g(C) − 2. One can find a proof of this
theorem in any introductory book of algebraic geometry (e.g., [ALG] IV.1 or
[GME] Theorem 2.1.3).
Corollary 2.27 If g(C) = 1 and deg(D) > 0, then we have #(D) = deg(D)
and #(−D) = 0.

Proof. For a nonconstant f ∈ k(E), deg(div(f )) = 0 implies that f has a

pole somewhere. If D > 0, f ∈ L(−D) does not have pole and hence is
constant. Since D > 0, f vanishes at P ∈ |D|. Thus, f = 0. More generally, if
deg(D) > 0 and φ ∈ L(−D), then 0 > deg(−D) = deg(div(φ)) − deg(D) ≥ 0;
thus, φ = 0. Thus, if deg(D) > 0, then #(−D) = 0. Since K = 0 if K = div(ω)
for 0 = ω ∈ ΩC/k , we have by Theorem 2.26 that #(D) = deg(D) + #(0 − D) =
deg(D).  

Because deg(div(f )) = 0, if D  0, #(−D) = 0 [as f ∈ L(−D) has to vanish

over D and regular everywhere outside D]. In particular, #(K − D) = 0 if
D  0. Thus, the above theorem implies what Riemann originally proved:
58 2 Elliptic Curves and Modular Forms

Corollary 2.28 (Riemann) Let C = V a be a nonsingular projective curve

defined over a field k. Then there exists a nonnegative integer g = g(C) such
that #(D) ≥ 1 − g + deg(D) for all divisors D on C(k), and the equality holds
for sufficiently positive divisors D.
By Example 2.24, we conclude g(P1 ) = 0 from the corollary.
Exercise 2.29 Prove ΩP1 /k = 0 (without using the Riemann–Roch theorem).

2.1.7 Regular Maps from a Curve into a Projective Space

Take a divisor D on a nonsingular projective plane curve C. Suppose #(D) =

h
n > 0. Take a basis (f1 , f2 , . . . , fn ) of L(D). Thus, we can write fj = gjj
with homogeneous polynomials gj , hj having deg(gj ) =deg(hj ). Replacing
(gj , hj ) by (g0 := g1 g2 · · · gn , hj := hj g (j) ) for g (j) = i=j gi , we may as-
sume deg(gj ) = deg(hj ) for all j, and further dividing them by the GCD of
(h1 , . . . , hn , g0 ), we may assume that fj = g0j with deg(hj ) = deg(g0 ) for all
h

j and (g0 , h1 , . . . , hn ) do not have a nontrivial common divisor.

Lemma 2.30 Let the assumptions on (g0 , h1 , . . . , hn ) be as above. Suppose
that (g0 (P ), h1 (P ), . . . , hn (P )) = (0, 0, . . . , 0) for all P ∈ C(k). For L ∈
C(A) ⊂ Pn (A), define φA (L) for an A-submodule of An+1 generated by φ(#) =
(g0 (#), h1 (#), . . . , hn (#)) ∈ An+1 for all # ∈ L. Then φ = {φA }A : C → Pn is
a k-morphism of the projective plane k-curve C into Pn/k .
The proof of the above lemma is basically the same as that of Corollary 2.19.

Exercise 2.31 Prove the above lemma.

2.2 Elliptic Curves

An elliptic curve E/k is a nonsingular, projective, geometrically irreducible
plane curve of genus 1 with a point 0E specified. Here we define that the
genus g(E) regarding E is defined over k. We will study elliptic curves in
more detail in this section.

2.2.1 Abel’s Theorem

When we consider P ∈ E(k) as a divisor, we write [P ]. So 3[P ] is a divisor

supported on P with multiplicity 3. We prove
Theorem 2.32 (Abel) Let E/k be an elliptic curve with origin 0E . The cor-
respondence P → [P ] − [0E ] induces a bijection E(k) ∼
= J (E) (the Jacobian
of E). In particular, E(k) is an abelian group.
 2.2 Elliptic Curves 59

Proof. Injectivity: If [P ] − [Q] = [P ] − [0E ] − ([Q] − [0E ]) = div(f ) with P = Q

in E(k), by Lemma 2.23, f is an isomorphism. This is wrong, as g(P1 ) = 0
while g(E) = 1. Thus, P = Q.
Surjectivity: Pick D ∈ Div0 (E). Then D + [0E ] has degree 1; so, by
Corollary 2.27, #(D + [0E ]) = 1, and we have φ ∈ L(D + [0E ]). Then
div(φ) + D + [0E ] ≥ 0, and this divisor has degree 1. Any nonnegative divisor
with degree 1 is a single point [P ]. Thus, D + [0E ] is linearly equivalent to
[P ]; hence, the map is surjective.
Corollary 2.33 If 0 = ω ∈ ΩE/k , then div(ω) = 0.

Proof. Since E(k) is a group, for each P ∈ E(k), TP : Q → Q + P gives

an automorphism of the curve E. Thus, ω ◦ TP is another element in ΩE/k .
×
Since dim ΩE/k = 1, we find ω ◦ TP = λ(P )ω for λ(P ) ∈ k . Since ω = 0, at
some point P ∈ E(k), vP (ω) = 0. Since vQ (ω ◦ TP ) = vP +Q (ω) and we can
bring any point to P by translation, we have vP (ω) = 0 everywhere. Thus,
div(ω) = 0.
We can easily show that λ(P ) = 1 for all P (see Sect. 6.1.4). Nonzero differen-
tials ω in ΩE/k are called nowhere vanishing differentials as div(ω) = 0. They
are unique up to constant multiple.
Exercise 2.34 Take a line L defined by aX + bY + cZ on P2 and suppose
its intersection with an elliptic curve E ⊂ P2 to be {P, Q, R}. Prove that
[P ] + [Q] + [R] ∼ 3[0E ].
A field k is called a perfect field if any finite field extension of k is separable
(i.e., generated by θ over k, whose minimal equation over k does not have
multiple roots). Fields of characteristic 0 and finite fields are perfect.
Exercise 2.35 Let C be an irreducible plane curve over a perfect field k.
Let K be the integral closure of k in k(C). Show
1. K/k is a finite field extension;
d
  !
2. K ⊗k k ∼= k × k × · · · × k as k-algebras for d = dimk K;
3. C is geometrically irreducible if and only if K = k.
Remark 2.36 If k is perfect, k/k is a Galois extension possibly of infinite
degree; thus, by Galois theory (see Sect. 4.2.1), we have a bijection between
open subgroups G of Gal(k/k) and finite extensions K/k inside k by
G
G → k = {x ∈ k|σ(x) = x for all σ ∈ G}

and K → Gal(k/K). Since the isomorphism E(k) ∼

= J (C) is Galois equivari-
ant, we have

E(K) ∼
= J (E)Gal(k/K) = {D ∈ J (E)|σ(D) = D for all σ ∈ G},
60 2 Elliptic Curves and Modular Forms
 
where σ ∈ Gal(k/k) acts on D = P mP [P ] by σ(D) = P mP [σ(P )].
Basically, by definition, we have
{D ∈ Pic0 (E)|σ(D) = D}
J (E)(K) := J (E)Gal(k/K) = .
{div(f )|f ∈ K(E)× }
Since any subfield K ⊂ k is a union of finite extensions, the identity E(K) ∼ =
J (E)(K) is also true for an infinite extension K/k inside K. Actually, we have
a good definition of Pic(E)(A) for any k-algebra A, and we can generalize the
identity E(K) ∼= J (E)(K) to all k-algebras A in place of fields K inside k
(see Theorem 6.3).

2.2.2 Weierstrass Equations of Elliptic Curves

We now embed E/k into the two-dimensional projective space P2/k using a
base of L(3[0]) and determine the equation of the image in P2/k . Choose a
parameter T = t0 at the origin 0 = 0E . Consider L(n[0]), which has dimension
n if n > 0 by Corollary 2.27. We have L([0]) = k and L(2[0]) = k1 + kx.
Since x has to have a pole of order 2 at 0, we normalize x so that x =
T −2 (1 + higher terms) in k[[T ]]. Here x is unique up to translation: x → x + a
with a ∈ k. Then L(3[0]) = k1 + kx + ky. We then normalize y so that
y = −T −3 (1 + higher terms). Following the tradition, we later rewrite y for
2y; thus, the normalization will be y = −2T −3 (1 + higher terms) at the end.
This y is unique up to the transformation: y → y + ax + b (a, b ∈ k).
Proposition 2.37 Suppose that the characteristic of the base field k is dif-
ferent from 2 and 3. Then, for a given pair (E, ω) of an elliptic curve E and
a nowhere vanishing differential ω both defined over k, we can find a unique
base (1, x, y) of L(3[0]) such that E is embedded into P2/k by (1, x, y) whose
image is defined by the affine equation
y 2 = 4x3 − g2 x − g3 with g2 , g3 ∈ k, (2.2.1)
dx
and ω on the image is given by y .
Conversely, a projective algebraic curve
defined by the above equation is an elliptic curve with a specific nowhere
y if and only if the discriminant Δ(E, ω) = g2 − 27g3
vanishing differential dx 3 2

of 4X − g2 X − g3 does not vanish.

3

The function Δ(E, ω) is called the discriminant function and also Ramanu-
jan’s Δ-function. An equation of an elliptic curve E as in (2.2.1) is called a
Weierstrass equation of E, which is determined by the pair (E, ω).
Proof. By the dimension formulas, counting the order of poles at 0 of mono-
mials of x and y, we have
L(4[0]) = k + kx + ky + kx2 ,
L(5[0]) = k + kx + ky + kx2 + kxy and
L(6[0]) = k + kx + ky + kx + kxy + kx3
2

= k + kx + ky + kx2 + kxy + ky 2 ,
 2.2 Elliptic Curves 61

from which the following relation results:

y 2 + a1 xy + a3 y = x3 + a2 x2 + a4 x + a6 with aj ∈ k, (2.2.2)

because the poles of order 6 of y 2 and x3 have to be canceled. We homogenize

(2.2.2) by putting x = X Y 3
Z and y = Z (and multiplying by Z ). Write C for
2
the projective plane k-curve in P defined by the (homogenized) equation.
Thus, we have a k-regular map: φ : E → C ⊂ P2 given by P → (x(P ) :
y(P ) : 1). Thus, the function field k(E) contains the function field k(C) by
the pullback of φ. By definition, k(C) = k(x, y). Since div∞ (x) = 2[0E ] for
x= X Z : E → P , this gives a covering of degree 2; hence, [k(E) : k(x)] = 2.
1

Similarly, [k(E) : k(y)] = 3. Since [k(E) : k(C)] is a common factor of the two
degrees [k(E) : k(x)] = 2 and [k(E) : k(y)] = 3, we get k(E) = k(C). Thus,
if C is smooth, E ∼ = C by φ as a smooth geometrically irreducible curve is
determined by its function field. Therefore, assuming C is smooth, E/k can
be embedded into P2/k via P → (x(P ), y(P )). The image is defined by (2.2.2).
Let T be a local parameter at 0E normalized so that

ω = (1 + higher-degree terms)dT.

As ω = (a + higher-degree terms)dT for a ∈ k × , and by replacing T by aT ,

we achieve this normalization. The parameter T normalized as above is called
a parameter adapted to ω (and ω is said to be adapted to the parameter T ).
We normalize x so that x = T −2 + higher-degree terms. We now suppose
that 2 is invertible in k. Then we further normalize y so that y = −2T −3 +
higher-degree terms (which we will do soon but not yet; so, for the moment,
we still assume y = T −3 + higher-degree terms).
The above normalization is not affected by a variable change of the form
y → y+ax+b and x → x+a . Now, we make a variable change y → y+ax+b in
order to remove the terms of xy and y (i.e., we are going to make a1 = a3 = 0):

(y + ax + b)2 + a1 x(y + ax + b) + a3 (y + ax + b)
= y 2 + (2a + a1 )xy + (2b + a3 )y + polynomial in x.

Assuming that 2 is invertible in k, we take a = − a21 and b = − a23 . The

resulting equation is of the form y 2 = x3 + b2 x2 + b4 x + b6 . We now make the
change of variable x → x + a to make b2 = 0:

y 2 = (x + a )3 + b2 (x + a )2 + b4 (x + a ) + b6 = x3 + (3a + b2 )x2 + · · · .

Assuming that 3 is invertible in k, we take a = − b32 . We can rewrite the

equation as in (2.2.1) (making a variable change −2y → y). By the variable
change as above, we have y = −2T −3 (1 + higher terms), and from this, we
conclude ω = dx y . The numbers g2 and g3 are determined by T adapted to a
given nowhere vanishing differential form ω.
If the discriminant Δ(E, ω) of g(x) = 4x3 − g2 x − g3 vanishes, C has only
singularity at (x0 :0:1) for a multiple root x0 of g(x) = 0 (see Example 2.5).
62 2 Elliptic Curves and Modular Forms

If g(x) has a double zero, C is isomorphic over k to the curve defined by

y 2 = x2 (x − a) for a = 0. Let t = xy . Then for P ∈ E(k) mapping to (0, 0),
vP (y) = vP (x); hence, P is neither a zero nor a pole of t. The function t never
vanishes outside 0E [having a pole at (a, 0)]. It has a simple zero at 0E by
the normalization of x and y. Thus, deg(div0 (t)) = 1, and k(C) = k(t), which
is impossible as k(C) = k(E) and g(E) = 1. The case of triple zeros can be
excluded similarly. Thus, we conclude Δ(E, ω) = 0 (⇔ C is smooth), and we
have E ∼ = C by φ.
Conversely, we have seen that any curve defined by (2.2.1) is smooth in
Example 2.5 if the cubic polynomial F (X) = 4X 3 − g2 X − g3 has three
distinct roots in k. In other words, if the discriminant Δ(E, ω) of F (X) does
not vanish, E is smooth.
For a given equation, Y 2 = F (X), the algebraic curve E defined by the
homogeneous equation Y 2 Z = 4X 3 − g2 XZ 2 − g3 Z 3 in P2/k has a rational
point 0 = (0, 1, 0) ∈ E(k), which is ∞ in P2 (Example 2.15). Thus, E is
smooth over k if and only if Δ(E, ω) = 0 (an exercise following this proof).
We show that there is a canonical nowhere vanishing differential ω ∈ ΩE/k
if E is defined by (2.2.1). If such an ω exists, all other holomorphic differentials
ω  are of the form f ω with div(f ) ≥ 0, which implies f ∈ k; hence, g =
dimk ΩE/k = 1, and E/k is an elliptic curve. It is an easy exercise to show
that y −1 dx does not vanish on E (an exercise following this proof).
We summarize what we have seen. Returning to the starting elliptic curve
E/k , for the parameter T at the origin, we see by definition

x = T −2 (1 + higher-degree terms) and y = −2T −3 (1 + higher-degree terms).

This shows
dx −2T −3(1 + · · · )
= dT = (1 + higher-degree terms)dT = ω.
y −2T −3(1 + · · · )

Thus, the nowhere vanishing differential form ω to which T is adapted is given

by dxy . Conversely, if Δ = 0, the curve defined by y = 4x − g2 x − g3 is an
2 3

elliptic curve over k with origin 0 = ∞ and a standard nowhere vanishing

differential form ω = dx y . This finishes the proof.

Exercise 2.38 1. If C is defined by y 2 = x3 , prove k(C) = k(t) for t = xy .

2. Compute vP (dx/y) explicitly at each point P on E(k).
3. Show that if Δ = 0, the curve defined by y 2 = 4x3 − g2 x − g3 (over a field
k of characteristic = 2, 3) is also smooth at 0 = ∞.

2.2.3 Moduli of Weierstrass Type

We continue to assume that the characteristic of k is different from 2 and

3. Suppose that we are given two elliptic curves (E, ω)/k and (E  , ω  )/k with
 2.2 Elliptic Curves 63

nowhere vanishing differential forms ω and ω  . We call two pairs (E, ω) and
(E  , ω  ) isomorphic if we have an isomorphism ϕ : E → E  with ϕ∗ ω  = ω and
ϕ(0E ) = 0E  . Here, for ω  = f dg, ϕ∗ ω  = (f ◦ ϕ)d(g ◦ ϕ); in other words, if
σ : k(E  ) → k(E) is the isomorphism of the function fields associated with ϕ,
ϕ∗ ω  = σ(f )d(σ(g)). Let T  be the parameter at the origin 0E  of E  adapted
to ω  . If ϕ : (E, ω) ∼ = (E  , ω  ), then the parameter T = ϕ∗ T  mod T 2 is
adapted to ω [because ϕ∗ ω  = ω and ϕ(0E ) = 0E  ]. We choose coordinates
(x, y) for E and (x , y  ) for E  relative to T and T  as above. By the uniqueness
of the choice of (x, y) and (x , y  ), we know ϕ∗ x = x and ϕ∗ y  = y. Thus, the
Weierstrass equations of (E, ω) and (E  , ω  ) coincide. We write g2 (E, ω) and
g3 (E, ω) for the g2 and g3 of the coefficients of the Weierstrass equation of
(E, ω). If a field K has characteristic different from 2 and 3, we have
1 2   
℘(K) := (E, ω)/K ∼
= (g2 , g3 ) ∈ K 2 Δ(E, ω) = 0
∼ 1 1
= HomALG (Z[ , X, Y, 3 ], K),
6 X − 27Y 2
where [·] indicates the set of isomorphism classes of the objects inside the
brackets and Spec(R)(K) for a ring R is the set of all algebra homomorphisms:
R → K. The last isomorphism sends (g2 , g3 ) to the algebra homomorphism
φ with φ(X) = g2 and φ(Y ) = g3 . We will see later this identity is actually
valid any algebra A in ALG/Z[ 16 ] in place of a field K.
Exercise 2.39 If k has characteristic 2, show that we cannot have any ring
R such that 1 2
℘(K) = (E, ω)/K ∼ = HomALG (R, K)
for all field extensions K/k. Here the isomorphism is a natural transformation
between the functors K → [(E, ω)/K ] and K → HomALG (R, K) from the
category of fields into SET S.
We now classify elliptic curves E, eliminating the contribution of the dif-
ferential from the pair (E, ω). If ϕ : E ∼
= E  for (E, ω) and (E  , ω  ), we have
∗  × ∗ 
ϕ ω = λω with λ ∈ K , because ϕ ω is another nowhere vanishing dif-
ferential. Therefore, we study K × -orbit: (E, ω) mod K × under the action
of λ ∈ K × given by (E, ω)/K → (E, λω)/K , computing the dependence of
gj (E, λω) (j = 2, 3) on λ for a given pair (E, ω)/K . Let T be the parameter
adapted to ω. Then λT is adapted to λω. We see

(1 + T φ(T )) (1 + higher terms)

x(E, ω) = ⇒ x(E, λω) = = λ−2 x(E, ω),
T2 (λT )2
(−2 + T ψ(T )) (−2 + higher terms)
y(E, ω) = ⇒ y(E, λω) = = λ−3 y(E, ω).
T3 (λT )3

Since y 2 = 4x3 − g2 (E, ω)x − g3 (E, ω), we have

64 2 Elliptic Curves and Modular Forms

(λ−3 y)2 = 4λ−6 x3 − g2 (E, ω)λ−6 x − λ−6 g3 (E, ω)

= 4(λ−2 x)3 − λ−4 g2 (E, ω)(λ−2 x) − λ−6 g3 (E, ω),

g2 (E, λω) = λ−4 g2 (E, ω) and g3 (E, λω) = λ−6 g3 (E, ω). (2.2.3)
Thus, we have the following result:

Theorem 2.40 If two elliptic curves E/K and E/K are isomorphic, then
choosing nowhere vanishing differentials ω/E and ω/E  , we have gj (E  , ω  ) =


λ−2j gj (E, ω) for λ ∈ K × . The constant λ is given by ϕ∗ ω  = λω.

3
We define the J-invariant of E by J(E) = (12g 2 (E,ω))
Δ(E,ω) . Then J only depends

on E (not the chosen differential ω). If J(E) = J(E ), then we have

(12g2 (E, ω))3 (12g2 (E  , ω  ))3

= ⇐⇒ gj (E  , ω  ) = λ−2j gj (E, ω)
Δ(E, ω) Δ(E  , ω  )

for a 12th root λ of Δ(E, ω)/Δ(E  , ω  ). Note that the 12th root λ may not be
in K if K is not algebraically closed.
Conversely, for a given j ∈ {0, 1}, the elliptic curve defined by

27j
y 2 = 4x3 − gx − g for g =
j−1

has J-invariant 123 j. If j = 0 or 1, we can take the following elliptic curve with
J = 0 or 123 . If J = 0, then y 2 = 4x3 − 1, and if J = 123 , then y 2 = 4x3 − 4x
(Gauss’s lemniscate). Thus, we have the following:
Corollary 2.41 If K is algebraically closed, then J(E) = J(E  ) ⇔ E ∼
= E
for two elliptic curves over K. Moreover, for any field K, there exists an
elliptic curve E with a given J(E) ∈ K.
Exercise 2.42 1. Prove that gj (E  , ω  ) = λ−2j gj (E, ω) for suitable ω and
ω  and a suitable 12th root λ of Δ(E, ω)/Δ(E  , ω  ) if J(E) = J(E  ).
2. Explain what happens if J(E) = J(E  ) but E ∼  E  over a field K not
=
necessarily algebraically closed.

2.3 Modular Forms

We give an algebraic definition of modular forms and then relate it to classical
definitions.
 2.3 Modular Forms 65

2.3.1 Elliptic Curves over General Rings

What we have done over fields can also be done over general noetherian rings
A. We sketch the theory (see Chap. 6 for detailed proofs). Here is a defi-
nition of a plain projective curve over a ring A as a subfunctor C ⊂ P2 .
Recall L ∈ P2 (R) for an A-algebra R is a locally free R-submodule of R3 of
rank 1 with locally free quotient R3 /L. For a given homogeneous polynomial
Φ(X, Y, Z) ∈ A[X, Y, Z], we define Φ(L) = 0 if Φ(#) = 0 for all # ∈ L. Assume
that F (X, Y, Z) is not a zero divisor in A[X, Y, Z]. Then a homogeneous poly-
nomial F (X, Y, Z) ∈ A[X, Y, Z] defines a subfunctor (called a plane projective
A-curve) by
R → C(R) = {L ∈ P2 (R)|F (L) = 0}.
A[X,Y,Z]
Clearly, C is a covariant subfunctor of P2 . If the residue ring (F (X,Y,Z)) modulo
its nilradical is an integral domain, we call C irreducible.
Exercise 2.43 If A is a field k, verify that this definition is equivalent to the
definition of irreducibility of the plane k-curve already given earlier.
We define HomA-curves (C, C  ) := HomCOF (C, C  ), and in this way, we get
the category of plane projective A-curves. Fix such a curve C ⊂ P2/A . Suppose
that A is a local ring with maximal ideal m. Write k for A/m. We then define

A[Y, Z] A[X, Z] A[X, Y ]

R0 = , R1 = , R2 = .
(F (1, Y, Z)) (F (X, 1, Z)) (F (X, Y, 1))

Consider a covariant functor Ci : R → HomALG/A (Rj , R) from ALG/A to

SET S. This functor can be identified with a subfunctor of C, for example, by

C2 (R)  φ → L = R · (φ(X), φ(Y ), 1) ∈ C(R),

and C2 can be identified with the functor sending R to the zero set of
F (X, Y, 1) in R2 . If R is a local ring, we know C(R) = C0 (R)∪C1 (R)∪C2 (R).
For any finite field extension K of k, a point P ∈ Ci (K) gives rise to an A-
algebra homomorphism φ : Ri → K; hence, Ker(φ) is a maximal ideal of Ri .

Exercise 2.44 Under the above setting, prove

1. Ker(φ) is a maximal ideal of Ri if K/k is a finite field extension,
2. any maximal ideal of Ri is given in this way as Ker(φ) for some φ.
The point P ∈ C(k) is called a maximal point of C. The local ring at P is
a
OC,P = { |b ∈ Ri \ Ker(φ)},
b
where φ : Ri → k is the k-algebra homomorphism inducing the point P . Again,
OC,P is determined independent of the choice of i with P ∈ Ci (K). Then
OC,P is a local ring with maximal ideal mP with OC,P /mP ∼ = Im(P ) ⊂ K.
66 2 Elliptic Curves and Modular Forms

The cotangent space at P is defined by P/P 2 and the tangent space at P over
K is by definition its dual HomK (P/P 2 , K). As before, the tangent space is
isomorphic to the space of K-derivations ∂ : OC,P → K.
We sketch a general definition of smoothness, but before starting this sub-
tle process of defining smoothness over a ring, we point out that—precise
definitions aside—an important point is that we can again prove that an el-
liptic curve defined by y 2 = 4x3 − g2 x − g3 is smooth over A = Z[ 16 , g2 , g3 ]
if and only if Δ ∈ A× . If the reader is not very familiar with the notion of
smoothness over rings, he or she can just admit this fact for a while to go
through this section and the next (as we learn more about this in Chap. 4).
Here is a formal definition of smoothness. For A-algebras R and R ,
we define the R -module of derivations DerA (R, R ) by the R -module of
derivations trivial over A [hence, (∂ : R → R ) ∈ DerA (R, R ) satisfies
∂(ϕφ) = ϕ∂(φ) + φ∂(ϕ) and ∂(a) = 0 for all a ∈ A].
Consider m-adic completions
 = lim A/mn and O
A C,P = lim OC,P /mn .
← −
n
← −
n
P

Then O C,P is naturally an algebra over A.  Write m  P for the maximal ideal of
OC,P . We call P ∈ C(K) smooth over A if O C,P is free of finite positive rank
 ]] for a variable T ∈ O
over A[[T C,P and any adically continuous derivation of
 
A[[T ]] over A with values in any Artinian O C,P -algebra extends uniquely to
OC,P ; i.e., the ring-theoretic tangent spaces of OC,P and A[[T
 ]] are equal. This
last point means that ΩOC,P /A[[T  ]] = 0 (see Sect. 4.1.7 and Lemma 4.32). In
short, O  ]]; i.e., Spec(O
C,P is an étale algebra over A[[T C,P ) and Spec(A[[T
 ]])
are locally isomorphic in the sense of algebraic geometry; see Sect. 4.1.8 for a
more thorough discussion of étale/smooth morphisms).
If C is smooth over A at all maximal points P ∈ C(K), we call C smooth
over A. Assuming that k is algebraically closed, C is smooth over A if and
only if O C,P ∼  ]] as A-algebras
= A[[T  for all maximal points P ∈ C.
For general A not necessarily local, we call C smooth over A if C is smooth
over the localization of A at every maximal ideal of A.
Exercise 2.45 Prove that if C is a smooth plane projective curve over an
integral local domain A with algebraically closed residue field, C is smooth
over the quotient field of A.
We recall the Ri -module of derivations DerCi /A = DerA (Ri , Ri ), which
is the Ri -module of ∂ : Ri → Ri such that ∂(ϕφ) = ϕ∂(φ) + φ∂(ϕ) and
∂(a) = 0 for all a ∈ A. The Ri -dual ΩCi /A of DerCi /A is called the Ri -module
of 1-differentials over Ci . Each ∂ ∈ DerCi /A gives rise to an AP -derivation
∂P : OC,P → OC,P given by ∂P ( ab ) = ∂(a)b−a∂(b)
b2 for a maximal point P ∈ Ci ,
where AP is the localization of A at P ∩ A (regarding P as a prime ideal
of Ri ). By duality, ω ∈ ΩCi /A therefore gives rise to the cotangent vector
 2.3 Modular Forms 67

ωP ∈ ΩOC,P /AP := HomAP (DerOC,P /AP , OC,P ). If Ci is smooth over A, then

the Ri -module ΩCi /A is a locally free Ri -module of rank 1. We define the
relative cotangent module ΩC/A to be the collection of all ω = (ωi ∈ ΩCi /A )i
such that ωi,P = ωj,P for all P ∈ (Ci ∩ Cj )(k) ((i, j) = (0, 1), (1, 2), (0, 2)). If
C is smooth over A, ΩC/A is a locally free A-module of some rank g, and this
number g is called the genus g(C) of a curve C over A.
An elliptic curve over A is a plane projective smooth curve E of genus 1
with a specific point 0E ∈ E(A). If ΩE/A = Aω, the differential ω is called a
nowhere vanishing differential. If φ : E → E  is a morphism of elliptic curve
and ∂ is a derivation in DerE/A , we define φ∗ ∂ ∈ DerE  /A by φ∗ ∂φ(P ) (f ) =
∂P (f ◦φ) for all P . By duality, we can pull back a nowhere vanishing differential
ω  on E  by φ, which is written as φ∗ ω  . Note here that φ∗ ω  may not be
nowhere vanishing (although it is if φ is an isomorphism).
Exercise 2.46 Let A = Fp . Give an example of a nonconstant morphism
φ : E → E such that φ∗ ω = 0 for a nowhere vanishing differential ω on E.
σ
→ A is an algebra homomorphism and
If A −  if a plane projective A-curve C
is defined by an equation F (X, Y, Z) = i,j,l ci,j,l X i Y j Z l , the σ-transform
 i j l 
σ(F )(X, Y, Z) = i,j,l σ(ci,j,l )X Y Z defines a plane projective A -curve

σ(C). Note that the affine ring of σ(Ci ) is the ring Ri ⊗A,σ A ; hence, often
we write C ⊗A A for σ(C) and call it the base-change C ⊗A A/A of C/A .
Similarly, if ∂ : Ri → Ri is an A-derivation, ∂ ⊗ 1 : Ri ⊗A A → Ri ⊗A A given
by ∂ ⊗ 1(φ ⊗ a) = σ(a∂(φ)) is an A -derivation. This shows DerCi /A ⊗A A =
DerCi ⊗A /A . By duality, we also have ΩCi /A ⊗A A = ΩCi ⊗A /A . In particular,

ω ∈ ΩC/A induces σ∗ (ω) = ω⊗1 ∈ ΩC⊗A /A . We write the pair (E⊗ 1 A A , σ∗2ω)

as (E, ω) ⊗A A . This makes ℘ : ALG → SET S given by ℘(A) = (E, ω)/A a
covariant functor from ALG into SET S. We again have the following result
basically in the same way as in the case of fields (see Sect. 6.2.1 for a proof):
Theorem 2.47 Let R = Z[ 16 , g2 , g3 , Δ1
]. Then we have a canonical equiva-
lence of functors from ALG/Z[ 16 ] to SETS:
℘(?) ∼
= HomALG/Z[ 1 ] (R, ?).
6

In other words, for a given pair (E, ω)/A of an elliptic curve E over A and a
nowhere vanishing differential ω, there exists unique (g2 (E, ω), g3 (E, ω)) ∈ A2
such that E is canonically isomorphic to an elliptic curve defined by
Y 2 Z = 4X 3 − g2 (E, ω)XZ 2 − g3 (E, ω)Z 3
and ω induces the differential dX
Y on E2 = E ∩ D2 under this isomorphism.
Thus, we have the following:
1. If (E, ω) is defined over a Z[ 16 ]-algebra A, we have gj (E, ω) ∈ A, which
depends only on the isomorphism class of (E, ω) over A;
2. gj ((E, ω) ⊗A A ) = σ(gj (E, ω)) for each Z[ 16 ]-algebra homomorphism σ :
A → A ;
3. gj (E, λω) = λ−2j gj (E, ω) for all λ ∈ A× .
68 2 Elliptic Curves and Modular Forms

2.3.2 Geometric Modular Forms

Let A be an algebra over Z[ 16 ]. We restrict the functor ℘ to ALG/A and write

the restriction ℘/A . Then, by Theorem 2.47, for RA := A[g2 , g3 , Δ
1
],

℘/A (?) = HomALG/A (RA , ?).

A morphism of functors φ : ℘/A → A1/A is, by definition, given by (a collection

of) maps φR : ℘/A (R) → A1 (R) = R indexed by R ∈ ALG/A such that for
any σ : R → R in HomALG/A (R, R ), φR ((E, ω) ⊗R R ) = σ(f ((E, ω)/R )).
Note that A1/A (?) = HomALG/A (A[X], ?) by R  a ↔ (ϕ : A[X] → R) ∈
HomALG/A (A[X], ?) with ϕ(X) = a. In particular,

φRA : ℘(RA ) = HomALG/A (RA , RA ) → A1 (A[X], RA ) = RA .

Thus, φRA (idRA ) ∈ RA ; hence, write φRA (idRA ) = Φ(g2 , g3 ) for a two-
variable rational function Φ(x, y) ∈ A[x, y, x3 −27y
1
2 ]. Let E/RA be the uni-

versal elliptic curve over RA defined by Y Z = 4X 3 − g2 XZ 2 − g3 Z 3 with

2

the universal differential ω = dX Y . If we have (E, ω)/R , we have a unique

A-algebra homomorphism σ : RA → R given by σ(gj ) = gj (E, ω); in other
words, (E, ω)/R ∼ = (E, ω)RA ⊗RA R, and

φR (E, ω) = φR ((E, ω) ⊗RA R) = σ(φRA (E, ω))

= σ(φRA (idRA )) = Φ(σ(g2 ), σ(g3 )) = Φ(g2 (E, ω), g3 (E, ω)).

Theorem 2.48 Any functor morphism φ : ℘/A → A1/A is given by a rational

function Φ ∈ RA of g2 and g3 so that φ(E, ω) = Φ(g2 (E, ω), g2 (E, ω)) for
every elliptic curve (E, ω) over an A-algebra.
Define a weight functionw : A[g2 , g3 ] → Z by w(g2a g3b ) = 4a + 6b, and for
general polynomials Φ = a,b ca,b g2a g3b , we put w(Φ) = max(w(g2a g3b )|ca,b = 0).

A polynomial Φ = a,b≥0 ca,b g2a g3b of g2 and g3 is called isobaric if ca,b = 0 ⇒
4a + 6b = w.
A weight w modular form defined over A is a morphism of functors ℘/A →
A1/A given by an isobaric polynomial of g2 and g3 of weight w with coefficients
in A. Write Gw (A) = Gw (Γ0 (1); A) for the A-module of modular forms of
weight w. Then f ∈ Gw (A) is a functorial rule assigning each isomorphism
class of (E, ω)/R for an A-algebra R an element f (E, ω) ∈ R satisfying the
following properties:
(G0) f ∈ A[g2 , g3 ];
(G1) if (E, ω) is defined over an A-algebra R, we have f (E, ω) ∈ R, which
depends only on the isomorphism class of (E, ω) over R;
(G2) f ((E, ω) ⊗R R ) = σ(f (E, ω)) for each A-algebra homomorphism σ :
R → R ;
 2.3 Modular Forms 69

(G3) f ((E, λω)/R ) = λ−w f (E, ω) for any λ ∈ R× .

Exercise 2.49 For a field K with 16 ∈ K, prove, for 0 < w ∈ 2Z,

1 2
w
if w ≡ 2 mod 12,
dimK Gw (K) = 1 12w
2
12 + 1 otherwise.

2.3.3 Archimedean Uniformization

In the following three sections, we would like to give a sketch of the classical
theory of elliptic curves defined over the complex field C created by Weier-
strass. By means of Weierstrass ℘-functions, we can identify E(C) (for each
elliptic curve E/C ) with a quotient of C by a lattice L. In this way, we can
identify [(E, ω)/C ] with the space of lattices in C. This method is analytic.
We can deduce from the analytic parameterization (combined with geo-
metric technique of Weil–Shimura) many results on the moduli space of elliptic
curves, such as the exact field of definition of the moduli, determination of
the field of moduli (of each member), and so on (e.g., [IAT] Chap. 6). We have
come here in a reverse way: Starting algebraically, mainly by the Riemann–
Roch theorem, we have determined a unique Weierstrass equation over A for
a given pair (E, ω)/A , and therefore, we know the exact shape of the moduli
space before setting out to study the analytic method. After studying analytic
theory over C, combining these techniques, we start studying modular forms.
We start with classical homotopy theory for complex manifolds. A path
γ on a complex manifold M is a piecewise smooth continuous map γ from
the closed interval [0, 1] into a complex manifold M . We write the path as
(γ : x → y) with γ(0) = x and γ(y) = 1. Morally, we start the point x at
time 0 and “walking” to reach y by the unit time 1. Two paths (α : x → y)
and (β : x → y) are homotopy equivalent (for which we write α ≈ β) if we
have a bicontinuous map φ : [0, 1] × [0, 1] → M such that α(t) = φ(0, t) and
β(t) = φ(1, t) (i.e., we can fill the area encircled by α and β in M , intuitively).
Consider the space Z = Z(M ) of homotopy classes of paths starting from a
fixed point x ∈ M . An open neighborhood U of x is called simply connected
if we have a bijection: Z(U ) ∼ = U by projecting (γ : x → y) down to y [i.e.,
no holes in Z(U ) so no path circling the hole]. Shrinking the neighborhood of
x (to avoid holes), we can always find a simply connected open neighborhood
of x ∈ M . For example, if U is diffeomorphic to an open disk with center x, it
is simply connected (that is, every loop is equivalent to x). If γ : x → y and
γ  : y → z are two paths, we define their composed path γγ  : x → z by

γ(2t) if 0 ≤ t ≤ 1/2
γγ  (t) = 
γ (2t − 1) if 1/2 ≤ t ≤ 1.

By this composition, πM = π1top (M, x) = {γ ∈ Z(M )|γ : x → x} becomes

a group called the topological fundamental group of M . Taking a system of
70 2 Elliptic Curves and Modular Forms

neighborhoods Uy of y ∈ M made of simply connected open neighborhoods of

y, we equip a topology with Z(M ) so that a fundamental system of neighbor-
hoods of γ : x → y is given by {γU |U ∈ Ux }. Then Z(M ) becomes a complex
manifold. Via composition, πM acts on Z(M ) freely without fixed points. We
have a continuous map π : πM \Z(M ) → M given by π(γ : x → y) = y, which
is a local isomorphism, and π : πM \Z(M ) ∼ = M is a homeomorphism. This
space Z(M ) is called a universal covering space of M .
We apply this general construction to an elliptic curve (E, ω)/C defined
over C in the following way. We take as M the following zero set of the
equation of E:

E(C) = E(g2 , g3 )(C) = {(x:y:z) ∈ P2 (C)|y 2 z − 4x3 + g2 z 2 x + g3 z 3 = 0},

which is a compact Riemann surface of genus 1. Let Z = Z(E(C)) be the set of

all equivalence classes of paths emanating from 0. Write Π = π1top (E, 0). Since
E(C) is a commutative group, writing its group multiplication additively, we
define the sum γ + γ  on Z by, noting that γ and γ  originate at the origin 0:

 γ(2t) if 0 ≤ t ≤ 1/2
(γ + γ )(t) =
γ(1) + γ  (2t − 1) if 1/2 ≤ t ≤ 1.

Then (γ + γ  )(1) = γ(1) + γ  (1), and we claim that γ + γ  ≈ γ  + γ. In fact, on

the square [0, 1]×[0, 1], we consider the path α on the boundary connecting the
origin (0, 0) and (1, 1) passing (0, 1), and write β the opposite path from (0, 0)
to (1, 1) passing (1, 0). They are obviously homotopy equivalent. Thus, we
have a continuous map φ : [0, 1] × [0, 1] → [0, 1] × [0, 1] such that φ(0, t) = α(t)
and φ(1, t) = β(t). Define

f : [0, 1] × [0, 1] → E(C) by f (t, t ) = γ(t) + γ  (t ).

Then it is easy to see that f ◦ φ(0, t) = (γ  + γ)(t) and f ◦ φ(1, t) = (γ + γ  )(t).

Via the addition induced from the group structure of E(C) as above, Z
becomes an additive complex Lie group. Since γ + γ  = γγ  if γ ∈ Π and
γ  ∈ Z by definition, Π is an additive subgroup of Z and Π\Z ∼ = E(C). Here
we may regard the left-hand side as the quotient group of Z by the subgroup
Π.
We claim to have an isomorphism Z ∼ = C as additive Lie groups. Choose
a nowhere
 vanishing differential form ω on E, and define a map I : Z → C by
γ → γ ω ∈ C. Since ω is holomorphic on Z, the value of I is independent of the
representative γ in the homotopy class [γ] by Cauchy’s integration theorem.
Since ω is translation invariant on E(C), it is translation invariant on Z and
I(γ + γ  ) = I(γ) + I(γ  ). In particular, I is a local homeomorphism because
E(C) is one-dimensional and for simply connected U , Z(U ) ∼ = I(U ). Thus, the
pair (E(C), ω) is isomorphic locally to the pair of the additive group C and
du for the coordinate u on C, because du is the unique translation-invariant
differential (up to constant multiple). Since I −1 ([0]) = {0}, I is a linear
 2.3 Modular Forms 71

isomorphisminto C. For an open neighborhood U of 0 with U ∼ = Z(U ) 

γ → I(γ) = γ ω ∈ C giving an isomorphism onto a small open disk D in C
centered at 0, we have two γ1 , γ2 ∈ U giving rise to two linearly independent
I(γj ) (j = 1, 2). Then I(mγ1 + nγ2 ) = mI(γ1 ) + nI(γ2 ) for all m, n ∈ Z.
I(γ )
Replacing γj by a1 γj ∈ Z(U ) such that I( a1 γj ) = aj for any positive integer
a, by the same argument, we find I(mγ1 + nγ2 ) = mI(γ1 ) + nI(γ2 ) for all
m, n ∈ Q; hence, I is a surjective isomorphism.
In the same way, if α : E → E is an endomorphism of E with α(0E ) = 0E ,
α lifts an endomorphism of Z, sending a path γ from 0E to z ∈ C to a path
α(γ) from α(0E ) = 0E to α(z). In particular, α(γ + γ  ) = α(γ) + α(γ  ). Thus,
α gives rise to a linear map from C = Z to C. Since α is holomorphic (as it is
a polynomial map of the coordinates of P2/C ), α is a C-linear map. We thus
get a natural inclusion:
End(E/C ) → C. (2.3.1)
Writing L = LE for I(Π), we can find a base w1 , w2 of L over Z. Thus,
we have a map
℘(C)  (E, ω) −→ LE ∈ {L|L : lattice in C} =: Lat,
and we have (E(C), ω) ∼ = (C/LE , du). Therefore, the map ℘(C) → Lat is
injective. We show its surjectivity in the next subsection.
By the above fact combined with (2.3.1), we get the following:
Proposition 2.50 We have a ring embedding
End(E/C ) → {u ∈ C|u · LE ⊂ LE },
and hence End(E/C ) is either Z or an order of an imaginary quadratic field.
Proof. The first assertion follows from (2.3.1). Pick α ∈ End(E/C ) correspond-
ing to u ∈ C as above. Note that LE = Zw1 + Zw2 . Then uw1 = aw1 + bw2
w1
and uw2 = cw
 1 + dw2 for integers a, b, c, d. In short, writing w = ( w2 ) and
ρ(α) = ac db , we get uw = ρ(α)w; hence, ρ : End(E/C ) → M2 (Z) is a ring
homomorphism. By the first assertion, the image has to be an order of imag-
inary quadratic field or just Z.
When End(E/C ) = Z, E is said to have complex multiplication. We also simply
call E a CM elliptic curve if it has complex multiplication.

2.3.4 Weierstrass ℘-Function

For a given L ∈ Lat, Weierstrass defined his ℘-functions by
1   1 1

1 g2 g3
xL (u) = ℘(u) = 2 + − 2 = 2 + u2 + u4 + · · ·
u (u − #)2 # u 20 28
∈L−{0}
∂℘ 2  1
yL (u) = ℘ (u) = (u) = − 3 − 2 = −2u−3 + · · · ,
∂u u (u − #)3
∈L−{0}
72 2 Elliptic Curves and Modular Forms

where
 1  1
g2 = g2 (L) = 60 and g3 = g3 (L) = 140 .
#4 #6
∈L−{0} ∈L−{0}

Equating poles, ϕ = yL 2
− 4x3L + g2 xL + g3 is holomorphic everywhere. Since
these functions factor through the compact space C/L, ϕ is bounded and hence
must be a constant. Since the constant terms of xL and yL both vanish, we
conclude ϕ = 0. We obtain a holomorphic map (xL , yL ) : C/L − {0} → A2/C .
Counting the order of poles at 0, we check that the map (xL , yL ) has degree
1, that is, an isomorphism onto its image and extends to

Φ = (xL :yL :1) = (u3 xL :u3 yL :u3 ) : C/L → P2/C .

Thus, we rediscover the elliptic curve EL = E(L) = Φ(C/L) = E(g2 (L), g3 (L))
and the induced differential
dxL
ωL = = du.
yL
This shows
Theorem 2.51 (Weierstrass) We have ℘(C) = [(E, ω)/C ] ∼
= Lat.
We now relate the space Lat with the upper half-complex plane H. Two
complex numbers w1 , w2 ∈ (C× )2 span a lattice if and only if Im(w1 /w2 ) = 0.
Recall that H = {z ∈ C| Im(z) > 0}. By changing the order of w1 and w2
without affecting their lattice, we may assume that Im(w1 /w2 ) > 0. Thus, we
have a natural isomorphism of complex manifolds:
/  0
× 2 ∼
B = v = (w 1
w2 ) ∈ (C )  Im(w1 /w2 ) > 0 = C× × H

w2 ) → (w2 , w1 /w2 ).
via ( w1

Two vectors v and v  span the same lattice L if and only if v  = αv for
α ∈ SL2 (Z); hence,
Lat ∼= SL2 (Z)\B.
a b
This action of α = c d ∈ SL2 (Z) on B can be interpreted on C× × H as
follows:
az + b
α(u, z) = (cu + d, α(z)) for α(z) = .
cz + d

Exercise 2.52 Check that the above action is well defined; that is, show that
(αβ)(u, z) = α(β(u, z)) for α, β ∈ SL2 (Z).
 2.3 Modular Forms 73

2.3.5 Holomorphic Modular Forms

Since a geometric modular form f ∈ Gw (C) is a function of (E, ω)/C , it

induces a function of v ∈ B. Writing L(v) = L(w1 , w2 ) for the lattice spanned
by v ∈ B, therefore, we regard f as a holomorphic function on B by f (v) =
f (EL(v) , ωL(v) ). Then conditions (G0–3) can be stated as
(G0) f ∈ C[g2 (v), g3 (v)];
(G1) f (αv) = f (v) for all α ∈ SL2 (Z);
(G2) f ∈ C[g2 (v), g3 (v), Δ(v)−1 ];
(G3) f (λv) = λ−w f (v) (λ ∈ C× ).
We may also think of f ∈ Gw (C) as a function on H by f (z) = f (v(z))
for v(z) = 2πi ( z1 ) (z ∈ H). Recall that multiplying ( z1 ) by 2πi is to adjust
the rationality coming from q-expansion to the rationality coming from the
universal ring Z[ 16 ][g2 , g3 ]. Indeed, we will see below that (2πi−2j gj )(( z1 )) has
Fourier expansion in Q[[q]] for q = exp(2πiz). Then we have the following
interpretation:
(G0) f ∈ C[g2 (z), g3 (z)];  
(G1,3) f (α(z)) = f (z)(cz + d)w for all α = ac db ∈ SL2 (Z);
(G2) f ∈ C[g2 (z), g3 (z), Δ(z)−1 ].
g3 (z), Δ−1 (z)] satisfies f (z + 1) =
Since ( 10 11 ) (z) = z + 1, any f ∈ C[g2 (z), √
f (z). Defining e(z) = exp(2πiz) for i = −1, the function e : C → C×
induces an analytic isomorphism: C/Z ∼ = C× . Let q = e(z) be the variable
×
on C . Since f is translation invariant, f can  be considered as a function
of q. Thus, it has a Laurent expansion f (q) = n
−∞ a(n, f )q n . We have
the following examples (see (1.3.1), the following section, and [LFE] Chap. 5):
⎧ ⎫
∞ ⎨  ⎬
12g2 = 1 + 240 d3 q n ∈ Z[[q]]× ,
⎩ ⎭
n=1 0<d|n
⎧ ⎫
∞ ⎨ 
 ⎬
−63 g3 = 1 − 504 d5 q n ∈ Z[[q]]× , (2.3.2)
⎩ ⎭
n=1 0<d|n
∞

Δ=q (1 − q n )24 ∈ q(Z[[q]]× ).
n=1

The last expansion of Ramanujan’s function tells us that Δ does not vanish
on H analytically although this is geometrically clear, as Δ(E, ω) = 0 for any
elliptic curve (see [EEK] for a concise proof of the product expansion). In
particular, we have

(12g2 )3
J= = q −1 + · · · ∈ q −1 (1 + Z[[q]]).
Δ
74 2 Elliptic Curves and Modular Forms

By this adjustment (multiplying 2πi), we regard g2 and g3 as elements of

Z[ 16 ][[q]], and we consider the Weierstrass equation as a power series identity
with coefficients in Z[ 16 ]; namely, consider a projective plane curve E∞/Z[[q]]
(called the Tate curve) defined over the power series ring Z[[q]] by the equation
Y 2 Z = 4X 3 − g2 (q)XZ 2 − g3 (q)Z 3
and define ω∞ = dX Y . Since Δ is a unit in Z[ 6 ]((q)) := Z[ 6 ][[q]][ q ], we see that
1 1 1

(E∞ , ω∞ ) gives an elliptic curve over the Laurent series ring Z[1/6]((q)) with
nowhere vanishing differential ω∞ . For any f ∈ Gw (A),
f (q) = f ((E∞ , ω∞ ) ⊗Z[ 16 ]((q)) A((q))) ∈ A[[q]]

is called the q-expansion of f . If f ∈ Gw (C), the q-expansion f (q) coincides

with the analytic Fourier expansion via q = e(z), because by Theorem 2.48,
f is an isobaric polynomial Φ(g2 , g3 ) in g2 and g3 and by definition g2 (q) and
g3 (q) are their analytic expansions.
Write P1 (J)/Z[ 16 ] for the projective line over Z[ 16 ] whose coordinate is given
by J [in other words, P1 (J) = D0 ∪ D1 over local rings with D1 = A1 defined
by the affine ring Z[ 16 ][J]]. Since the coordinate at ∞ of P1 (J) can be given
by J −1 (J −1 ∈ q(1 + qZ[[q]])), we know that Z[[q]] = Z[[J −1 ]] and
P1 (J),∞ ∼
O = Z[1/6][[q]] via q-expansion, (2.3.3)
P1 (J),∞ is the (q)-adic completion of the local ring OP1 (J),∞ at ∞.
where O
We note that
Lat/C× = SL2 (Z)\(H × C× )/C× ∼
= SL2 (Z)\H,
which is isomorphic to P1 (J) − {∞} by J. Thus, we see that (G0) over C is
equivalent to
(G0 ) f is a holomorphic function on H satisfying the automorphic property
(G1,3), and its analytic q-expansion f (q) is contained in C[[q]].

More generally, for modular forms f ∈ Gw (A), we can interpret (G0) as

(G0 ) f : ℘/A → A1/A is a morphism of functors satisfying the automorphic
property (G3) in Sect. 2.3.2, and its algebraic q-expansion f (E∞ , ω∞ )
is contained in A[[q]].

2.4 p-Adic Uniformization

We recall Tate’s theory of p-adic uniformization of elliptic curves, following
Tate’s paper [T3] (dating back to 1959). The uniformization has been gen-
eralized to higher-dimensional abelian varieties by Mumford and Faltings–
Chai [DAV] Chaps. II, III, which is the base of the theory of smooth toroidal
compactification of Shimura varieties.
 2.4 p-Adic Uniformization 75

2.4.1 Explicit q-Expansion

As we learned from Weierstrass, every elliptic curve over C is isomorphic

to E with E(C) = C/L for a lattice L = Z(2πi) + Z log q for an element
q ∈ C× = Gm (C) with |q| < 1. The covering map C → E(C) factors through
∞ xn
exp : C → C× given by exp(x) = ex = n=0 n! . Thus, E(C) = C /q ,
× Z
Z ×
where q = {q |m ∈ Z}, which is a discrete subgroup of C . We see from the
m

definition of Weierstrass functions in Sect. 2.3.4 that

⎧ ⎫
∞ ⎨  ⎬ ∞
1 1 n3 q n
g2 (L) = + 20 d3 q n = + 20 ,
12 ⎩ ⎭ 12 1 − qn
n=1 0<d|n n=1
⎧ ⎫
7  ⎨  5⎬ n
∞ ∞
1 1 7  n5 q n
g3 (L) = − + d q =− + , (2.4.1)
216 3 n=1 ⎩ ⎭ 216 3 n=1 1 − q n
0<d|n
∞

Δ(L) = q (1 − q n )24 ,
n=1
J(L) = q −1 + j  (q) with j  (q) ∈ Z[[q]].

These formulas follow from (1.3.1).

Setting w = exp(u) = eu (u = log w), we compute the (q, w)-expansion of
℘L (u): By (1.3.3), for w with |q| < |w| < |q|−1 , we obtain

∞  
1 1 1
℘L (u) = 2 + −
u (u + 2πim)2 (2πim)2
m=−∞, m=0
∞
 ∞
"
  1 1
+ −
n=1 m=−∞
(−u + 2πim + n log q)2 (2πim + n log q)2
∞  
1 1
+ −
n=1
(u + 2πim + n log q)2 (2πim + n log q)2
∞
 ∞  ∞
2ζ(2)  
= mwm − 2
+ mw−m q mn + mwm q mn − 2q mn .
m=1
(2πi) n=1 m=1

d 1
∞
Applying dw to 1−w = m=0 wm , we get

∞
w
= mwm .
(1 − w)2 m=1

π2
Then, from the fact ζ(2) = 6 (see [LFE] Sect. 2.1), we see

1
xL (u) = ℘L (u) = tL (w) + , (2.4.2)
12
76 2 Elliptic Curves and Modular Forms

where
∞
 ∞
qm w qm
t(q, w) = tL (w) = − 2 . (2.4.3)
m=−∞
(1 − q w)
m 2
m=1
(1 − q m )2

The same formula written in a slightly different way is

∞
 nq n
w
t(q, w) = + (wn + w−n − 2).
(1 − w)2
n=1
1 − q n

This new formula confirms t(q, w) ∈ Z[w, w−1 , (1 − w)−1 ][[q]]. Let Aw =
Z[w, w−1 , (1 − w)−1 ] as a localized polynomial ring, which is plainly a finitely
generated Z-algebra. Thus, we have t(q, w) ∈ Aw [[q]].
d d
Again applying w dw = du to xL , we get

yL (u) = ℘ (u) = tL (w) + 2sL (w), (2.4.4)

where
∞
 ∞
(q m w)2 qm
s(q, w) = sL (w) = + . (2.4.5)
m=−∞
(1 − q w)
m 3
m=1
(1 − q m )2

2
From the identity: yL = 4x3L − g2 (L)xL − g3 (L), we get

s2 (q, w) + t(q, w)s(q, w) = t(q, w)3 − b2 (q)t(q, w) − b3 (q), (2.4.6)

where
  ∞
1 1 n3 q
b2 (q) = b2 (L) = g2 − =5 ∈ qZ[[q]]
4 12 n=1
1 − qn
   ∞  
1 g2 1 7n5 + 5n3 qn
b3 (q) = b3 (L) = g3 + − = ∈ qZ[[q]].
4 12 432 n=1
12 1 − qn

Note here that the identity is the algebraic identity in the power series ring
Aw [[q]], because the identity is valid over the open set |q| < |w| < |q|−1 in C2 .
We recall the following identity in Aw [[q]]:
 3  2
1 b2 1
Δ= g23 − 27g32= 4b2 + − 27 4b3 − −
12 3 216
∞

= b3 + b22 + 72b2 b3 − 432b23 + 64b32 = q (1 − q n )24 . (2.4.7)
n=1

Since w → (t(q, w), s(q, w)) factors through C× /q Z , we have

t(q, qw) = t(q, w) and s(q, qw) = s(q, w) in Aw [[q]]. (2.4.8)

 2.4 p-Adic Uniformization 77

We check the following identity by power series computation:

s(q, w−1 ) + s(q, w) = −t(q, w) in Aw [[q]]. (2.4.9)

The canonical differential on E(C) is given by

dw dx dx
= du = dx = .
w du
y

Exercise 2.53 1. Show that the projective plane curve C over a field k de-
fined by X 3 − XY Z − Y 2 Z = 0 is singular at (0:0:1), which is an ordinary
double point.
2. Show the function field of the curve C for k = Fp as above is isomorphic
w2
to Fp (w) with x = X w Y
Z = (1−w)2 and y = Z = (1−w)3 .

2.4.2 Tate Curves

By the computation we have done in the previous section, the projective plane
curve E∞ is defined over Z[[q]] by the following new equation in P2/Z[[q]] with
homogeneous coordinate (S:T :U ):

S 2 U + T SU − T 3 + b2 (q)T U 2 + b3 (q)U 3 = 0.

An important point is that the curve originally defined over Z[ 16 ][[q]] is ex-
tended to over Z[[q]]. It has an integral point 0 given by (S, T, U ) = (1, 0, 0).
More generally, we can think of a surjective homomorphism:

Z[[q]][S, T, U ]/(S 2 U + T SU − T 3 + b2 (q)T U 2 + b3 (q)U 3 ) → Z[[q]][S]

taking (S, T, U ) to (S, 0, 0). To compute the tangent space at 0, we use the
affine equation of u = U/S and t = T /S given by u + tu = t3 − b2 u2 t − b3 u3 ,
and we have
ΩOE ,0 /Z[[q]] = Z[[q, t]]dt.
∞

This shows that O E∞ ,0 = Z[[q, u]] and 0 is a smooth point of E∞ .

Since q|Δ in Z[[q]] (and Δ/q ∈ Z[[q]]× ), after inverting q, that is, over
Z[[q]][q −1 ]] = Z((q)), the curve E∞/Z((q)) is an elliptic curve with an invariant
differential ω∞ = dx y = t+2s = w . The curve E∞ over Z[[q]] (without invert-
dt dw

ing q) has one singular point, that is, E∞ mod q is singular only at P with
coordinate (s, t) = (0, 0) (which is not the origin of E ∞ = E∞ mod q), and
the (completed) stalk O E∞ ,P is isomorphic to Z[[q]][[t, s]]/(ts − q), which is a
regular ring (cf. [CRT] Sect. 19). Thus, the local ring at every geometric point
of E∞/Z is a regular ring of relative dimension 1 over Z[[q]] (we call such a
curve a regular curve). The smooth locus of E ∞ is isomorphic to P1 removed
two points, say 0 and ∞, which is Gm (here we may think Gm as a covariant
functor sending a ring A to its multiplicative group A× ). The description of
78 2 Elliptic Curves and Modular Forms

the singularity of (E∞ mod q) = E∞ ⊗Z[[q]] Z[[q]]/(q) as above is clear from

the equation of E ∞ : s2 + st = t3 , because b2 (q) ≡ b3 (q) ≡ 0 mod q. Thus,
E ∞/Z is a projective regular plane curve with a nowhere vanishing differential
ω∞ .
Let K be a complete field with discrete valuation | | = | |K (for example,
the p-adic field Qp and its field extensions finite degree). Write A for the
valuation ring of K. We pick qE ∈ K × with |qE | < 1. The specialization of
E∞ under the algebra homomorphism q → qE gives rise to an elliptic curve
EK = E∞ ⊗Z[[q]] K defined over K. Let P, Q, R ∈ EK (K). By Abel’s theorem
(Theorem 2.32), we have
P + Q + R = 0 ⇐⇒ [P ] + [Q] + [R] ∼ 3[0],
where “∼” indicates the linear equivalence.
We explore the addition formula in terms of the coordinates s and t in order
to understand well the group structure of E(K). In other words, we want to
express explicitly the coordinates of the sum P +Q in terms of the coordinates
of each P and Q. By the equation defining EK , we get 3[0] = EK ∩ L∞ (see
Example 2.18), where L∞ = {U = 0} ⊂ P2 is the line at infinity. Since any
two lines in P2 are linearly equivalent (that is, L∞ − L is the divisor of the
function U/φL for the linear form φL defining L),
P + Q + R = 0 ⇐⇒ [P ] + [Q] + [R] = L ∩ EK
for the line L ⊂ P2 passing through two of the three points P, Q, R, because if
P and Q are on L (P and Q determine L), we find the third point R ∈ L ∩ EK
by the Bézout theorem. Here the line L is the tangent line at P if P = Q.
Write P = (s, t), Q = (s , t ), and R = (s , t ). We suppose that P and
Q are different from 0; so their coordinates are finite. Suppose that the line
L (having P and Q on it) passes through 0 (thus, R = 0). If a line passes
S
through 0 = (0, 1, 0), its equation φ(S, T, U ) = aT + bS + cU = 0 (s = U and
T
t = U ) satisfies φ(1, 0, 0) = b = 0; hence, L is parallel to the s-axis, and we
conclude t = t . Thus, by (2.4.6), assuming P = Q (i.e., s = s or equivalently
2P = 0), we have s2 + st = s 2 + s t ⇐⇒ s + s = −t. In short,
t = t and s + s = −t ⇐⇒ P + Q = −R = 0. (2.4.10)
If P + Q = 0, then the equation of L can be written as s = μt + ν. Again by
(2.4.6), we have
s − s t2 + tt + t − b2 − s
2
μ= = (2.4.11)
t − t s + s + t
ν = s − μt = s − μt .
Using the above equations, we find the third point in L ∩ E∞ . We get
t = μ2 + μ − t − t and s = −t − μt − ν. (2.4.12)
Here is a result in [T3] Theorem 1:
 2.4 p-Adic Uniformization 79

Theorem 2.54 (Tate) Let A = limm A/q m A be a q-adically complete local

←−
Z[[q]]-algebra. Then
(1) The map w → (s(q, w), t(q, w), 1) ∈ P2 (A) induces an injective homomor-
phism of A× into EA (A) for EA = E∞ ⊗Z[[q]] A.
(2) If A is the integer ring of a local field K [that is, a finite extension of Qp
or Fp ((q))], then π extends to an isomorphism of K × /q Z ∼ = EA (K).
If an elliptic curve E is isomorphic to EA over A[ 1q ], we say that E has split
multiplicative reduction modulo (q).
Proof. We reproduce the proof [T3]) with some modification as in [GME]
w w2
Sect. 2.5.2. The power series t(q, w)− (1−w) 2 and s(q, w)− (1−w)3 are contained

in Z[w, w−1 ][[q]]. Thus, if w ∈ A× , the series ((1 − w)3 s(q, w), (1 − w)3 t(q, w))
converges in A2 under the q-adic topology; hence, we get a point

π(w) = ((1 − w)3 s(q, w) : (1 − w)3 t(q, w) : (1 − w)3 ) ∈ EA (A)

as long as one of the coordinates is nonzero. Since (1 − w)3 s(q, w) ≡ w2

mod qA, we see (1 − w)3 s(q, w) ∈ A× for all w ∈ A× . Thus, the map π :
A× → EA (A) is well defined. If π(w) = 0EA = (1:0:0), we have (1 − w)3 = 0,
and so w = 1. Thus, π −1 (0) = {1}.
We do not give a detailed proof of “homomorphy” of π (i.e., π is a group
homomorphism) here, but instead we just remark that the assertion (2) implies
homomorphy because the addition and the inverse are basically power series
identities. More precisely, taking parameters (w, w ) on E∞ × E∞ , we have
a power series Φ(W, W  ) ∈ Z[[q]][[W, W  ]] for W = 1 + w and W  = 1 + w
such that if P ∈ E∞ has coordinate w and Q ∈ E∞ has coordinate w , and
then the w-coordinate of P + Q ∈ E∞ is given by Φ(W, W  ). This fact is valid
by (2) after evaluating the variable q of the base ring Z[[q]] at many different
qE ∈ A, and so it should be valid as a power series identity.
We now prove (2). We first assume that K is of characteristic 0. We can
easily check the convergence of

π(w) = (s(q, w) : t(q, w) : 1) ∈ P2 (K) if |q| < |w| < |q|−1

for q ∈ K × with |q| < 1. Here |·| is the absolute value of K, and convergence is
under the topology of K. We simply put π(w) = 0 ∈ EA (K) if w ∈ q Z . Thus,
π : K × /q Z → EA (K) is well defined by (2.4.8), and by the first assertion,

π −1 (0) = q Z . (2.4.13)

We take u, v, w ∈ K × with w = uv. Since π depends only on the class modulo

q Z (2.4.8), we may assume |q| < |u| ≤ 1 and 1 ≤ |v| < |q|−1 . Thus, |q| <
|w| < |q|−1 , and π(u), π(v) and π(w) are well defined [that is, the power
series s(q, ?) and t(q, ?) converge at these points]. Since π(1) = π(q 0 ) = 0 by
definition, (2.4.9) and (2.4.10) shows the desired result when uv = 1. Thus,
80 2 Elliptic Curves and Modular Forms

we may assume that π(u) = P , π(v) = Q, and π(w) = R are all different
from 0 and that P = Q. Write P = (s, t), Q = (s , t ), and R = (s , t ).
By (2.4.10), (2.4.11), and (2.4.12), π(u) + π(v) = π(w) is equivalent to the
following simultaneous identities:

(t − t )2 t = (s − s )2 + (s − s )(t − t ) − (t − t )2 (t + t ), (2.4.14)

     
(t − t )s = −(t − t )(s + t ) + (s − s )(t − t ).

Assuming w = uv, we want to show that this identity (2.4.14) holds for
π(u) = P , π(v) = Q, and π(w) = R. Since w = uv, (2.4.14) is the identity in

Z[u, u−1 , v, v −1 , (1 − u)−1 , (1 − v)−1 , (1 − uv)−1 ][[q]].

Since Z[u, u−1 , v, v −1 , (1 − u)−1 , (1 − v)−1 , (1 − uv)−1 ] is finitely generated

over Z, we can embed this ring into C. Then the identity holds, by extend-
ing this embedding to K → C; consider EC = EK ⊗K C over C, since the
identities (2.4.14) hold for elliptic curves defined over C. We only verified
homomorphy assuming P = ±Q, but any map between infinite groups sat-
isfying π(uv) = π(u) + π(v) if π(u) = ±π(v) can be easily verified to be a
homomorphism (see the exercise below and [T3] Lemma 1). This shows that
π : K × /q Z → EK (K) is a homomorphism, and so, as remarked already, the
assertion (1) also holds for any q-adically complete A. In particular, π is also a
homomorphism for local fields of characteristic p. Then the injectivity follows
from (2.4.13).
We only give a sketch of a proof of the surjectivity when A is the integer
ring of a finite extension K/Qp . Since a convergent power series gives an
open map on a convergent open disk into an open disk under the p-adic
topology (cf. [T3] Corollary 1), π(K × ) is an p-adic open subgroup of EA (K).
Since P2 (K) is a compact p-adic set,  EA (K) is a compact p-adically closed
subset of P2 (K). Since EA (K) = x∈EA (K) (x + π(K × )), EA (K) is covered
by finitely many open set of the form x + π(K × ). Thus, π(K × ) is a subgroup
of EA (K) of finite index. Thus, EA (K)/π(K × ) is a finite group. In other
words, for any x ∈ EA (K), N x ∈ π(K × ). Write Qp for an algebraic closure
of Qp containing K. Since Qp /q Z is divisible and all torsion points of EA are
× ×
contained in π(Qp ), we find that N x ∈ π(K × ) implies x ∈ π(Qp ). Thus,
×
∼ EA (Qp ). By definition, π(wσ ) = π(w)σ for σ ∈ Gal(Qp /K). If
Qp /q Z =
π(w) = π(w), we have wσ = q m w. Since |q| < 1 and |w| = |wσ |, we find
σ

wσ = w. Take G := Gal(Qp /K) invariants of the exact sequence: 1 → q Z →

× ×
Q → Q /q Z → 1. Note that H 1 (G, q Z ) ∼
p p = Homcont (G, Z) = 0 (as Z does not
×
have nontrivial compact subgroups). Thus, we have H 0 (G, Qp /q Z ) = K × /q Z
×
and H 0 (G, E(Qp )) = EA (K) by definition. From Qp /q Z ∼ = EA (Qp ), via a
long exact sequence of the continuous cohomology, we get K × /q Z = ∼ EA (K)
as desired.
 2.5 What We Study in This Book 81

Exercise 2.55 Let (G, ·) and (H, +) be infinite abelian groups and let π :
G → H be a map with infinite image sending the identity to the identity such
that π(v · w) = π(v) + π(w) as long as π(v) = ±π(w). Show that π is a
homomorphism.

Corollary 2.56 Let W be a complete discrete valuation ring finite flat over
Zp inside Qp and put K for its field of fractions. Let q ∈ W with |q|p < 1
and Eq be the elliptic curve over W with Tate period q. Then, for a prime
l, we have E[ln ] ∼
n
= μln × Z/ln Z by the map sending ζq m/l ∈ Eq [ln ] with
ζ ∈ μln (Qp ) and m ∈ Z to (ζ, (m mod ln )) ∈ μln (Qp ) × Z/ln Z. On Tl Eq =
limn Eq [ln ] ∼
= Zl (1) × Zl , Gal(Qp /K) acts by a nonsemisimple representation
←−  
isomorphic to σ → N0l u1 , where Nl is the l-adic cyclotomic character such
that ζ σ = ζ Nl (σ) for ζ ∈ μl∞ (Qp ) and Nl (σ) ∈ Zl × and for a choice of
q 1/l ∈ Qp and the primitive ln th root ζln = ip (i−1
n
∞ (e( ln ))) ∈ μln (Qp ), we have
1
n u(σ) n
(q 1/l )σ = ζln q 1/q (for all n) with u(σ) ∈ Zl . In particular, the ln -torsion
points of Eq for n sufficiently large generate a nonabelian soluble extension
of K.

Proof. By Theorem 2.54 (2), the field of rationality of Eq [ln ] is the Kummer
n
extension K[μln , q 1/l ]. Then the above form of representation is given by the
n
Galois action on the basis {ζln , q 1/l } of Eq [ln ](Qp ).

2.5 What We Study in This Book

We learned in this section that the isomorphism classes of (E, ω) over a field
are in bijection to rational points of an affine algebraic variety Spec(R) for
R = Z[ 16 , X, Y, X 3 −27Y
1
2 ]. Similarly, the set of isomorphism classes of elliptic

curves over an algebraically closed field k is isomorphic to P1 (J)(k) − ∞ =

Spec(Z[J])(k) ∼ = k. Generalizing this, we may look into the problem classifying
pairs (E, φN )/A of an elliptic curve E over a ring A with a level-N -structure for
a positive integer N . The level structure φN can be an embedding of abelian
group functors φN : μN → E defined over the category of A-algebras ALG/A .
Here we use the group structure of E. We prove later in Chap. 6 that this clas-
sification problem gives rise to an affine curve Y1 (N )/Z[ N1 ] = Spec(R0 (Γ1 (N )))
defined over the very small ring Z[ N1 ]. In other words, if N ≥ 4, the isomor-
phism classes of (E, φN )/A over an Z[ N1 ]-algebra A are in bijection with the
set Y1 (N )(A) = Homalg (R0 (Γ1 (N )), A) (this is a theorem of Shimura and
Igusa; Theorem 6.25). Adding finitely many points (called cusps) to Y1 (N )
using the theory of Tate curves, we construct a projective curve X1 (N ) canon-
ically containing Y1 (N ) as we made P1 (J) out of M1 = P1 (J) \ {∞}. Since
φN |μN  for a factor N  |N is a level-N  -structure, we naturally get morphisms
Y1 (N ) → Y1 (N  ) and X1 (N ) → X1 (N  ). Thus, we get a tower of projective
curves {X1 (N )  X1 (N  )}N  |N indexed by positive integers N under the
82 2 Elliptic Curves and Modular Forms

(reversed) order given by divisibility N  |N . The procurve limN X1 (N ) and

←−
also the proaffine curve limN Y1 (N ) are a quotient of the Shimura curve we
←−
study in Chap. 7. We study the arithmetic invariant via the theory of Shimura
varieties and Hecke operators acting on it. In the following chapter, we present
some of the results of this book without going deep into the proof; thus, even
if readers do not fully understand the results, we suggest they try to get an
overview of the book (the details will be supplied later, after we’ve given the
basics of scheme theory and the relevant theory of modular forms/elliptic
curves/Shimura variety).
3
Invariants, Shimura Variety, and Hecke
Algebra

In the first chapter, we gave an introductory sketch of a proof of nonvanish-

ing modulo p of Dirichlet L-values. Since we have described basics of elliptic
curves in an elementary manner in Chap. 2, at least we could illustrate our
main objectives in this book with a rough outline of their proofs. Detailed
proofs (for some of them) will be given after we become equipped with a
scheme-theoretic description of elliptic curves and their moduli as the sim-
plest example of Shimura varieties in the following chapters. For some others,
we give full proofs here, possibly assuming simplifying assumptions (and we
refer to quoted research articles about the author’s proofs in more general
cases).
To prove the nonvanishing/nontriviality of an arithmetic invariant, our
principle is to spread out the invariant to a function defined over a larger
geometric object and then try to prove the nonvanishing of this function, as
we described in the introduction. A prototypical example is the nonvanishing
of Dirichlet L-values we studied already, as we somehow extended partial L-
values to a rational function on a product of Gm and get nonvanishing for
almost all Dirichlet characters of an l-power conductor for a given prime l.
This is an almost optimal result because a given L-value is, through numerical
computations, usually a nonzero integer divisible by fairly big primes (hence,
a given L-value vanishes modulo p for a prime p appearing sporadically).
The first example of such techniques discussed in this chapter is the Hecke
field of a Hecke eigenform (i.e., the number field generated by Hecke eigenval-
ues of a given eigenform). In this case, it is not a value; thus, in appearance, it
is not a nonvanishing problem but a nontriviality problem. We show that the
Hecke fields grow bigger when the eigenform is moving/deforming over the
(spectrum of) Hecke algebra (except for the cases where the associated Galois
representation has an “almost” abelian image). Thus, we could say that this
is a solution to a growth problem of fields generated by Hecke eigenvalues (see
Theorems 3.2 and 3.25). Then, as an application of the nontrivial growth of
Hecke fields, we prove the finiteness of character twist classes of potentially
ordinary non-CM abelian varieties of GL(2)-type having a good reduction

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 83

in Mathematics, DOI 10.1007/978-1-4614-6657-4 3,
© Springer Science+Business Media New York 2013
84 3 Invariants, Shimura Variety, and Hecke Algebra

outside p (Theorem 3.17). As another application, we study the nonvanishing

of the L-invariant associated with the exceptional zero of p-adic modular ad-
joint L-functions (see [HMI] for more about the L-invariant). We prove as a
function over Spec(h) that Greenberg’s L-invariant is nonconstant (except for
the cases where the associated Galois representation has an “almost” abelian
image; see Theorem 3.28); so it does not vanish at almost all Hecke eigen-
forms (Greenberg conjectures that it never vanishes). Then we proceed to the
vanishing of the Iwasawa μ-invariant of p-adic L-functions, which is actually
a nonvanishing result of the power series modulo p of the L-function. In this
case, the “bigger” geometric object we use is the Shimura curve/variety as the
moduli of elliptic curve (or, more generally, abelian varieties), and roughly,
with controlled error terms, the power series of a certain type of p-adic L-
functions is expected to be the Taylor expansion of a specific nonzero modu-
lar/automorphic form at an appropriate CM point of the variety (so, again, it
does not vanish often; Theorem 3.37). Discussions about the μ-invariant and
the “big” Hecke algebra in this chapter are only outlines, and details on the
invariant and the Hecke algebra will be discussed in later chapters.

3.1 Abelian Component of the “Big” Hecke Algebra

In this section, first, we give an axiomatic definition of the cuspidal “big”
ordinary Hecke algebra h necessary to state our results without proof. Then
we give a precise definition of the abelian components. As we mentioned,
often Spec(h) plays the role of a bigger geometric object when we want to
spread a given arithmetic invariant as a schematic function. The construction
of the Hecke algebra (logically necessary to show what we state here) will be
given in Sects. 7.3 and 7.4. Until all the details are given, we suggest that the
reader take axiomatic statements literally to see an overview of the theory.
The scheme Spec(h) is the universal parameter space of p-adic slope-0 modular
forms of a given prime-to-p level. There is a rigid analytic generalization of the
parameter space for positive slope forms (the eigencurve; see [Em] for a brief
outline of the theory). As described above, the nonvanishing/nontriviality
theorems involving the spectrum of the Hecke algebra are often valid outside
“abelian” components.
Fix a prime p and, for simplicity, assume p ≥ 3. We can treat the case
of p = 2, and all the statements on the big Hecke algebra h are valid for
p = 2, replacing pr+1 by 4pr (see [GME] Sect. 3.2 for the theory valid for
general primes including p = 2). Fix a positive integer N prime to p. Take a
Dirichlet character ψ modulo N pr+1 . Consider the subspace of modular forms
Gk+1 (Γ0 (N pr+1 ), ψ) made up of modular forms f in Gk+1 (Γ1 (N pr+1 )) satis-
fying f (E, φN pr+1 ◦d, ω) = ψ(d)f (E, φN pr+1 , ω) for all d ∈ (Z/N pr+1 Z)× . Here
φN pr+1 ◦ d is the composition of φN pr+1 and ζ → ζ d for ζ ∈ μN pr+1 , and we as-
sume p  N and r ≥ 0. We write the subspace in Gk+1 (Γ0 (N pr+1 ), ψ) of cusp
forms as Sk+1 (Γ0 (N pr+1 ), ψ) (excluding Eisenstein series). The character ψ
 3.1 Abelian Component of the “Big” Hecke Algebra 85

is called the Neben type, or the “Neben” character (taking the terminology of
Hecke). These spaces are defined in [IAT] Sect. 3.5 along with the Hecke oper-
ators T (n) acting on it, where Sk+1 (Γ0 (N pr+1 ), ψ) = Sk+1 (Γ0 (N pr+1 ), ψ; C)
is defined. We already defined the spaces of modular forms and cusp forms
Gk+1 (Γ1 (N )) = Gk+1 (Γ1 (N ); C) and Sk+1 (Γ1 (N )) = Sk+1 (Γ1 (N ); C) [see
(G1–4) and (s) in Sect. 1.3.1]. We will give a more detailed definition of these
spaces and operators later (see Definitions 6.30 and 6.21). In this chapter
only, we write the weight of the modular form as k + 1 since the l-Frobenius
eigenvalue has absolute value lk/2 for the Galois representation of a cuspi-
dal eigenform f of weight k + 1. Here we say that f is a Hecke eigenform if
f |T (n) = an f for all n. Actually, the motive associated with f has Hodge (and
Hodge–Tate) weight (k, 0), so it might be more natural to call this weight k as
the weight of modular form, though we use the traditional weight k + 1 in this
book (see [MTV] for motives and [HMI] Sect. 4.4.1 for Hodge–Tate weight).
Let Z[ψ] be the subring of Q generated by the values of ψ. The Hecke
algebra over Z[ψ] is

h = Z[ψ][T (n)|n = 1, 2, · · · ] ⊂ End(Sk+1 (Γ0 (N pr+1 ), ψ)).

Thus, h is a subalgebra of the linear endomorphism algebra of the space

Sk+1 (Γ0 (N pr+1 ), ψ) of cusp forms generated by Hecke operators. This alge-
bra is a commutative ring with identity T (1). We put hk+1,ψ = hk+1,ψ/A =
h ⊗Z[ψ] A for a p-adically complete ring A ⊂ Cp containing Zp [ψ]. Often our
T (p) is written as U (p) because the level is divisible by p. The ordinary part
hk+1,ψ/A ⊂ hk+1,ψ/A is the maximal ring direct summand on which U (p) is
invertible. In other words, limn→∞ U (p)n! converges p-adically in hk+1,ψ/A to
the idempotent e (called the ordinary projector) of hk+1,ψ/A = e · hk+1,ψ/A .
Exercise 3.1 Let A be a p-adically complete algebra, and suppose that A is
of finite type as a module over Zp . Prove that the p-adic limit limn→∞ an! for
any a ∈ A exists in A giving an idempotent of A.
Let ψ1 = ψN × the tame p-part of ψ, and recall the fixed field embeddings
i∞ ip
C ← Q → Cp . Fix a complete discrete valuation ring W ⊂ Cp . Let the ring
W [ψ] ⊂ Cp be generated by the values ψ over W . Then, as we will prove in
Corollary 7.61, we have a unique “big” Hecke algebra h = hψ1 /W characterized
by the following two conditions:
1. h is free of finite rank over the Iwasawa algebra Λ := W [[T ]] equipped with
T (n) ∈ h for all n (we write t = 1 + T ∈ Λ as before);
2. if k ≥ 1, regarding a character ε : Z×
p → μp∞ (Qp ) as a ring homomorphism
εk of Λ onto W [ε] over W , sending t to γ k ε(γ) (γ = 1 + p), we have

h ⊗Λ,εk W [ε] ∼
= hk+1,εψk /W [ε] for ψk := ψ1 ω 1−k ,

where ω is the Teichmüller character. This identity sends T (n) ⊗ 1 to T (n).

86 3 Invariants, Shimura Variety, and Hecke Algebra

As is well known, Gk+1 (Γ0 (N pr+1 ), ψ) = 0 if ψ(−1) = (−1)k ; hence, we have

ψ1 (−1) = 1 (even character) in order to have nontrivial hψ1 . A (normalized)
Hecke eigenform in Gk+1 (Γ0 (N pr+1 ), ψ) has slope α ∈ Q if f |U (p) = a · f
with |a|p = p−α . We simply put α = ∞ if a = 0. Since limn→∞ an! = 1 ⇔
α = 0, the algebra hk+1,εψk acts nontrivially on a Hecke eigen cusp form f
in Sk+1 (Γ0 (N ), εψk ; Qp ) if and only if f has slope 0. A slope-0 form is also
called an ordinary form; hence, we call positive-slope forms nonordinary. An
important consequence of the above two facts is the boundedness principle
(b) The number of slope-0 Hecke eigenforms of level N pr+1 , of weight k + 1,
and of a given character ψ is bounded independently of k, r, and ψ.
0, λ : h → Qp givenby f |T = λ(T )f
If a Hecke eigenform f as in (b) has slope 
∞ ∞
for T ∈ h factors through hk+1,ψ and f = n=1 a(n, f )q n = n=1 λ(T (n))q n .
Thus, the number of slope-0 forms with Neben character ψ is less than or equal
to rankW hk+1,ψ = rankΛ hψ1 independent of r and ε. We define the Hecke
field of f over a number field K to be K(f ) = K(λ(T (n))|n = 1, 2, . . . ) (the
subfield of Q generated by Hecke eigenvalues of f ). This field K(f ) is known
to be a finite extension of K (e.g., [IAT] Chap. 3).
The corresponding objects for the modular form are denoted by the cor-
responding capital characters; so, for example,
H = Z[ψ][T (n)|n = 1, 2, · · · ] ⊂ End(Gk+1 (Γ0 (N pr+1 ), ψ)),
Hk+1,ψ/W = H ⊗Z[ψ] W, the ordinary part Hk+1,ψ ⊂ Hk+1,ψ
and the big Hecke algebra H = Hψ1 /W .
Replacing cusp forms by modular forms (and lowercase symbols by uppercase
symbols), we construct the “big” cuspidal Hecke algebra Hψ1 . For this algebra
Hψ1 , the corresponding assertions as (1) and (2) hold. We have a surjective Λ-
algebra homomorphism H  h sending T (n) to T (n). We take an irreducible
component Spec(I) ⊂ Spec(H) (thus I is a torsion-free integral domain over
Λ and is a Λ-module of finite type).
Each point P ∈ Spec(H) has a two-dimensional (semisimple) representa-
tion ρP [of Gal(Q/Q) unramified outside N p] with coefficients in the residue
field κ(P ) of P such that Tr(ρP (F robl )) = (T (l) mod P ) for all primes #
outside p and the prime-to-p level N . See [GME] Sects. 4.2 and 4.3.1 for an
account of the construction of the Galois representation. Here, as a conven-
tion, the terminology “residue field” κ(P ) means the field of factions of the
integral domain h/P . By the semisimplicity of ρP , the trace of ρP charac-
terizes the representation. Since the Frobenius elements F robl for primes l
outside a finite set S of primes are dense (in the Galois group of the maxi-
mal extension unramified outside S) by Chebotarev’s density theorem (e.g.,
[CFN] Sect. V.6), the trace of ρP (F robl ) determines the isomorphism class of
ρP uniquely.
In particular, writing I = H/P for a minimal prime P ∈ Spec(H), I
(strictly speaking, its quotient field) carries a Galois representation ρI = ρP
with
 3.1 Abelian Component of the “Big” Hecke Algebra 87

Tr(ρI (F robl )) = a(l) (for the image a(l) in I of T (l)) for all primes l  N p.

For a ∈ I and P ∈ Spec(I)(Qp ), regarding it as a W -algebra homomor-

phism P : I → Qp , we write aP ∈ Qp for P (a). If a prime P of Spec(I)
with I/P → Qp contains (t − εψk (γ)γ k ) with k ≥ 1, we have a Hecke
eigenform fP ∈ Gk+1 (Γ0 (N pr(P )+1 ), εψk ) with fP |T (n) = aP (n)fP for
aP (n) = P (a(n)) ∈ Qp for all n (see Sect. 7.4.3). Such a P is called arith-
metic if k ≥ 1, and we write εP = ε, ψP = εψk , r(P ) = r, and k(P ) = k
for such a P . Thus, I gives rise to a slope 0 analytic family of modu-
lar forms FI = {fP |arithmetic P ∈ Spec(I)(Qp )} and Galois representations
{ρP }P ∈Spec(I)(Qp ) .
We call a Galois representation ρ abelian if there exists an open subgroup
G ⊂ Gal(Q/Q) such that the semisimplification (ρ|G )ss has an abelian image.
We call I an abelian component if ρI is abelian. A component I is called cuspidal
if Spec(I) ⊂ Spec(h), and if not we call it an Eisenstein component. An
abelian cuspidal component is also called a CM component for a reason we
describe soon. Abelian components are either Eisenstein or CM components
(e.g., [GME] Sect. 4.3).
In the description of ρP , we have written Tr(ρP (F robl )) = (T (l) mod P ).
The precise meaning of this congruence formula is
Tr(ρP (F robl )) = a(l)P , det(ρP (F robl )) = ψP (l)lk(P ) for all primes l  N p.
(3.1.1)
As for a(p), we have the following fact (see [GME] Theorem 4.3.2). For the
decomposition subgroup Dp ⊂ Gal(Q/Q),
 ∗ 
ρP |Dp ∼
= 0P δP (3.1.2)
for an unramified character δP with δP (F robp ) = a(p)P .
If P is arithmetic, ρP is the Galois representation of the Hecke eigenform
fP originally constructed by Shimura for weight-2 forms and by Deligne for
higher weight (and by Deligne–Serre for weight 1 if fP is classical; that is,
P with k(P ) = 0 is not arithmetic, and hence fP is sometimes classical and
sometimes not classical, just p-adic). The classical construction is valid for
any classical Hecke eigenform f not necessarily ordinary (i.e., with slope 0),
but our construction (for example, in [GME] Sects. 4.2 and 4.3.1) also works
for a p-adic modular form fP at nonarithmetic P .
For each Hecke eigenform f ∈ Gk+1 (Γ0 (N pr+1 ), ψ), we have a compatible
system of Galois representations ρf,p : Gal(Q/Q) → GL2 (Q(f )p ) for each
prime ideal p of Q(f ) with coefficients in the p-adic completion Q(f )p of Q(f ).
Write Vp,Il := H0 (Il , Vp ) for the maximal quotient of the representation space
Vp := Q(f )2p of ρf,p on which the inertia group Il at a prime l acts trivially by
ρf,p . The collection ρf = {ρf,p }p is a compatible system defined in Sect. 1.1.2
because the characteristic polynomial Hl (X) = det(1 − X · ρf,p (F robl )|Vp,Il )
of l-Frobenius element F robl is independent of p (see [C]) as long as l ∈
p (assuming f is primitive in the sense of [MFM] Chap. 4). By the above
88 3 Invariants, Shimura Variety, and Hecke Algebra
∞ 
identity (3.1.1), we have L(s, f ) = n=1 a(n, f )n−s = l Hl (l−s )−1 . If I is
nonabelian, the representation ρP is perhaps not in a compatible system if P
is not arithmetic [with some exceptions when k(P ) = 0].
If P ∈ Spec(I)(Qp ), as Gal(Q/Q) is compact, we may assume that ρP has
coefficients in the p-adic integer ring O of κ(P ) [see [GME] Remark 4.2.1 and
[MFG] Exercise (1) of Sect. 3.2.3]; so ρP modulo the maximal ideal of O has
its semisimplification ρmI . The representation ρmI : Gal(Q/Q) → GL2 (Fp ) de-
pends only on the maximal ideal mI of I (because a semisimple representation
is determined by its trace; see, [MFG] Sect. 2.1.5).
We let ρf,p act, by conjugation x → ρf,p (σ)xρf,p (σ)−1 , on the Lie
algebra V = sl2 (Q(f )p ) = {x ∈ M2 (Q(f )p )|Tr(x) = 0} and write Ad(ρf,p )
for this three-dimensional representation. Setting Vp,Il = V / σ∈Il (σ − 1)V
to be the maximal quotient of the vector space sl2 (Q(f )p ) on
which the inertia group Il at a prime l acts trivially, we get
Adl (X) = det(1 − X · Ad(ρf,p )(F robl )|Ad(V )p,Il )(p  l) in Q(f )[X] indepen-
dently of p. We get the adjoint compatible system Ad(ρf ) = {Ad(ρf,p )}p and
the adjoint L-function by

L(s, Ad(f )) = L(s, Ad(ρf )) = Adl (l−s )−1 . (3.1.3)
l

This L-function converges on a right half-plane and can be continued to an

entire function on the complex plane (see [Sh5] and [GeJ]) if f is a cusp form.
We write L(s, Ad(ρP )) for L(s, Ad(fP )) (if P is arithmetic).
Hereafter we assume I to be cuspidal. As seen in [MFG] Sect. 5.3.6 and
[H88a] (see also [H81a] and [H81b]), we have a p-adic adjoint L-function

Lp = Lp (Ad(ρI )) := Lp (1, Ad(ρI )) = Lp (1, ρsym⊗2

I ⊗ det(ρI )−1 ) ∈ I

interpolating

L(1, Ad(ρP ))
Lp (P ) := P (Lp ) = (Lp mod P ) = for all arithmetic P .
period

Writing Spec(h) = Spec(I) ∪ Spec(X) for the complement X, we have (under

mild assumptions)

Spec(I) ∩ Spec(X) = Spec(I ⊗h X) ∼

= Spec(I/(Lp )) (a congruence criterion).

The assumptions are that for the connected component Spec(T) of Spec(h)
containing Spec(I), T is a Gorenstein ring (see [MFG] Sect. 5.3.4 for Gorenstein
ring) and that Spec(I) is normal (see [H11c] Sect. 3.1 for more explanation).
Actually, so far, all known computed examples of the normalization of I are
regular isomorphic to a one-variable power series ring over a valuation ring
finite over Zp , and as for T, non-Gorenstein examples are rare, but they exist
(see [KiW]).
 3.1 Abelian Component of the “Big” Hecke Algebra 89

Writing the image of T (n) in I (resp., X) as a(n) [resp., b(n)] and regarding
them as functions on Spec(I) and Spec(X), we have a(n)(P ) = b(n)(P ) for
P in the intersection Spec(I) ∩ Spec(X); in other words, we have a(n) ≡ b(n)
mod P (congruence between two Hecke eigenvalues). This is a reason for our
calling this criterion a “congruence” criterion. The study relating congruence
primes and adjoint L-values was started in [H81a]. See also [DoHI] for a his-
torical account of the early research on congruence between Hecke eigenforms
in the late 1970s and some open conjectures (in particular, in the mid-1970s,
Doi found computationally highly nontrivial numerical examples of congru-
ence primes between primitive forms of the same conductor, the same Neben
character, and the same weight).
Congruence modulo a prime l of a fixed Hecke eigenform f in a fixed
space Sk+1 (Γ0 (N pr+1 ), ψ) with another Hecke eigenform g in the same space is
controlled by the canonical integer part c(f ) of the adjoint L-value L(1, Ad(f ))
[i.e., basically, l|c(f ) ⇔ the existence of g with g ≡ f mod l for a prime l|l].
Thus, c(f ) is a product of the prime factors of the discriminant/conductor
of the Hecke order Z[f ] = Z[λ(T (n)]n inside Q(f ) and more if we have g
nonconjugate (but congruent) to f . For this reason, the number c(f ) is called
the congruence number of f . This implication from the adjoint L-value to
congruences of a cusp form was first discovered by the author in [H81a] and
[H81b] and developed into the criterion in the above form in [H86a] (0.7). See
[H12b] Sects. 5 and 6 and [MFG] Sect. 5.3.6 for an up-to-date treatment of the
criterion and the construction of Lp . The criterion characterizes Lp , and at
this moment, Lp is well defined up to units in I (see [H11c] Conjecture 3.1 on
how to normalize Lp without ambiguity).
If we interpolate the adjoint L-values including the cyclotomic variable,
that is, adding a variable s that interpolates L(s, Ad(ρP )), moving s, we need
to multiply the L-value by a nontrivial modifying Euler p-factor as described
in Sect. 1.1.2. For this enlarged two-variable adjoint L-function, the modifying
factor vanishes at s = 1 (see Example 1.6); so Lp (s, Ad(ρI )) has an exceptional
zero at s = 1, and for an L-invariant 0 = Lan (Ad(ρI )) ∈ I[ p1 ], we expect to have
?
Lp (1, Ad(ρI )) = Lan (Ad(ρI ))Lp (in the style of Mazur–Tate–Teitelbaum).
Greenberg proposed a definition of a number L(Ad(ρP )) conjectured to
be equal to Lan (Ad(ρP )) for arithmetic P . We interpolate Greenberg’s L-
invariant L(Ad(ρP )) over arithmetic P to get a function L(Ad(ρI )) = 0 in
I[ p1 ] so that L(Ad(ρI ))(P ) = L(Ad(ρP )) for all arithmetic P .

3.1.1 Is Characterizing Abelian Components Important?

Here is a list of such characterizations (possibly conjectural):

• A cuspidal I is abelian ⇔ the cuspidal√I is a CM component ⇔ there exist
an imaginary quadratic field M = Q[ −D] in which p splits into pp and a
character Ψ = ΨI : GM = Gal(Q/M ) → Ĩ× of conductor cp∞ for an ideal c
with ccDM |N such that ρI ∼ Q
= IndM Ψ , where DM is the discriminant of M
90 3 Invariants, Shimura Variety, and Hecke Algebra

and Spec(Ĩ) is the normalization of Spec(I). This should be well known;

see (cm1–4) in Sect. 3.1.5 in the text and [GME] Theorem 4.3.18. Thus, we
called a cuspidal abelian
 component a CM component. Since one can check

Q M/Q Q − −
Ad(IndM Ψ ) = ⊕IndM Ψ , this implies Lp = Lp (Ψ )L(0, M/Q ),
where Ψ − (σ) = Ψ (cσc−1 σ −1 ) for complex conjugation c, and Lp (Ψ − ) is
the anticyclotomic Katz p-adic L-function associated with Ψ − . This is a
key to the proof by Mazur/Tilouine (e.g., [Ti], [MzT] and also [H82] as a
precursor of their result) of the anticyclotomic main conjecture, different
from those by Rubin [Ru1] and [Ru2] via an Euler system. See [H06a] and
[H09b] for a version taking care of general CM fields.
• I is abelian ⇔ ρP is abelian for a single arithmetic prime P . By Ribet
[Ri3], if ρP is abelian, ρP has complex multiplication or Eisenstein. Then
P has to be on a CM component or on an Eisenstein component(see [H12b]
Sects. 3 and 4).
• I is abelian ⇔ ρI mod p is abelian? This is almost equivalent to the vanish-
ing of the Iwasawa μ-invariant for Lp (Ψ − ) (see Sect. 3.5 for the vanishing).
This is a main result in [H12b].
• (Vertical conjecture in [H11a]) Consider the field Vr (I) ⊂ Q generated by
aP (p) for all arithmetic P with level ≤ N pr+1 for a fixed r ≥ 0. Then we
conjecture that I is abelian ⇔ [Vr (I) : Q] < ∞ (see Conjecture 3.24 for
a more precise statement). This was a question that L. Clozel asked me
in the early 1990s. This holds true if the family contains some weight-2
cusp form whose abelian variety has good ordinary reduction modulo p
or more generally a weight-k ≥ 2 cusp form whose motive is potentially
crystalline ordinary at p (see Theorem 3.25). Here a crystalline motive
is ordinary if its Newton polygon of the crystalline Frobenius coincides
with the Hodge polygon. By applying this crystalline-ordinary criterion,
the family FΔ containing Ramanujan’s Δ-function has V0 (I) of infinite
degree over Q. In the 1970s, Y. Maeda made a conjecture asserting that
Q(a(p, f )) for any normalized Hecke eigenform f in Sk (SL2 (Z)) has de-
gree equal to d := dim Sk (SL2 (Z)), with its Galois closure having Galois
group isomorphic to the symmetric group Sd of d letters (cf. [HM]). This
conjecture is numerically verified up to large weight and large p (e.g., [A])
and implies our conjecture if N = 1.
• (Horizontal theorem in [H11a]) Fix k ≥ 1 and consider the field Hk (I)
generated by aP (p) over Q(μp∞ ) for all arithmetic P with a fixed weight
k ≥ 1. Then I is abelian ⇔ [Hk (I) : Q(μp∞ )] < ∞ (see Theorem 3.2).
• The representation ρI restricted to the decomposition group at p is com-
pletely reducible ⇔ I is abelian. This is the result of Ghate–Vatsal in
[GhV]. See also [BGV], [Zh], and [H13a] for Hilbert modular versions.
• For cuspidal I, L(Ad(ρI )) is a constant function over Spf(I) if and only if
I is a CM component. This is a corollary of the horizontal theorem given
in [H11c], and we will give an outline of the proof in Sect. 3.4.
 3.1 Abelian Component of the “Big” Hecke Algebra 91

• (Conjecture/Question) Does a cuspidal component I have CM by an

imaginary quadratic field M if

L(Ad(fP )) = logp (p) (up to algebraic numbers) for one arithmetic P

taking a prime factor p of p in M ? Here logp (p) = − logp (p) is as in

Example 1.3. This is a wild guess, but a main point is that if the L-
invariant is closely related to an imaginary quadratic field, the form fP
has to come from the imaginary quadratic field.
All statements seem to have good arithmetic consequences, and these exam-
ples convinced the author of the importance of giving as many characteri-
zations of abelian components as possible. Another remark is that rigidity
lemmas (asserting that a formal subscheme of a formal torus stable under an
open subgroup of the automorphism group of the formal torus is essentially a
formal subtorus) play an important role in the proof of these characterizations,
in particular, in the proof of the horizontal/vertical theorems (Theorems 3.2
and 3.25) and also the vanishing of the μ-invariant. This type of lemma has
been studied by Chai [Ch3] over a characteristic p base (see Theorems 10.1
and 10.6), but we also present some characteristic 0 versions (for example,
Lemmas 3.12, 3.30, 3.45, and 4.85).

3.1.2 Horizontal Theorem

Let Spec(I) be a component of Spec(h). Here is what we prove in this section:

Theorem 3.2 Pick an infinite set A ⊂ Spec(I)(Qp ) of arithmetic points P

with fixed weight k(P ) = k ≥ 1. Write HA (I) ⊂ Hk (I) for the field generated
over K := Q(μp∞ ) by {aP (p)}P ∈A . Then the Hecke field HA (I) is a finite
extension of K if and only if I is abelian. Moreover, if I is not abelian,

lim sup[K(aP (p)) : K] = ∞.

P ∈A

We may conjecture that I is abelian if and only if

lim sup[K(aP (l)) : K] = ∞

P ∈A

for any given prime l  N p.

We state a corollary of the boundedness principle (b) for Hecke fields:
Lemma 3.3 Let F be a slope-0 p-adic analytic family of Hecke eigenforms
with coefficients in I. Then we have
1. Fix 0 ≤ r < ∞. Let K = Q. Then the degree [K(fP ) : K(aP (p))] for
arithmetic P with r(P ) ≤ r is bounded independently of P .
2. Let K = Q(μp∞ ) and fix k ≥ 1. Then the degree [K(fP ) : K(aP (p))] for
arithmetic P with k(P ) = k is bounded independently of P .
92 3 Invariants, Shimura Variety, and Hecke Algebra

Proof. If f ∈ Gk+1 (Γ0 (N pr+1 ), ψ; Q), by the rationality (see Theorem 2.48
and its generalization
∞ in Sect. 6.2), the Galois conjugate f σ given by the
q-expansion n=0 a(n, f )σ q n for σ ∈ Gal(Q/Q) is again a modular form
in Gk+1 (Γ0 (N pr+1 ), ψ σ ; Q) [where ψ σ (n) = ψ(n)σ for n ∈ Z]. If σ ∈
Gal(Q/K[ψ1 , ω]) fixes aP (p), fPσ is still ordinary (i.e., slope 0) Hecke eigen-
forms of the same level and the same Neben character. The number of such
forms is bounded by rankZp [[T ]] h [by principle (b)]. Thus,

[K(fP ) : K(aP (p))] ≤ [K[ψ1 , ω] : K] rankZp [[T ]] h.

This finishes the proof.

Hereafter in this section, we fix A (as in Theorem 3.2) and assume that

[HA (I) : K] < ∞ for K := Q(μp∞ ). We try to prove that I is abelian. For a
prime l outside N p, let A(l) be a root of det(X −ρI (F robl )) = 0 in an algebraic
closure Q of the field of fractions of I. Extending I, we assume that A(l) ∈ I.
Then the value αl,P := AP (l) is a root of X 2 − aP (l)X + ψk (l)lk(P ) = 0. If
l = p, we put A(l) = a(l). Fix l. By Lemma 3.3, LP = K[αl,P ] has bounded
degree over K independently of l and P for all P ∈ A; so l is tamely ramified
in LP /K for sufficiently large primes l  0.

3.1.3 Weil Numbers

We gather here some results on Weil numbers for the proof of Theorem 3.2.
For a prime l, a Weil l-number α ∈ C of integer weight k ≥ 0 satisfies

(1) α is an algebraic integer; (2) |ασ | = lk/2 for all σ ∈ Gal(Q/Q).

Weil numbers of weight 0 are roots of unity (see Lemma 3.6).

Weil numbers are related to Diophantine problems over finite fields. Let
X/Fq be a smooth geometrically connected projective variety of dimension d
defined over a finite field Fq . Write q = lf for a prime l. In elementary terms,
fixing an algebraic closure F = Fq , the set of F-points X(F) of X is the zero
set (Φ(x), . . . , Φm (x)) of finitely many homogeneous equations in Fq [x] in a
projective space
  
PN (F) = x := (x0 , x1 , . . . , xN ) ∈ FN +1 x = 0 := (0, 0, . . . , 0) /F×
 
in Lemma 2.13. Thus, X(F) = x ∈ PN (F)|Φ1 (x) = · · · = Φm (x) = 0 . See
Chaps. 2 and 4 for smoothness and connectedness. Let Nn = |X(Fqn )| =
|X(F) ∩ PN (Fqn )| (the number of Fqn -rational points of X). Then the zeta
function ζ(s, X) of X/Fq is defined by a Dirichlet series
 3.1 Abelian Component of the “Big” Hecke Algebra 93

∞
Nn −ns
ζ(s, X) = exp( q )
n=1
n
∞
 ∞
2  ∞
3
 Nn −ns 1  Nn −ns 1  Nn −ns
=1+ q + q + q + ···
n=1
n 2! n=1
n 3! n=1
n
(3.1.4)

convergent over a right half-plane of s ∈ C. Let P0 (T ) = (1 − T ) and P2d (T ) =

(1 − q d T ).
Exercise 3.4 Prove that ζ(s, X) is absolutely convergent over a right half-
plane, using |PN (Fq )| = q q−1−1 .
N +1

In 1949, Weil conjectured in [We1, p. 507] the existence of Weil l-numbers

{αij } of weight f · i for j = 1, . . . , 2g(i) for a nonnegative integer g(i) for each
integer i with 1 ≤ i ≤ 2d − 1 such that


2d 
g(i)
Pi (q −s )(−1)
i+1
ζ(s, X) = for Pi (T ) = (1 − αij T ).
i=0 j=1

This expression, as a rational function of q −s , implies that ζ(s, X) can be con-

tinued to a meromorphic function on the entire complex plane with zero and
pole on the line Re(s) = 2i (i = 0, 1, . . . , 2d) and satisfies a certain functional
equation. See [We1] for more details on the conjecture [particularly, his pre-
diction of existence of cohomology theory over X with degree i cohomology
group having rank g(i)] and [ECH] VI.12 for Grothendieck’s proof of ratio-
nality via his algebro-geometric cohomology theory (note also an earlier proof
by Dwork via p-adic analysis). The conjecture (including the statement for
αij ) was proven by Deligne in the above form in [D4]. Weil originally proved
his conjecture in the case of curves and abelian varieties, and we will see this
when the curve is an elliptic curve. The case of elliptic curves is a theorem of
Hasse (Theorem 6.6) earlier than Weil’s.
If we start with a smooth projective variety X ⊂ Pn defined over Z[ N1 ],
we can think of the base change X/Fp taking the zero set in Pn (Fp ) given by
reduction modulo (p) for a prime p  N of the polynomials defining X/Z[ N1 ] .
Thus, we have a well-defined Pi (T ) for each 0 ≤ i ≤ 2d and p  N , which we
write as Pi,p (T ). The degree-i part of the (imprimitive) L-function of X is
defined by an Euler product converging a right half-plane:

Li (s, X) = Pi,p (p−s )−1 . (3.1.5)
pN

The conjecture of Hasse-Weil (e.g., [IAT] Sect. 7.1) tells us that this L-function
has meromorphic continuation to the entire complex plane and satisfies a
functional equation after supplementing with missing Euler factors and Γ -
factors appropriately.
94 3 Invariants, Shimura Variety, and Hecke Algebra

Here is one more example of the natural appearance of Weil numbers. For
any Hecke eigenform f ∈ Sk+1 (Γ0 (N pr+1 ), ψ) with f |T (l) = al f , if l is prime
to N p, then the roots α, β of X 2 − al X + ψ(l)lk = 0 are Weil numbers of
weight k. When f is Ramanujan’s Δ-function, which spans S12 (SL2 (Z)), this
fact is conjectured by Ramanujan; for general k, it was conjectured by Peters-
son [cf. [IAT] Sect. 3.5 (Z) and (Z  )]. If f = fP for an arithmetic point P of
Spec(h)(Qp ), the numbers α, β are the eigenvalues of ρP (F robl ) for the Frobe-
nius element F robl at the prime l in Gal(Q/Q), because Tr(ρP (F robl )) = al
k
and det(ρP (F robl )) = ψ(l)l by (3.1.1). We define themodular Hecke L-
∞
function of f by L(s, f ) = l (1 − al l−s + ψ(l)lk−s )−1 = n=1 a(n, f )n−s .
As we described in the earlier chapters (and we go deeper into this subject
in Sect. 6.2.4), each modular form is a function classifying elliptic curves with
additional structures, for example, (E, ω) for the level-1 case and (E, φN , ω)
(with a level-N structure φN ) for level-N cases. Moreover, we remarked that
X1 (N ) is defined over Z[ N1 ] [i.e., X1 (N )(Q) is a zero set in a projective space
Pn (Q) of homogeneous polynomials defined over Z[ N1 ]]. We prove in Theo-
rem 6.25 that X1 (N ) is (at least) defined over Z[ 6N 1
], throwing away primes 2
and 3. Thus, we can think of the reduction X1 (N )/Fp modulo p and degree-1
part of the zeta function L(s, X1 (N )) = L1 (s, X1 (N )).
When k = 1 (that is, for weight-2 cusp forms), the Hasse–Weil conjecture
for X1 (N ) and the Ramanujan–Petersson conjecture were proven by Shimura
by computing L(s, X1 (N )) as a product of L(s, f ) for Hecke eigenforms of
weight 2 on X1 (N ) via identifying the roots α, β of X 2 − al X + ψ(l)l = 0
with l-Frobenius eigenvalues (see [Sh1] and [IAT] Sect. 7.5) and then reducing
√
the proof of |α| = |β| = p to Weil’s work for curves. For higher-weight
modular forms, Deligne went down a similar path to prove the Ramanujan–
Petersson conjecture, reducing it to his proof of Weil’s conjecture taking the
k−1
  !
fibered product E ×X E ×X · · · ×X E (see [D1] and also [Sch]). For weight-1
cusp forms (i.e., the case for k = 0), the problem is reduced analytically by
Deligne and Serre to higher-weight cases (see [DS]). Thus, one might expect
to have a Weil number of weight k even for Hecke eigenvalues of U (p) for a
cusp form of weight k + 1 ≥ 2, as “old” Hecke eigenforms of level N p coming
from a form of the original level p  N have α or β as their U (p)-eigenvalue.
This is not always true for eigenforms properly of level N pr+1 (r ≥ 0), called
primitive forms (see [MFM] Sect. 4.6 for primitive forms). For example, if
pr+1 = Cp3 (ψ)pe for the p-conductor Cp (ψ) of ψ, then ap is equal to 0 if
e ≥ 2 or ± ψ0 (p)p(k−1)/2 if e = 1 (Weil number of weight k − 1). Here ψ0 is
the primitive character associated with ψ if ψ is imprimitive at p. See [MFM]
Corollary 4.6.18 for these facts. The case where we have Weil number of weight
k − 1 for k ≥ 1 is called the Steinberg (or special) case, as the automorphic
representation generated by the cusp form has p-component isomorphic to the
Steinberg representation (see [AAG] about Steinberg/special representations
and automorphic representations).
 3.1 Abelian Component of the “Big” Hecke Algebra 95

On the other hand, if ψ has p-conductor pr+1 (with r ≥ 0), writing

f |U (p) = ap · f , ap is a Weil number of weight k. This fact follows from
[MFM] Theorem 4.6.17. In this case, the proof is more elementary without
recourse to arithmetic geometry.
By these facts, Weil numbers have an intimate relation to modular forms
and Diophantine geometry; thus, it is natural to ask how often we find such
numbers in a given algebraic number field of finite or infinite degree over Q.
This is what we study now.
Lemma 3.5 Let K/Q be a finite extension of Q inside C stable under the
“complex conjugation” c [so write c ∈ Aut(K) for the field automorphism
induced by the complex conjugation]. If, for any field embedding σ : K → C,
we have c ◦ σ = σ ◦ c, K is a subfield of a CM field. In particular, if α is a
Weil number, Q(α) is contained in a CM field.
Here a CM field is a totally imaginary quadratic extension of a totally real field
of finite degree (such a field appears as the endomorphism field of an abelian
variety with complex multiplication; see [ACM]). A totally real field F is a
subfield of Q such that σ(F ) remains a subfield of R for every σ ∈ Gal(Q/Q).
Proof. Let K + be the subfield of K fixed by c; hence, K + = K ∩ R in C.
Suppose c = idK . Then K = K + is real. Since σ(K) ⊂ C is also fixed by c
by c ◦ σ = σ ◦ c, σ(K) ⊂ R; hence, all complex embeddings of K send K into
R. Thus, K = K + is totally real, and hence in a CM field. Suppose c = idK .
Then K/K + is fixed by order-2 automorphism, and K/K + is a quadratic
extension. By the above argument applied to K + , K + is totally real. By the
commutativity c ◦ σ = σ ◦ c, c is nontrivial on σ(K); hence, K/K + is a totally
imaginary quadratic extension of the totally real field K + (i.e., a CM field).
Let K = Q(α). Then for any embedding σ : K → C, ασ ασc = |α|2 = lk =
l = (ααc )σ = ασ αcσ . Thus, we get c ◦ σ = σ ◦ c, and so Q(α) is in a CM
kσ

field.
Here is another lemma due to Kronecker:
Lemma 3.6 If ζ is a Weil number of weight 0, then there exists a positive
integer N such that ζ N = 1.

Proof. Let K = Q(ζ) and K∞ = K ⊗Q R. Then we have dimQ  K =

dimR K∞ < ∞, and K∞ is a product of copies of C and R. Write K∞ = F F
for fields F and | · |F for the Archimedean absolute value of F . Put
 ×

K∞1
= x ∈ K∞ : |x|F = 1 for all factors F of K∞ ,

which is a compact group. By definition, ζ ⊗ 1 ∈ K∞ is an element in the

multiplicative group K∞ 1
∩ (O× K ⊗ 1). By Dirichlet’s unit theorem (and its
proof in [LFE] Sect. 1.2 Theorem 3), O× ×
K ⊗ 1 ⊂ K∞ is a discrete subgroup.
×
Thus, K∞ ∩ (OK ⊗ 1) is compact and discrete. Thus, this group is finite and
1

has order N . In particular, ζ N = 1.

96 3 Invariants, Shimura Variety, and Hecke Algebra

We call two nonzero algebraic numbers a and b equivalent (written as a ∼ b)

if a/b is a root of unity.
Lemma 3.7 Let K be a finite field extension of Q(μp∞ ) inside Q. Then for a
given prime l and weight k ≥ 0, there are only finitely many Weil l-numbers of
weight k in K up to equivalence. If K = Q(μp∞ ) and there is only one prime
in Z[μp∞ ] above (l) (for example, if l = p), any Weil l-number of weight k is
equivalent to (l∗ )k/2 in Q, where l∗ = (−1)(l−1)/2 l if l is odd, and l∗ = 2 if
l = 2.
An analytic result of Loxton confirms that, up to equivalence, there are only
finitely many Weil l-numbers of a given weight in the maximal abelian exten-
sion Qab of Q (see [Lx] Lemma 7). Thus, the finiteness result of the lemma
follows from this analytic result of Loxton. We give an algebraic proof.
Proof. The decomposition group of each prime l is of finite index in Gal(K/Q)
[identifying Gal(K/Q) ∼ = Z×p by the p-adic cyclotomic character, the decom-
position group is generated by l if l = p, and otherwise l = p, p is fully ramified
in Q[μp∞ ]; see [ICF] Chap. 2]; hence, there are only finitely many primes L
of Z[μp∞ ] above (l). Thus, for a Weil l-number α of weight k, there are only
finitely many possibilities of prime factorization of (α) if l = p. If (α) = (β) for
two Weil l-numbers α, β, then α/β is a Weil number of weight 0; so α ∼ β by
Kronecker’s theorem (Lemma 3.6). If there is only one prime over l in Z[μp∞ ],
any Weil l-number of weight k is equivalent to (l∗ ) . Thus, the result follows
k/2

from this if K = Q(μp∞ ).

Let W (l, k) [resp., WK (l, k)] be a complete set of representatives of Weil
l-numbers in Q(μp∞ ) (resp., in K) of weight k under the equivalence. By the
above argument, W (l, k) is a finite set, and we want to prove that WK (l, k)
is finite. Write d = [K : Q(μp∞ )]. If α ∈ K is such a Weil l-number, then
NK/Q(μp∞ ) (α) is equivalent to a number in W (l, kd). Thus, NK/Q(μp∞ ) in-
duces a map N : WK (l, k) → W (l, dk). Write L for the field generated by
elements in W (l, dk). Then L/Q is a finite abelian extension in Q(μp∞ ). Since
no prime completely splits in Q(μp∞ ), the decomposition subgroup D of l in
Gal(K/Q) is an open subgroup of finite index. Thus, there are only finitely
many valuations v of K with v(l) = 1. Let V be the set of valuations v
of K with v(l) = 1, which is a finite set. For v ∈ V and α ∈ WK (l, k),
v(α) ∈ [0, k] ∩ d−1 v(L), because NK/Q(μp∞ ) (α) is in W (l, dk) up to roots of
  
unity. Let V := v∈V [0, k] ∩ d−1 v(L) , which is a finite set. We have a map
ordl : WK (l, k) → V sending α to ordl (α) = (v(α))v∈V . If ordl (α) = ordl (β)
(α, β ∈ WK (l, k)), then α/β is an algebraic integer with complex absolute
value |(α/β)σ | = 1 for all σ ∈ Gal(Q/Q); hence, by Kronecker’s theorem
(Lemma 3.6), α ∼ β. Thus, ordl is an injection, proving the finiteness of
WK (l, k).
A prime l is tamely ramified in a finite extension K/F inside Ql if the
ramification index over F of all primes above l in K is prime to l. It is easy to
see that the composite of two tamely ramified extensions of F is still tamely
 3.1 Abelian Component of the “Big” Hecke Algebra 97

ramified. Thus, we think of the composite of all tamely ramified extensions of

F inside Ql , which is called the maximal tamely ramified extension of F . To
prove an improvement of Lemma 3.7, we first remark
Lemma 3.8 Let K = Ql [μp∞ ] inside Ql , and let K t /K (resp., K ur /K) be the
maximal tamely l-ramified extension (resp., the maximal unramified extension
inside K t ) in Ql . Then K/K
t
has the l-inertia group isomorphic to Z (l) (1),
where Z (l) (1) = lim μN (Ql ) as Gal(K ur /Ql )-modules, and we have
←−lN

 (p)  Z
Z  (l) (1) if l = p,
Gal(K /K) ∼
t
=   (l) (3.1.6)
Z  Z (1) if l = p

 (l) (1), and

a semidirect product with Gal(K t /K) & Z

 (p) if l = p,
Z
ur
Gal(K /K) = ∼

Z if l = p.

In particular, for a given d > 0, there are finitely many extensions in K t /K

of degree ≤ d.
Proof. Let L/F be a finite Galois extension for a finite extension F of Ql .
Write l for the maximal ideal of the l-adic integer ring OF of F . We introduce
a filtration on the l-adic inertia group I(L/F ) of Gal(L/F ). Let L be the
maximal ideal of the l-adic integer ring OL of L. By definition,
  
I(L/F ) = I0 (L/F ) = σ ∈ Gal(L/F )xσ ≡ x mod L for all x ∈ OL .

Thus, for each integer j > 0, we define

  
Ij (L/F ) = σ ∈ Gal(L/F )xσ ≡ x mod Lj+1 for all x ∈ OL .

Then, by definition, the subgroups Ij (L/F ) of Gal(L/F ) are normal. Let

×
U0 = OL and Uj = 1 + Lj ⊂ U0 for j > 0. Then we claim that the map

Ij (L/F )/Ij+1 (L/F ) → Uj /Uj+1

given by σ → σ−1 for a generator  of L is an injective homomorphism.

The injectivity immediately follows from the existence of an L-adic expansion
× 
of any x ∈ OL : j≥0 aj j with aσj = aj for all σ ∈ I(L/F ), which implies

σ−1 ∈ 1 + Lj+1 ⇐⇒ σ ∈ Ij+1 (L/F ).

Note that (σ −1)(τ −1) = (στ −1)−(σ −1)−(τ −1). Then (σ−1)(τ −1) ∈ Uj+1
because, again by L-adic expansion, (σ − 1) for σ ∈ Ij (L/F ) takes Uj into
Uj+1 for all j. Thus, it is a homomorphism.
The above claim shows that (Ij : Ij+1 ) is a l-power for j > 0 and for
r = dimFF FL with FF := OF /l and FL := OL /L,
98 3 Invariants, Shimura Variety, and Hecke Algebra

(I0 : I1 )|F×
L | = |FF | − 1,
r

which is prime to l. Since I∞ (L/F ) = {1}, I1 (L/F ) is the l-Sylow subgroup

of I(L/F ). In particular, I(L/F )/I1 (L/F ) → F×L , which is an abelian group.
By the theory of Lubin–Tate formal groups (see [CFN] Sect. III.7), there is
an explicit way of constructing such L fully ramified and abelian over F with
given Galois group isomorphic to F×F , and if F = Ql , Ql (μl ) does the job. Thus,
D(L/F ) is a soluble group, and I1 (L/F ) is nilpotent, because (Ij , Ij ) ⊂ Ij+1 .
Let I = IF := Gal(Ql /F ur ) and D = Gal(Ql /F ). By class field the-
ory, there always exists a totally ramified extension of F with Galois group
isomorphic to F× F . Let Il ⊂ I be the maximal l-profinite subgroup. Since
I = Gal(Ql /F ur ),

I (l) = I/Il = lim I(L/F )/I1 (L/F ) ∼

= lim F× ∼ Z
 (l) ,
←−ur ←−ur L =
L⊂F L⊂F

where Z  (l) =  Z . In particular, if we write I(q) for the maximal q-profinite

=l
quotient of I (l) (and hence of I), it is isomorphic to Zq . Thus, we have a unique
(q)
l-totally ramified Zq -extension F (q) /F ur . Let Fn ⊂ F (q) be the subfield such
that Gal(Fn /F ur ) ∼
(q)
= Z/q n Z. Since F ur contains all q-power roots of unity,
(q) √
n
by Kummer theory ([CFN] 1.5), Fn = F ur ( q ) for a prime element  in
F ur . Thus, if φ ∈ Gal(F (q) /F ) induces the Frobenius and σ ∈ Gal(F (q) /F ur ),
we see from this that
φσφ−1 = σ |FF | = σ N (φ) ,
for the q-adic cyclotomic character N : Gal(Ql /Ql ) → Z×
q . This shows that

I(q) ∼
= Zq (1) as Gal(F ur /F )-module, (3.1.7)

where Zq (m) is a Galois module isomorphic to Zq as (plain) modules on which

the Galois group acts via N m for the q-adic cyclotomic character N realized on
Zq (1) = limn μqn . In particular, D/I (q) ∼

←− = Gal(Fp /FF )  Zq (1) = φZ  Zq (1),
where I (q) is the maximal prime-to-q-profinite subgroup of I. Thus, we have
Gal(F t /F ) ∼
= Gal(Fp /FF )  Z  (l) (1) = φZ  Z
 (l) (1), moving q = l.
Now we assume that F ⊂ K = Ql (μp∞ ), and pass to the projective limit
Gal(K t /K) = limF ⊂K Gal(F t /F ). If l = p, FF = Fp for any F , so Gal(F t /F )
←−
is independent of F , and we get the desired result. If l = p, Gal(FK /Fl ) ∼ = Z×
p,
which contains a Zp -module free of rank 1 (i.e., 1 + pZp for p odd and 1 + 4Z2
if p = 2). Thus, after passing to the limit, we lose one Zp -free component
from Z∼ 
= φZ = Gal(Fl /Fl ) for the Frobenius element φ with φ(x) = xl ; hence,
Gal(K t /K) ∼ =Z (p)  Z
 (l) (1) if l = p.
By this expression, there are finitely many open subgroups of Gal(K t /K)
of index ≤ d, and so there are only finitely many extensions of K inside K t
of degree ≤ d (see Sect. 4.2.1). This finishes the proof.
 3.1 Abelian Component of the “Big” Hecke Algebra 99
×
We call two numbers α, β ∈ Q p-equivalent if α/β ∈ μp∞ (Q). We write
α ∼p β if they are p-equivalent.
Proposition 3.9 Let Kd be the set of all finite extensions of Q[μp∞ ] of
fixed degree d inside Q whose ramification at l is tame. Then there are only
finitely many Weil  l-numbers of a given weight, up to p-equivalence, in the
set-theoretic union L∈Kd L in Q.
The point of the proof is as follows. Writing K = Q[μp∞ ] and Kl = K ⊗Q Ql ,
by tameness, there are only finitely many isomorphism classes of K ⊗Q Ql -
algebras Ll = L ⊗Q Ql for L ∈ Kd . Thus, we only need to prove finiteness
for Weil numbers of a given weight contained in a fixed isomorphism class of
Ll . We look at the universal composite Ll ⊗Kl Ll , which is a product of fields
indexed by l-adic nonequivalent normalized valuations v1 , . . . , vn . Indeed, for
any composite X of two copies of Ll embedded as Kl -algebras inside a com-
mutative semisimple Kl -algebra, a ⊗ b → a · b ∈ X extends to a surjective
algebra homomorphism Ll ⊗Kl Ll → X by the universality of the tensor prod-
uct. Considering Ll ⊗Kl Ll , we can think of any possible composite containing
α and β. Another important point is that the simple components of Ll ⊗Kl Ll
are indexed by equivalence classes of valuations vi s (see [BCM] VI.8). With
these facts in mind, consider a tuple

V (α) = (v1 (α ⊗ 1), . . . , vn (α ⊗ 1), v1 (1 ⊗ α), . . . , vn (1 ⊗ α)).

If α ∼ β, we have V (α) = V (β). The tuple V (α) determines the prime

factorization of (α) in any possible composite K(α, β); hence, if V (α) = V (β),
(α) = (β) in K(α, β); thus, by Kronecker’s theorem (Lemma 3.6), α ∼ β. Since
there are only finitely many possibilities of V (α), there are only finitely many
classes. Here are the details of the proof.
Proof. For each L/K in Kd , consider the Galois closure Lgal of L over K (see
Sect. 4.2.1 in the text and [TCF] Chap. 2 for Galois theory). Then, by the
permutation representation, Gal(Lgal /K) is embedded into the symmetric
group of d letters Sd , hence, writing G for the set of all subgroups of Sd
and KG (for a finite group G) for the set of Galois extensions of K with
Galois
 groupisomorphic
 to G inside Q whose ramification at l is tame. Then
L∈Kd L ⊂ G∈G L∈KG L. Since G is a finite set, we only need to prove the
proposition, replacing Kd by KG .
Let V be the set of normalized l-adic valuations of K := Q[μp∞ ]. Write Fv
for the residue field of v ∈ V inside a fixed algebraic closure Fl . If l = p, Fv is
an infinite extension of Fl generated by all p-power roots of unity; otherwise,
Fv = Fp . As we have remarked, V is a finite set. Let L ∈ KG ; hence, L/K
is a finite extension of degree d = |G| tamely ramified at l. We claim that
there are only finitely many isomorphism classes of Kl -algebras Ll = L ⊗Q Ql
for L running through KG . To see this, write Kl = K ⊗Q Ql = v∈V Kv for
Kv = Ql [μp∞ ] inside the v-adic completion of K. By Lemma 3.8, there are
finitely many open subgroups of Gal(Kvt /Kv ) with index ≤ d, and hence there
100 3 Invariants, Shimura Variety, and Hecke Algebra

are finitely many isomorphism classes of tamely ramified extensions of Kv of

degree ≤ d. Thus, the claim follows.
Consider the set Ξ of all isomorphism classes of Kl -algebras L⊗Q Ql , where
L runs over KG . Thus, Ξ is a finite set. Pick L ∈ Ξ and consider the  set KL
of all L ∈ KG such that L ⊗Q Ql ∼ = L as K-algebras. Then KG = L∈Ξ KL .
The set KL is a countable set. Assume KL = ∅. We just order its elements as
L1 , L2 , . . . . We fix a K-algebra isomorphism ιj : Lj ⊗Q Q ∼
l∞= L. Thus, Lj ⊂ L
for every j. We take the (set-theoretic) union ΩL := j=1 ιj (Lj ) inside L.
Since Lj /K is a Galois extension, another choice of ιj is equal to ιj ◦ σ for
σ ∈ Gal(Lj /K). Thus, Im(ιj : Lj → L) is independent of the choice of ιj , and
we therefore forget about ιj . Note that Kl = K ⊗Q Ql is a product of field Kv
indexed by v ∈ V such that Kv has a valuation inducing v on K. Similarly,
r L
is a product of finitely many fields with l-adic valuation. Write L = j=1 Lj
for a simple component Lj , and write Vj for the valuation giving the l-adic
topology of Lj extending one of the members of V. Write VL = {V1 , . . . , Vr },
which is a finite set.
 Let W(l, k) [resp., W(l, k, L)] be the set of Weil l-numbers of weight k
in L∈KG L (resp., in ΩL ). Thus, for each α ∈ W(l, k, L), we find a Galois
extension Lα /K containing L(α) over K inside KG with Galois group G such
that Lα ⊗Q Ql ∼ = L. Thus, we have
+
W(l, k) = W(l, k, L).
L∈Ξ

The intersection W(l, k, L) ∩ W(l, k, L ) for L, L ∈ Ξ obviously contains all

Weil l-numbers of weight k in K (and possibly more). For each α ∈ W(l, k, L),
we define a tuple of nonnegative positive rational numbers S1 (α) ∈ (Q≥0 )VL
given by S1 (α) = (V (α))V ∈VL .
If l = p, l is unramified in K/Q; hence, V (α) ∈ |G|−1 Z and 0 ≤ V (α) ≤ k.
Thus,
S := {S1 (α)|α ∈ W(l, k, L)}
is a finite set. If l = p, by the above lemma, there are only finitely many Weil
p-numbers (up to equivalence) in K of a given weight. Thus, the set V ⊂ Q of
valuations of Weil numbers in K of weight k|G| is a finite set. For each α ∈
W(p, k, L), take a Galois extension Lα /K (inside KG ) with Gal(Lα /K) = G
containing α with Lα ⊗Q Ql ∼ = L. Then V ∈VL eV V (α) = v(NLα /K (α)) ∈ V
for the (tame) ramification index eV of V over K and V (α) ∈ |G|−1 V. Again,

S := {S1 (α)|α ∈ W(p, k, L)}

is a finite set. If α/β ∈ μp∞ (K), we have K(α) = K(β) inside L and hence
S1 (α) = S1 (β). By Lemma 3.11 following this proposition, the group of roots
of unity in the composite L of L for all L ∈ KL in Q contains μp∞ (K) as
a subgroup of finite index; hence, S1 (α) = S1 (β) up to a permutation of
valuations in VL if α ∼ β.
 3.1 Abelian Component of the “Big” Hecke Algebra 101

We consider for each s ∈ S the set W(s) = {α ∈ W(l, k, L)|S1 (α) = s}.
By definition, we have a decomposition
4
W(l, k, L) = W(s).
s∈S

We want to show that W(s)/μp∞ (K) is a finite set. Write O for the integral
closure of Zl in L (the l-adic integer ring of L). By definition, for α, β ∈
W(s), the principal O-ideal (α) is equal to (β), because S1 (α) = S1 (β) = s
determines the prime factorization of (α) = (β) in L. Write the tensor product
L ⊗Kl L = L1 ⊕ L2 ⊕ · · · ⊕ Ln for fields Li and write Vi for the valuation
of Li normalized so that it extends a member of V. Then the possibility of
ν(α) = (Vi ((α ⊗ 1), Vi (1 ⊗ α))i for α running over W(s) is finitely many,
and if ν(α) = ν(β), α/β is a Weil l-number of weight 0, because the prime
factorization of (α) and (β) in Lα ⊗K Lβ is equal. Thus, α/β is a root of
unity by Kronecker’s theorem (Lemma 3.6), and hence  α ∼ β. As already
remarked (see Lemma 3.11), {roots of unity in L} = ζ∈Z ζ · μp∞ (K) for a
finite set Z of roots of unity. Thus, W(s)/μp∞ (K) is finite, which implies
W(l, k)/{p-power roots of unity} is finite.
Exercise 3.10 Explain in details why in the above proof we can replace the
set Kd by KG .

It is not very difficult to prove the following result.

Lemma 3.11 Let K? be one of KL , KG , and Kd . Suppose K? = ∅. Then the
group of roots of unity in the composite L of L for L ∈ K? in Q contains
μp∞ (K) as a subgroup with a finite index.
By this lemma, we can replace the equivalence α ∼ β by the finer p-equivalence
α ∼p β requiring α/β ∈ μp∞ , and still the finer equivalence classes in the
union L∈Kd L of Weil l-numbers of a given weight are finite. Though we
have stated the lemma for Kd , as is clear from the proof below, the assertion
of Lemma 3.11 remains true even if we replace Kd by the set of all extensions
of degree ≤ d over Q[μp∞ ] (without the tame ramification condition).
Proof. We first take K? = KL or KG . Let μ(p) ⊂ Q be the group of roots of
unity of order prime to p. We need to prove that the subgroup μ(p) ∩ L ⊂ μ(p)
is finite. For any finite subset K ⊂ K? , the composite of
 L ∈ K in Q is a Galois
extension of K whose Galois group is a subgroup of L∈K G contained in

{(σL )L∈K |σL ∈ Gal(L/K), σL |L∩L = σL |L∩L for all pairs (L, L ) ∈ K2 }.

Thus, the order of any σ ∈ Gal(L/K) is a factor of |G| and, hence, bounded.
Pick any infinite subgroup ν ⊂ μ(p) , and decompose it into a product of #-
primary subgroups ν for primes # = p. Let Ξ = {#|ν = 1}. If Ξ is finite,
we have ν ⊃ μ∞ for a prime # ∈ Ξ, and Gal(K(ν)/K) surjects down to
102 3 Invariants, Shimura Variety, and Hecke Algebra

Gal(Q(μ∞ )/Q) = Z×  ; hence, the elements of Gal(K(ν)/K) have unbounded

order, and hence Q(ν) ⊂ L. If |Ξ| = ∞, Gal(K(ν )/K) for odd # is cyclic
of order ≥ # − 1 and, therefore, elements of Gal(K(ν)/K) have unbounded
order. Thus, the subgroup μ(p) ∩L has to be finite. As for K? = Kd , the Galois
closure of L ∈ Kd over K has Galois group G realized inside Sd , and the same
proof works as what we used isonly the boundedness of |G| ≤ d!.

3.1.4 A Rigidity Lemma

Recall the base ring W , which is a p-adically complete discrete valuation ring
inside Cp . We start with a rigidity lemma:
Lemma 3.12 Let Φ(T ) ∈ W [[T ]]. If there is an infinite subset Ω ⊂ μp∞ (K)
such that Φ(ζ − 1) ∈ μp∞ (Qp ) for all ζ ∈ Ω, then there exist ζ0 ∈ μp∞ (W )
∞  
and s ∈ Zp such that ζ0−1 Φ(T ) = ts = n=0 ns T n (t = 1 + T ).
By the assumption, for s ∈ Z× p sufficiently close to 1, ζ → ζ is an automor-
s

phism of W [[μp∞ ]] over W ; hence, Φ(ζ −1) = Φ(ζ−1) ⇔ Φ(t −1) = Φ(t−1)s ,
s s s

and the power series is the desired form as stated in a remark of Chai’s [Ch1]
Remark 6.6.1 (iv). Here is an elementary proof supplied to the author by
Kiran Kedlaya (a proof following Chai can be found in [H11a] Sect. 5; see also
Lemma 3.30 in the text).
Proof. Making the variable change T → ζ1−1 (T + 1)− 1 for a ζ1 ∈ Ω (replacing
W by its finite extension if necessary), we may replace Ω by ζ1−1 Ω  1; hence,
rewriting ζ1−1 Ω as Ω, we may assume that 1 ∈ Ω. Note that t = 1 ⇔ T = 0.
Write the valuation of W as v (and use the same symbol v for an extension
of v to W [μp∞ ]). Normalize v so that v(p) = 1. We are trying to show that
Φ(T ) = (1+T )s ζ  for some s ∈ Zp and some p-power root of unity ζ  . Anyway,
−1
we write Φ(0) = ζ  ∈ μp∞ (Qp ). Replacing Φ by ζ  Φ (and extending the
scalars to a finite extension of W if necessary), we may assume thatΦ(0) = 1.
∞
Suppose that Φ(T ) ∈ W (nonconstant). Write Φ(T ) − 1 = i
i=1 ai T .
Since W is a discrete valuation ring, there is a least index j > 0 for which
v(aj ) is minimized. For ( sufficiently small, if v(τ ) = (, then v(Φ(τ ) − 1) =
v(aj ) + j(. In particular, for ζ a p-power root of unity, taking τ = ζ − 1,
we have v(ζ − 1) = p−m /(p − 1) for some nonnegative integer m, so we have
infinitely many relations of the form jp−m /(p−1)+v(aj ) = p−n /(p−1). Then
we may assume m → ∞ ⇒ n → ∞, replacing Ω by its infinite subset. Indeed,
by the nonconstancy of τ → Φ(τ ), the image of Ω under Φ is an infinite set,
and hence over Ω, the order of Φ(ζ − 1) is unbounded. Thus, taking limits
under m → ∞ yields v(aj ) = 0. Also, j must be a power of p, say j = ph , and
for m large, we have n = m − h.
Since v(aj ) = 0, aj mod mW is in F× . For the moment, assume F = Fp .
That is, aj reduces to an integer b0 coprime to p in the residue field of W .
We can thus replace Φ(T ) by Φ1 (T ) defined by Φ(T ) = Φ1 (T ) × (1 + T )s for
some s (namely, s = b0 j = b0 ph0 for h0 := h) so as to increase the least index
 3.1 Abelian Component of the “Big” Hecke Algebra 103
j
j for which v(aj ) = 0. Indeed, writing Φ(T ) = n=0 an T n + T j+1 f (T ) with
f (T ) ∈ W [[T ]], we have


j
h0 h0
an T n ≡ 1 + b 0 T p ≡ (1 + T p )b0 ≡ (1 + T )s mod (mW + (T j+1 )).
n=0

We also have Φ1 (T ) ≡ 1+T j+1 f (T )(1+T )−s ≡ 1 mod (mW +(T j+1 )). Thus,
if we write j1 for the j for this new Φ1 , j1 > j, and j1 =  ph1 with h1 > h0
∞
and aj1 ≡ b1 mod mW  for b 1 ∈ Z. Repeating this, for s = k=0 bk p
hk
∈ Zp ,
Φ(T )/(1 + T )s − 1 = n=1 an T n no longer has a least j with minimal v(aj );
hence, Φ(T )/(1 + T )s = 1, and we get Φ(T ) = (1 + T )s .
Suppose now that F = Fp . We have the Frobeniusautomorphism φ fixing
Zp [μp∞ ] ⊂ W [μp∞ ]. Letting φ act on power series by ( n an T n )φ = n aφn T n ,
we find Φφ (tφ ) = Φ(t)φ . Since Φ(ζ − 1) is a p-power root of unity for ζ in an
infinite set Ω ⊂ μp∞ , we have Φφ (ζ − 1) = Φφ (ζ φ − 1) = Φ(ζ − 1)φ = Φ(ζ − 1).
Since Ω ⊂ G  m is Zariski dense, we find that Φφ = Φ, which shows Φ ∈ W φ [[T ]]
for the subring W φ ⊂ W fixed by φ. Note that the residue field of W φ is Fp ,
and the earlier argument applies to Φ ∈ W φ [[T ]].

3.1.5 CM Components

The Galois representation ρI restricted to the p-decomposition group Dp is

reducible by (3.1.2). We write ρss I for its semisimplification over Dp . More
precisely than (3.1.2), we have (see, for example, [GME] Sect. 4.3.1–2)
  
(1+T )−s 0 , ρss ([p, Q ]) ∼ ∗ 0
I ([γ , Qp ]) ∼
ρss s
0 1 I p 0 a(p) , (Gal)

where γ s = (1 + p)s ∈ Z×
p for s ∈ Zp and [x, Qp ] is the local Artin symbol.

We say that FI = {fP } is a CM family if one of the following four equivalent

conditions is satisfied (see [H12b] Sect. 3 or [H11a] (CM1–3) in Sect. 1):
(cm1) There exist an arithmetic point P ∈ Spec(I) and a nontrivial Galois
character χ such that ρP ⊗ χ ∼ = ρP (which, after extending scalars,
∼
implies ρP = Ind
Gal(Q/Q)
λ for a Galois character λ; see [MFG] Lemma
Ker(χ)
2.15);
(cm2) for all arithmetic points P ∈ Spec(I) and a nontrivial Galois character
χ, we have ρP ⊗ χ ∼ = ρP ;
(cm3) for some arithmetic points P ∈ Spec(I), fP is a theta series of a binary
quadratic form [i.e., fP = a λ(a)q N (a) for a Hecke character λ of an
imaginary quadratic field M , where a runs over integral ideals of M ];
(cm4) for all arithmetic points P ∈ Spec(I), fP is a binary theta series.
If F has CM, χ as in (cm1) cuts out an imaginary quadratic field M ,
and ρI is isomorphic to the induced representation IndQ
M Ψ for a character
104 3 Invariants, Shimura Variety, and Hecke Algebra

Ψ : Gal(Q/M ) → I× . The decomposition (ρI |D )ss = ( ⊕ δ can only hap-

pen if p splits into pp in M so that Ψ ramifies at p and Ψ c (σ) = Ψ (cσc−1 )
is unramified at p. Then D is the decomposition group of p, ( = Ψ , and
δ = Ψ c . Write O for the integer ring of M . At an arithmetic point, fP is the
theta series of a Hecke character ΨP whose p-adic avatar ΨP = P ◦ Ψ has
p-type ΨP ([x, Mp ]) = ψ1 εP (x)x−k(P ) (x ∈ O× p ) identifying Op with Zp , and
ΨPc ([p, Mp ]) = ΨPc ([p, Mp ]) = a(p); hence, we can verify

a(p) = ζ0 (1 + T )logp (p)/ logp (γ)

for a root of unity ζ0 , where logp (p) = h1 logp (α), taking h such that ph = (α)
with α ∈ M . Thus, in this case, the derivative da(p)dT |T =0 
is essentially logp (p),
M/Q
which is closely related to the L-invariant of χ = mentioned in The-
orem 1.5 (2) and also in the statement “Conjecture/Question” in Sect. 3.1.1.
This is not a coincidence, and we relate the adjoint L-invariant to the deriva-
tive da(p)
dT for the non-CM family in Theorem 3.31.
By a similar computation, we confirm, for any prime l of M outside N p,

Ψ (F robl ) = ζl (1 + T )logp (l)/ logp (γ)

with a root of unity ζl (see [LFE] Sect. 7.6).

3.1.6 An Eigenvalue Formula

Let Q be the field of fractions of I and fix an algebraic closure Q of Q. Recall

the root A(l) ∈ Q of det(X − ρI (F robl )) = 0 for a prime l  N p. Extend I so
that A(l) ∈ I. Further extending I to its integral closure in its quotient field, we
assume that I is normal. We have written αl,P = P (A(l)) for P ∈ Spec(I)(Qp ).
For l = p, we simply put αp,P = P (a(p)) for the image a(p) in I of U (p).
Proposition 3.13 (Frobenius eigenvalue formula) Fix a rational prime
l  N and put A = A(l). Write K := Q[μp∞ ] and LP = K(AP ) for each
arithmetic point P with k(P ) = k. Suppose that W = Qp ∩ I and that there
exists an infinite set A of arithmetic points with k(P ) = k ≥ 1 satisfying the
following condition:
(BT) LP /K is a finite extension of bounded degree independent of P ∈ A and
in LP /K; the prime l is at worst tamely ramified for all P ∈ A.
n
Then we have A ∈ W [μpn ][[T ]][t1/p ] ∩ I (t = 1 + T ) in Q for 0 ≤ n ∈ Z, and
there exist two Weil l-numbers α0 and α1 both of weight 1 such that

logp (α0 )
A(X) = c0 (1 + X)s with c0 = α1 α0 −1 and s = .
logp (γ)

Here x = expp (logp (x)) is the p-torsion-free p-profinite projection of x ∈ Cp .

 3.1 Abelian Component of the “Big” Hecke Algebra 105

Under the assumption of Theorem 3.2, the constant c0 turns out to be a root
of unity, as we prove later (see Theorem 3.15). In any case, it is close to the
form of the eigenvalues in the CM case discussed in Sect. 3.1.5.
Proof. In this book, we give a proof assuming I = Λ = W [[T ]], referring to
[H13c] Proposition 5.2 for a proof dealing with the general case. By Proposi-
tion 3.9 (and a remark after Lemma  3.11), we have only a finite number of
Weil l-numbers of weight k in P ∈A LP up to multiplication by roots of unity
in μp∞ (K), and hence AP for P ∈ A hits one such Weil l-number α of weight
k infinitely many times, up to p-power order roots of unity, except for the case
where αl,P is not a Weil l-number of weight k. If αl,P is not a Weil l-number
of weight k, then fP is Steinberg at l and l is a factor of N ; thus, this case is
excluded by our assumption l  N .
The automorphic representation generated by fP for arithmetic P has l-
component in the principal series if l  N or k(P ) > 1. Indeed, in the Steinberg
case at p, we have aP (p) = p(k(P )−1)/2 up to roots of unity, which has to have
slope 0. Hence, it is limited to k(P ) = 1. This follows from the fact that in
the Steinberg case, the central character (i.e., the Neben character) is trivial
at p, and we have aP (p) = p(k(P )−1)/2 up to roots of unity [e.g., [MFM]
Theorem 4.6.17 (2)]. If εP = 1, the p-conductor and the p-level match, and as
already explained, the U (p)-eigenvalue is a Weil number of weight k = k(P ).
Note that Spf(W [[T ]]) = G  m (the formal multiplicative group; see Exam-
ple 4.79) as G  m = Spf(W [t, t−1 ]) for W[t, t−1 ] = limn W [t, t−1 ]/(tn − 1) ∼
=
←−

W [[T ]] by t = 1 + T . As a functor, Gm sends each local p-profinite W -algebra
R to the following multiplicative group:

{x ∈ R× |x ≡ 1 mod mR }

for the maximal ideal mR of R. Thus, an arithmetic point P as a point of

 m (W [ζ]) is given by γ k ζ for a p-power root ζ ∈ μp∞ of unity [k = k(P )
G
and ζ = εP (γ)], and we can make the variable change t → γ −k t to bring
arithmetic points to p-power roots of unity in G  m . This translation operation
is very useful. In terms of T = t − 1, this variable change is given by T →
Y = γ −k (1 + T ) − 1. Then we have A(Y )|Y =0 = A(T )|T =γ k −1 .
Let Φ(Y ) := α−1 A(Y ) = α−1 A(γ −k (1 + T ) − 1) ∈ W [[Y ]]. Here note that
|α|p = 1, hence, α−1 ∈ W . Let Ω1 = {εP (γ)|P ∈ A}, which is an infinite set in
μp∞ (K). The subset Ω of Ω1 made up of ζ ∈ Ω1 such that Φ(ζ − 1) ∈ μp∞ (K)
is again an infinite set. Then Φ satisfies the assumption of Lemma 3.12, and
for a root of unity ζ, we have A(Y ) = αk (1 + Y )s1 for s1 ∈ Zp and αk = ζα
(k ≥ 1), and A(T ) = αk (γ −k (1 + T ))s1 . Let T = ζ  γ κ − 1 for ζ  ∈ μp∞ (K).
Then A(ζ  γ κ − 1) = αk (ζ  γ −k+κ )s1 , which is equal to a Weil l-number of
weight κ. Thus, c0 = αk γ −ks1 ∈ W × .
To get the expression of s as in the proposition, take κ > 1. Then
A(γ κ − 1) αk (ζ  γ −k+κ )s1
α0 := = = γ s1 ,
A(γ κ−1 − 1) αk (ζ  γ −k+κ−1 )s1
106 3 Invariants, Shimura Variety, and Hecke Algebra

which is an algebraic number α0 independent of κ. Note that for κ > 1, α0 is

a ratio of Weil l-numbers of weight κ − 1 and κ, and hence α0 is not a root of
log (α0 )
unity. Thus, we have s := s1 = logp (γ) .
p
We now show that α0 is a Weil l-number of weight 1. Regard A as a
function of t = 1 + T , and write it as A(t). Since we have
A(t) = αk (γ −k t)s1 for s1 = logp (α0 )/ logp (γ),
we get a Weil number of weight κ A(γ κ ) = αk γ (κ−k)s1 ts1 |t=γ κ = αk ακ−k
0 .
Take any normalized l-adic valuation v of Q. Since A(γ κ ) is a Weil l-number
of weight κ, we have
0 ≤ v(A(γ κ )) = v(αk ) + (κ − k)v(α0 ) ≤ κ;
hence, we get
v(αk ) κ
0≤ + v(α0 ) ≤ if κ > k.
κ−k κ−k
Taking the limit κ → ∞, we get 0 ≤ v(α0 ) ≤ 1, and hence α0 is a Weil l-
number of weight 1. Thus, we get A(t) = α1 γ −s1 ts1 for s1 = logp (α0 )/ logp (γ)
×
and c0 = α1 /α0  ∈ ip (Q ).

3.1.7 Polynomial Representations of GL(2)

We prepare one more preliminary result. We consider the space of homoge-
neous polynomials Ln (A) = AX n +AX n−1 Y +· · ·+AY n of degree n > 0 with
coefficients in a commutative ring A. If n = 0, we simply put L0 (A) = A. Then
we let α ∈ GL2 (A) act on P (X, Y ) ∈ Ln (A) by α · P (X, Y ) = P ((X, Y )α) by
the right matrix multiplication (X, Y ) → (X, Y )α.
For a representation (i.e., a group homomorphism) ρ : G → GL2 (A) of a
group G, we write as ρsym⊗n the representation ρ composed with the group
homomorphism GL2 (A) → Aut(Ln (A)) ∼ = GLn+1 (A) we constructed and
call it the symmetric nth tensor representation of ρ. Note that ρsym⊗0 is the
trivial representation. Simply, taking the basis of Ln (A) given by monomials
of degree n, we get the following simple formula if ρ(g) = ( α0 β∗ )) for g ∈ G is
upper triangular:

n
Tr(ρsym⊗n (g)) = αn + αn−1 β + · · · + β n = β j αn−j . (3.1.8)
j=0

More generally, if ρ(g) has eigenvalues α and β, we have


n
Tr(ρsym⊗n (g)) = αn + αn−1 β + · · · + β n = β j αn−j
j=0
n n n
Tr(ρ(g) ) = α + β = Tr(ρ sym⊗n
(g)) − det(ρ(g))Tr(ρsym⊗(n−2) (g)).
(3.1.9)
The last formula is valid if n ≥ 2.
 3.1 Abelian Component of the “Big” Hecke Algebra 107

Lemma 3.14 Let ρ, ϕ be representations of G into GL2 (A). Suppose that

A is a field and that ρsym⊗n , ρsym⊗(n−2) , ϕsym⊗n , and ϕsym⊗(n−2) are all
absolutely irreducible. If Tr(ρn ) = Tr(ϕn ) as a function on G, then we have
ρsym⊗n ∼
= ϕsym⊗n and det(ρ) ⊗ ρsym⊗(n−2) ∼
= det(ϕ) ⊗ ϕsym⊗(n−2) ,
where det(ρ) ⊗ ρsym⊗(n−2) (g) = det(ρ(g)) · ρsym⊗(n−2) (g) ∈ GLn+1 (A).
Here Tr(ρn ) : G → A is just a function on G whose value at g is given by the
trace of the nth matrix power ρ(g)n .
Proof. By (3.1.9), we find

Tr(ρsym⊗n (g)) − det(ρ(g))Tr(ρsym⊗(n−2) (g)) = Tr(ρ(g)n ) = Tr(ϕ(g)n )

= Tr(ϕsym⊗n (g)) − det(ϕ(g))Tr(ϕsym⊗(n−2) (g)).
This implies
Tr(ρsym⊗n ⊕ (det(ϕ) ⊗ ϕsym⊗(n−2) )) = Tr(ϕsym⊗n ⊕ (det(ρ) ⊗ ρsym⊗(n−2) )).
By absolute irreducibility, the direct sums ρsym⊗n ⊕ (det(ϕ) ⊗ ϕsym⊗(n−2) )
and ϕsym⊗n ⊕ (det(ρ) ⊗ ρsym⊗(n−2) ) are semisimple representations. Since the
isomorphism class of semisimple representations is determined by the trace
(see [MFG] Sect. 2.1 or [LRF]), we conclude that
ρsym⊗n ⊕ (det(ϕ) ⊗ ϕsym⊗(n−2) ∼
= ϕsym⊗n ⊕ (det(ρ) ⊗ ρsym⊗(n−2) .
Since dim ρsym⊗n = dim ϕsym⊗n = n + 1 and dim(det(ρ) ⊗ ρsym⊗(n−2) ) =
dim(det(ϕ)⊗ϕsym⊗(n−2) ) = n−1, the factors on the left- and right-hand sides
are nonisomorphic. By comparing the dimension, we conclude the assertion
of the lemma.

3.1.8 Proof of Theorem 3.2

Recall the root A(l) ∈ Q (we fixed in Sect. 3.1.6) of det(X − ρI (F robl )) = 0 for
a prime l  N p. Extend I so that A(l) ∈ I. Extending I further to its integral
closure in its quotient field, we assume that I is normal. We have written
αl,P = P (A(l)) for P ∈ Spec(I)(Qp ). For l|N p, we simply put αl,P = P (a(l))
for the image a(l) in I of U (l).
The horizontal theorem follows from the following theorem:
Theorem 3.15 Let the notation be as above, and write K := Q[μp∞ ] and
EP = K(αp,P ) for each arithmetic point P with k(P ) = k. Suppose that there
exists an infinite set A of arithmetic points with k(P ) = k ≥ 1 satisfying
(bd) EP /K is a finite extension of bounded degree independent of P ∈ A.
Then we have an imaginary quadratic field M in which p splits such that the
component I has complex multiplication by M . In particular, for α0 , α1 given
in Proposition 3.13, we conclude that α1 = α0 up to roots of unity.
108 3 Invariants, Shimura Variety, and Hecke Algebra

In this book, as before, we give a proof under the assumption that I = W [[T ]]
(see [H13c] for the treatment when I = W [[T ]]).
Proof. By (bd) and Lemma 3.3 (2) combined, [K(A(l)P ) : K] is bounded by
a constant B independent of P ∈ A and l  N p, and hence the condition (BT)
of Proposition 3.13 is satisfied if l > B!. Assume that l > B! and write A =
Al = A(l). We use the symbols introduced in the proof of Proposition 3.13.
As shown in Proposition 3.13, slightly modifying the two Weil l-numbers of
weight 1 there (by multiplying roots of unity if necessary) and writing them
again as α0 and α1 , we have Al (ζγ κ ) = ζ κ α1 ακ−1 0 (for all ζ ∈ μp∞ ). We now
vary l > B!.
Pick a p-power root of unity ζ = 1 of order m = pe . Write f = fP for
P = (t − γ k ) and g for the cusp form fP  for P  = (t − ζγ k ). Put αf,l =
αl = α1 = Al (γ k ) and αg,l = βl = Al (ζγ k ). Thus, αf,l = ζl αg,l with ζlm = 1.
Consider the compatible system of Galois representations associated with f
and g. Write ρf (resp., ρg ) for the p-adic member ρf,p (resp., ρg,p ) of the
system associated with f (resp., g).
For a continuous representation ρ : Gal(Q/F ) → GL2 (Qp ), let ρsym⊗j de-
note the jth symmetric tensor representation into GLj+1 (Qp ) introduced in
the previous section. Suppose that f [and hence g by the equivalence of (cm1–
4)] does not have complex multiplication. Then by [Ri3] (see [GME] Theo-
rem 4.3.18), Im(ρf,p ) and Im(ρg,p ) contain an open subgroup of SL2 (Zp ). Then
ρsym⊗j
?,p (? = f, g) is absolutely irreducible for all j ≥ 0. Since βl = ζl αl for an
mth root of unity ζl , we conclude that βlm = αm e
l for the integer m = p . Thus,
Tr(ρf,p (F robl )) = Tr(ρg,p (F robl )) for all prime l  N p, where Tr(ρ?,p )(g) is
m m m

just the trace of the mth matrix power ρm ?,p (g). Since the continuous func-
tions Tr(ρm m
f,p ) and Tr(ρg,p ) match on the dense subset of Frobenius conjugacy
classes of all primes outside N p, we find that Tr(ρm m
f,p ) = Tr(ρg,p ) on Gal(Q/Q).
From Lemma 3.14, we get, by the absolute irreducibility of the representations
involved,
ρsym⊗m ∼ sym⊗m
= ρg,p .
f,p
 ? ∗ 
Write, by (3.1.2), ρ?,p |Gal(Qp /Qp ) ∼
= 0 δ? with unramified δ? (? = f, g).
Then we conclude {(jf δfm−j |j = 0, . . . , m} = {(jg δgm−j |j = 0, . . . , m} from
ρsym⊗m ∼
= ρg,p
sym⊗m
. By (Gal), we have δ? ([γ, Qp ]) = 1 and (? ([γ, Qp ]) =
f,p
ζ? γ for γ ∈ Z×
k
p and a root of unity ζ? . Thus, we conclude that (jf δfm−j =
(jg δgm−j ⇔ ((f /(g )j = (δg /δf )m−j for all j. From (3.1.2), we conclude the
triviality (f /(g = 1 = (P /(P  on the inertia group at p as δ? is unramified.
This is a contradiction, as we have chosen 1 = ζ = (P /(P  ([γ, Qp ]). Thus, f
and hence g have complex multiplication by the same imaginary quadratic
field, and hence α1 /α0 is a root of unity by the explicit form of A(l) described
in Sect. 3.1.5.
 3.2 Finiteness of Abelian Varieties 109

3.2 Finiteness of Abelian Varieties

We insert here a geometric application of Theorem 3.2 (in order to give an
example of geometric consequences of the theorem). Our proof is purely arith-
metic (no analytic techniques are used). The result presented here is more ad-
vanced than the other topics in this book in the sense that we study abelian
schemes (not just elliptic curves) and motives associated with Hecke eigen-
forms without much pedagogical description (see Sect. 4.3.6 for the definition
of abelian schemes). In addition to this, some familiarity with the theory of
automorphic representations is assumed here (including the local Langlands
correspondence between admissible representations and local Galois represen-
tations). Since the results here will not be used later, this section is not fully
self-contained (quoting results from some research articles); so, for the first
reading, the reader may skip this section. For abelian varieties attached by
Shimura to a weight-2 Hecke eigenform, we refer to [IAT] Sect. 7.5; for auto-
morphic representations, see [AAG].
A g-dimensional abelian variety A/F over a number field F is of GL(2)-
type if End0 (A/F ) := End(A/F )⊗Z Q contains a field E of degree g (see [GME]
Sect. 5.3.1). We call such a field E an endomorphism field of A. We say an
F -simple abelian variety A/F over a number field F of dimension g has CM
if End0 (A/F ×F Q) contains a semisimple commutative algebra of degree 2g
over Q (cf. [ACM]). An abelian variety A/F is F -simple if A does not have an
abelian subvariety B  A defined over F (e.g., [GME] Sect. 4.1.6).
The Galois action on the Tate module of an F -simple abelian variety A/F
of GL(2)-type with endomorphism field E produces a two-dimensional strictly
compatible system of Galois representations (as in the case of elliptic curves)
ρA = {ρλ : Gal(Q/F ) → GL2 (Eλ )}λ
indexed by primes λ of E. Thus, we have its L-function L(s, ρA ).
Two F -simple abelian varieties A and B = Aχ [of GL(2)-type] are
twist equivalent if L(s, ρB ) = L(s, ρA ⊗ χ) for a finite order character
×
χ : Gal(Q/F ) → Q . Here the identity of two L-functions means the identity
of the coefficients of Dirichlet series after choosing suitable embeddings of the
endomorphism fields of A and B, respectively, into Q.
Note that dimension is possibly unbounded over a twist-equivalent class.
Since Tate’s conjecture has been proven by Faltings for abelian varieties, one
could formulate this equivalence by insisting that the two abelian varieties
share a simple component over an abelian extension of F . In such a geometric
context, Q-simple abelian factors of modular jacobians have been studied in
depth by Ribet (for example, see [Ri4] and his papers quoted there). However,
we adopt an analytic definition of twist equivalence using their L-function,
as it can also be applied to rank-2 Q-motives. The Tate conjecture is not
completely known for two given geometric rank-2 motives, though through the
modularity of two-dimensional compatible systems of Gal(Q/Q) by Khare–
Wintenberger [KhW] I Theorem 10.1 combined with the Tate conjecture for
110 3 Invariants, Shimura Variety, and Hecke Algebra

“modular” rank-2 motives proven by Brown and Ghate [BrG] Corollary 2.4.2,
once two rank-2 Grothendieck motives are (both) realized in the cohomology
of modular curves (not just as compatible systems), Galois endomorphisms
come from motivic endomorphisms (as Tate’s conjecture predicts).
An abelian scheme A of dimension g over a field κ of characteristic p is
called ordinary if we can embed the finite flat group scheme μgp into A over
an algebraic closure of κ. An abelian scheme over a number field F has a good
reduction at a prime p if A extends to an abelian scheme over the valuation
ring Op of p. It has potentially good reduction if there exists a valuation ring
V finite flat over Op over which A has good reduction. We say that A has
ordinary potential good reduction if the reduction modulo mV of the extended
abelian scheme over V is ordinary (for the maximal ideal mV of V ). In the
following conjecture, the term number field means a finite extension of Q.
Conjecture 3.16 For a given base number field F , fixing a prime ideal p of
F , there are only finitely many twist-equivalence classes of non-CM F -simple
abelian varieties of GL(2)-type with good reduction everywhere outside p and
potentially ordinary good reduction modulo p.

As a result related to the conjecture, we have Faltings’ theorem (see [ARG]

Chap. II, Sect. 6) asserting the finiteness of the number of abelian varieties
of fixed dimension with good reduction outside a finite set S of primes of
a number field. As we do not bound the dimension of abelian varieties we
consider, Faltings’ theorem does not immediately imply the conjecture.
Assuming F = Q, if Fp = Qp and F is not an imaginary quadratic field,
there are only finitely many characters of p-power conductor; hence, one may
replace twist equivalence by isomorphism in the conjecture. If Fp = Qp , there
could be infinitely many characters of p-power conductor (this is a prob-
lem related to the Leopoldt conjecture). Anyway, in the extreme case of
[Fp : Qp ] = [F : Q], we have infinitely many characters of p-power conduc-
tor, and starting from an F -simple A, the twist Aχ by a character χ with
p-power conductor satisfies an inequality dim Aχ ≥ [Q(χ) : Q] if the order of
χ is sufficiently large [since End0 (A) ⊃ Q(χ)]. Thus, without bounding the
dimension, we cannot replace twist equivalence by isomorphism. We have for-
mulated the conjecture in the above way since by doing this, there is no need
for a bounding dimension.
For some primes p, it is easy to see that there are infinitely many twist-
equivalence classes of non-CM supersingular Q-simple abelian varieties A of
GL(2)-type having potentially good reduction at p and good reduction ev-
erywhere else (see [H12a] Remark 3.2). The abelian variety is supersingular if
it has no nontrivial p-torsion Fp -points. If we fix a Q-simple non-CM abelian
variety A with dim A ≤ 2 and vary primes, A is ordinary at each prime (of a
well-chosen number field possibly different from Q) in a set with Dirichlet den-
sity 1 (see [O] 2.7 and [H13a] Sect. 7). The density 1 result is only known up
to abelian surfaces but is expected to be true in general. On the other hand, if
 3.2 Finiteness of Abelian Varieties 111

we vary such abelian varieties, even allowing potential ordinarity at p (but

requiring good reduction outside p), we believe that its twist-equivalence
classes are finitely many in number. What we prove as an application of The-
orem 3.2 follows:

Theorem 3.17 If F = Q, then the above conjecture holds.

Actually, for small primes p = 2, 3, 5 and 7, there is no such abelian variety
defined over Q (see the argument after Corollary 3.19). There is also a motivic
version of this theorem (see Remark 3.23). This theorem is given in [H12a]
under the assumption p > 2. The assumption p > 2 can be removed as it is
now eliminated in [H13c] from the horizontal theorem. We prove a stronger
version of this theorem as Theorem 3.22, assuming p > 2 as before.
If we take for granted the principle that the L-function of the compatible
system ρA of an F -simple abelian variety A of GL(2)-type should be given by
the L-function of a cohomological automorphic representation π of GL2 (FA )
of weight corresponding to Hodge weights (1, 0) and (0, 1), we would expect
that there are finitely many isogeny classes of F -simple abelian varieties with
everywhere good reduction, since such a π must have level 1 and there are only
finitely many such π of level 1. Since the modularity of ρA has been proven at
least potentially if F is totally real by Taylor (cf. [Ta]), this finiteness (under
the bounding conductor of ρA ) could be accessible now, but some serious
problems remain. See [GME] Theorem 5.1.9 for the conductor of ρA .
More precisely, for each ρA over a totally real field F , Taylor finds a totally

real extension F/F dependent on A over which ρA is modular. A conceivable
idea is to bound the number of isogeny classes of modular abelian varieties
A of GL(2)-type having good reduction at every prime of F  that descends
to F . If we find such a finite extension F  independent of A, the desired
finiteness follows, as there are finitely many automorphic forms of level 1
on GL(2)/F  of a given weight. The difficulty is to find F  independent of A
without assuming the desired finiteness over F outright. Clearly, there is some
serious work to be done to make the field F  explicit (at present, we do not
know even the finiteness of isomorphism classes of two-dimensional mod p odd
Galois representations of a given prime-to-p conductor for a general F = Q).
More geometrically, it is a celebrated theorem of Fontaine’s that there is
no abelian scheme over Z (see [Fo]). Fontaine’s theorem is a starting point of
the induction process found by Khare–Wintenberger for proving the Serre’s
mod-p modularity conjecture (see [KhW] and [Kh1]). If we ease the reduction
property to potentially good ordinary reduction, one has to allow all π of the
p-power level; hence, even for twist-equivalence classes, it is not evident that
the number of classes is finite. By [KhW] I Theorem 10.1, if F = Q, ρA is
known to be associated with an elliptic Hecke eigenform f and A is isogenous
to Shimura’s abelian factor Af in [IAT] Theorem 7.14 of the Jacobian of
X1 (N ) for the conductor N of ρA . In other words, the association is given
by L(s, f ) = L(s, ρAf ). We use this fact and Theorem 3.2 to prove the above
112 3 Invariants, Shimura Variety, and Hecke Algebra

theorem. If f = fP is in an analytic family F (I) [for P ∈ Spec(I)(Qp )], we

often write AP for Af .

3.2.1 CM Type

For a set of field embeddings Σ of a number field into Q, we define Σ c =

{c ◦ σ|σ ∈ Σ} for complex conjugation c induced by i∞ . For a CM field F , a
CM type Σ is such a set satisfying Σ ∩ Σ c = ∅ and that Σ ∪ Σ c is the total
set of embeddings of F into Q. By Lemma 3.5, this definition is independent
of the choice of i∞ : Q → C. By the theory of complex multiplication, CM
types of F are in bijection to the isogeny classes of abelian varieties over Q
with complex multiplication by F (see [IAT] Chap. 5).
We define Inf L/F Σ = σ : L → Q : σ|F ∈ Σ for a finite extension L/F .
Assume that F and L are CM fields. Then Inf L/F Σ is again a CM type of L
if Σ is a CM type of F . For a CM type Σ of F , write Σp for the p-adic places
of F induced by ip ◦ σ for σ ∈ Σ. If Σp ∩ Σpc = ∅, we call Σp a p-adic CM type
(of F ). We prove the following result:
Theorem 3.18 Let A be an infinite set of arithmetic points in Spec(I) out-
side ((1 + T ) − γ). Suppose that k(P ) for all P ∈ A is a constant k ≥ 1. Then
the family F has CM if and only if
 
ΣP = σ : Q(aP (p)) → Q : |ip (σ(aP (p)))|p = 1

is a CM type of Q(aP (p)) for all P ∈ A.

A CM abelian variety of type (F, Σ) over a number field has potentially or-
dinary good reduction at the place induced by ip if and only if Σp is a p-adic
CM type (see a remark after the proof and [H11a] Corollary 2.2).
Proof. Since the “only if” part is easier, we just refer the proof of the “only if”
part to [H12a]. Let FP = Q(aP (p)). To prove the “if part,” let KP = Q(εP )
and LP = FP (εP ). Then Inf LP /FP ΣP is a CM type of LP . Thus, we have
2| Inf LP /FP ΣP | = [LP : Q]. Let K = Q[μp∞ ]. By the definition of ΣP , we
have ΣP,p ∩ ΣP,pc
= ∅; i.e., ΣP gives rise to a p-adic CM type. Since K has
only one p-adic place and [KP : Q] = pr(P )−1 (p − 1), for a fixed embedding
σ0 : K → Q, we have
   
Inf L /F ΣP  = {σ ∈ Inf L /F ΣP : σ|KP = σ0 |KP } · [KP : Q]
P P P P

= Cpr(P ) [LP : KP ] (3.2.1)

for a constant C independent of P [which is equal to (p − 1)/p if p > 2]. Take

× ×
W sufficiently large
) so that all characters of (Z/N pZ) have values in W × .
Write H = ψ hψ , where ψ runs over all (even) characters of (Z/N pZ) .
 
Since Inf LP /FP ΣP  is at most the number of conjugate slope-0 forms fPσ
indexed by σ ∈ ΣP (which is bounded by the rank of the Hecke algebra
r
H/(1 + T )p − γ k )H acting on them), we have, for r = r(P ),
 3.2 Finiteness of Abelian Varieties 113
r
| Inf LP /FP ΣP | ≤ rankW H/((1 + T )p − γ k )H = pr(P ) · rankΛ H. (3.2.2)

Since [K(aP (p)) : K] = [LP : LP ∩ K] ≤ [LP : KP ] as LP ∩ K ⊃ KP ,

(3.2.1) and (3.2.2) combined tells us [K(aP (p)) : K] ≤ C −1 rankΛ H. This
is impossible if F does not have CM, since supP ∈A [K(aP (p)) : K] = ∞ by
Theorem 3.2.  
If k(P ) = 1 (i.e., the weight of modular forms is 2) with nontrivial Neben char-
acter, ΣP is a CM type if and only if the abelian variety AP associated with fP
in [IAT] Theorem 7.14 has ordinary good reduction over Zp [μpr(P )+1 ]. To see
this, we note that the Frobenius endomorphism Φ of ÃP := AP ⊗Zp [μpr(P )+1 ] Fp
coincides with U (p) on the étale Barsotti–Tate group ÃP [p∞ ]et [e.g.,[GME]
Theorem 4.2.6 (1)]; hence, the characteristic polynomial P(X) of Φ over Q
coincides with a power of the characteristic polynomial of α := a(p, fP ). Then,
decomposing the total set of field embeddings of Q(fP ) into

Inf Q(fP )/FP ΣP  ΞP  Inf Q(fP )/FP ΣPc ,

the set ΞP is characterized by

  
σ : Q(fP ) → Qp  p−1 < |ip (ασ )|p < 1 .

Thus, ΞP = ∅ (⇔ ΣP is not a CM type) implies that the Newton polygon of

P(X) has a middle positive slope between 0 and 1; hence, ÃP is ordinary if
and only if ΣP is a CM type. See Corollary 6.39 for an elliptic curve version
of this fact. Thus, we get the following fact from the above theorem.
Corollary 3.19 Let A be an infinite set of arithmetic points in Spec(I) out-
side ((1 + T ) − γ). Suppose k(P ) = 1 for all P ∈ A. The family F has CM if
and only if the abelian variety AP associated with fP by Shimura has ordinary
good reduction over Zp [μpr(P )+1 ] for all P ∈ A. In particular, if F does not
have CM, the set made up of arithmetic points P with AP having ordinary
good reduction over Zp [μpr(P )+1 ] is a finite set.
We would ask the following questions:
For a given slope-0 family F without CM indexed by Spec(I), let

Ord2 (I) = {P |AP has ordinary good reduction over Zp [μpr(P )+1 ]}.

By the corollary above, this set is a finite set. What are the numbers

|Ord2 (I)| and R = sup r(P )?

P ∈Ord2 (I)

Could Ord2 (I) be empty?

For N = 1 and for very small primes p = 2, 3, 5, and 7, because of the
nonexistence of slope-0 analytic families of prime-to-p level 1, we conclude
the nonexistence of non-CM Q-simple abelian variety of GL(2)-type defined
114 3 Invariants, Shimura Variety, and Hecke Algebra

over Z[ 1p ] with potentially ordinary good reduction at p. Similarly, it is known

that X1 (N p) has genus 0 if 1 ≤ N p ≤ 10 and N p = 12; hence, we can extend
our list of (N, p) a bit without potentially p-ordinary abelian variety of GL(2)-
type of prime-to-p conductor N . Here an abelian variety A of GL(2)-type has
conductor N if the compatible system ρA has conductor N . On the other hand,
the prime p = 11 is the smallest to have a nontrivial family (of prime-to-p
level 1), but even for this simplest family at p = 11 containing Ramanujan’s
Δ-function, we do not know if Ord2 (I) = ∅. Thus, it would be interesting to
make a specific computation targeted to find potentially ordinary factors of
the modular jacobians for a fixed small level N .
Eknath Ghate informed me of the following example of AP with nonor-
dinary good reduction at p = 13: Take weight 2, level 221 = 13 · 17, with
quadratic nebentypus. Then the Hecke algebra breaks into 4 Galois orbits
(each of dimension 4 + 4 + 6 + 6-dimensional over Q). The two six-dimensional
factors have equal Hecke polynomial for T (13) given by

x6 + 8x5 + 31x4 + 104x3 + 403x2 + 1352x + 2197 ≡ x4 (x2 + 8x + 5) mod 13.

Thus, we have slopes 0, 1/2, and 1, each of multiplicity 2, for the above
polynomial. These abelian varieties are associated with slope-0 forms but do
not have ordinary good reduction over Z13 . See [BrG] Table I for some other
information on this example. Numerically, we can find AP with nonordinary
reduction modulo p, but they are rather rare for small-level primes p; so
Ord2 (I) could be large although it is a finite set.

3.2.2 Supercuspidality Implies Supersingularity

Let f be an elliptic Hecke eigenform of weight 2 that generates an automorphic

representation π = ⊗l πl with local representation πl of GL2 (Ql ) at primes l.
See [AAG] for the terminology of representations of GL2 (Ql ). Assume p > 2
for simplicity in this book as before. Let ρλ : Gal(Q/Q) → GL2 (Ql ) be
the λ-adic Galois representation associated with f . Then we know by [C]
Théorème A and [We2] that if πp is supercuspidal and p > 2, for λ  p,
there exist a quadratic extension M/Qp and an infinite order character
×
ϕ : Gal(Qp /M ) → Ql such that ρλ |Dp is irreducible, ρλ |Dp = ∼ IndQ ϕ, and
M
ϕ|Ip has finite order [for the decomposition group Dp = Gal(Qp /Qp ) and its
inertia subgroup Ip ]. Since any Galois conjugate f σ has its automorphic rep-
resentation supercuspidal at p, writing l for the rational prime below λ, the
l-adic Tate module of Shimura’s abelian variety Af attached to f (cf. [IAT]
Theorem 7.14) becomes unramified at p over a finite extension of Qp ; so Af
has potentially good reduction at p by the Néron–Ogg–Shafarevich theorem
in [ST].
Proposition 3.20 If π is supercuspidal at p, Af has potentially good reduc-
tion Ãf /Fp at p but can never be ordinary [i.e., Ãf [p](Fp ) = {0}].
 3.2 Finiteness of Abelian Varieties 115

Proof. Though the result is valid even for p = 2, we assume p > 2 here for
simplicity. We use the notation introduced above the proposition. In partic-
ular, take K = Qp , and M/K is the quadratic extension specified above the
proposition. Let E be the subfield of Q generated over Q by the Hecke eigen-
values of f ; hence, we identify E with the E-linear endomorphism algebra
End0E (Af /Q ).
As we noted, Af has potentially good reduction modulo p. Take a finite
extension L ⊂ Qp of Qp such that Af extends to an abelian scheme A over
the integer ring of L. By extending L, we may assume that L contains the
field M and is a Galois extension of K. Let à be the special fiber of A. Define
×
another character ψ : Gal(Qp /M ) → Ql by ψ(g) = ϕ(τ gτ −1 ) for an element
τ ∈ Gal(Qp /K) inducing a nontrivial automorphism on M . Write ξL for the
restriction of ξ to Gal(Qp /L) ⊂ Gal(Qp /M ) for any character ξ of Gal(Qp /M ).
Then the action of Gal(Qp /L) on the λ-adic Tate module Tλ Ã is isomorphic
to ϕL ⊕ψL . The two characters ϕL and ψL are unramified. Thus, for the prime
element  of L and its Artin symbol φ := [, L], ϕL (φ) + ψL (φ) ∈ E, and
ϕL (φ)ψL (φ) is equal to the value at φ of the l-adic cyclotomic character (after
extending L further if necessary); hence, we have ϕ(φ)ψ(φ) = |NL/Qp ()|−1 p .
Thus, P (X) = (X − ϕ(φ))(X − ψ(φ)) is in E[X]. Then the characteristic
polynomial over Q of the  Frobenius endomorphism Φ of à over the residue
field F of L is given by σ:E→Q P σ (X) for conjugates P σ (X) of P (X) under
field embeddings σ : E → Q. If ()e = (p) in the integer ring of L, we get

ψ σ (φe ) = ψ σ ([p, L]) = ϕσ (τ [p, L]τ −1 ) = ϕσ ([pτ , L]) = ϕσ ([p, L]) = ϕσ (φe ).

This implies |ϕσ (φ)|p = |ψ σ (φ)|p , and by ϕ(φ)ψ(φ) = |NL/Qp ()|−1 p already
remarked, we have |ϕσ (φe )ψ σ (φe )|p = |ϕ(φ)|2e
p = |ψ(φ)|p = |NL/Qp (p)|p . So
2e

we get |ϕσL (φ)|p = |ψ σ (φ)|p = (NL/Q (p))−1/2e . Thus, 0 < |ψ σ (φ)|p < 1, and
hence, all eigenvalues of Φ have a positive slope between 0 and 1. Thus, Ã
cannot be ordinary, and, moreover, Ã[p](Fp ) = {0}.

Proposition 3.21 If Af has potentially ordinary good reduction modulo p,

then πp is in principal series of the form π(α, β) for two characters α, β :
×
Q×p → Qp , and one of α(p) and β(p) is a p-adic unit; hence, f is nearly
p-ordinary, and its twist by a character modulo p power has slope 0.

Proof. By the above proposition, πp has to be either in principal series or

Steinberg. By [C] Théorème A, Steinberg cases correspond to potentially
multiplicative reduction at p; hence, πp has to be in principal series, and
so πp = π(α, β). Since |αβ(p)|p = |p|p , we may assume that 1 ≥ |α(p)|p ≥
|β(p)|p > 0. We have canonical isomorphisms Z× ∼ ∼ ×∼
p = Gal(Qp [μp∞ ]/Qp ) = Zp =
Gal(Q[μp ]/Q) via the cyclotomic character N : Gal(Q[μp ]/Q) → Z×
∞ ∞
p.
Thus, regarding α, β as Galois characters, we can lift α|Ip and β|Ip to a unique
×
global character α̃, β̃ : Gal(Q[μp∞ ]/Q) → Q of finite order. Regarding these
116 3 Invariants, Shimura Variety, and Hecke Algebra

characters as adelic Hecke characters, we can think of π ⊗ α̃−1 and π ⊗ β̃ −1 .

We write A for Shimura’s abelian variety associated with π ⊗ α̃−1 . Again by
[C] Théorème A or [AME] Sect. 14.5, A has good reduction modulo p over
the fixed field of Ker(α̃−1 β), and the Frobenius endomorphism of A shares
the same characteristic polynomial with the U (p) operator (e.g., [GME] The-
orem 4.2.6) and is given by α̃−1 α(p) (up to Galois conjugation). Thus, if A
has ordinary good reduction at p, we get |α(p)| = |α̃−1 α(p)|p = 1, and the
primitive form f ⊗ α̃−1 associated with π ⊗ α̃−1 has slope 0.

3.2.3 Twist Classes of Abelian Varieties of GL(2)-Type

Theorem 3.17 is a special case N = 1 of the following theorem:
Theorem 3.22 For a given integer N > 0 prime to p, there are finitely
many twist classes of non-CM Q-simple abelian varieties of GL(2)-type with
potentially good ordinary reduction modulu p and of prime-to-p conductor N .
Proof. If A is such an abelian variety as in the theorem, by the Khare–
Wintenberger theorem ([KhW] Theorem 10.1) combined with a theorem of
Faltings’ (e.g., [ARG]), A is isogenous to Af for an elliptic Hecke eigenform
f . Twisting f by a Dirichlet character of p-power conductor, we may assume
that f is a p-ordinary form of slope 0 (see Propositions 3.20 and 3.21 and their
proofs). The prime-to-p conductor of f remains N after twist by a character
of p-power conductor. Then f belongs to a p-adic analytic family of slope-0
forms of prime-to-p conductor N . Since there are only finitely many such fam-
ilies and each family can contain only finitely many Af of potentially ordinary
good reduction by Corollary 3.19, the desired result follows.
Remark 3.23 Fix an integer k ≥ 2. We look into a rank-2 Q-simple motive
of Hodge weights (k − 1, 0) and (0, k − 1), which has its compatible system of
Galois representations. Though we do not know if the identity of L-functions
of two Grothendieck motives implies that the two motives are isomorphic
(assuming their coefficient fields are the same), we can anyway think of twist-
equivalence classes of such motives in an obvious sense. If two motives can
be realized in cohomology of modular curves, the Tate conjecture is basically
known by [BrG] Corollary 2.4.2. Again by [Kh2] Theorem 10.1, such a motive
is twist equivalent to a modular motive (constructed in [Sch]) belonging to a
slope-0 family. Then we can prove the finiteness of twist classes of a potentially
ordinary crystalline Q-simple motive of rank 2 of a given prime-to-p conductor.
For the same small pairs (N, p) we listed above, there are no such motives
(independent of weight k).

3.3 Vertical Version

∞
Let F = FI = {fP = n=1 a(n, fP )q }P ∈Spec(I)(Qp ) be a cuspidal p-adic
n

analytic family of p-ordinary Hecke eigencusp forms of slope 0. Let Vr (I)

 3.3 Vertical Version 117

be the subfield of Q generated by a(n, fP ) for all n and all arithmetic P ∈

Spec(I)(Qp ) with r(P ) ≤ r. In the early 1990s, L. Clozel asked the author
if (or when) the Hecke field Vr (I) for a finite r is a finite extension of Q. At
the time, due to a scarcity of examples, we felt that it “probably” is finite if
and only if the family contains a CM theta series (i.e., a binary theta series)
of weight k(P ) ≥ 2. If the family contains a binary theta series of weight
k ≥ 2 of an imaginary quadratic field M , all forms have CM by the same
(fixed) imaginary quadratic field M , and we can prove via Galois deformation
theory that Vr (I) (r < ∞) is contained in a finite extension of the imaginary
quadratic field M (see [H11a] Sect. 4 for a proof). The following “vertical”
conjecture is a slightly stronger version of our thought at the time:
Conjecture 3.24 Let A be an infinite set of arithmetic points with bounded
level r(P ) ≤ r for a fixed r ≥ 0. Let VA (I) be the field generated over Q by
{αp,P }P ∈A , where P runs over all arithmetic points with Im(εP ) ⊂ μpr for
a fixed r. Then the field VA (I) is a finite extension of Q for a fixed r < ∞
if and only if I is abelian. Moreover, if I is a nonabelian component, then
lim supP ∈A [Q(fP ) : Q] = ∞.
(l)
Pick a prime l different from p, and write VA (I) for the field generated by
{αl,P , βl,P } for all P ∈ A, where P runs over all points in A. We could formu-
(l)
late a similar conjecture, replacing VA (I) by VA (I). However, there is a tricky
point when, for some arithmetic P and l|N , fP generates an automorphic
representation square integrable at l (then actually, for all arithmetic points,
this assertion holds). It is known that even if I is nonabelian, in such a case
(l)
of “square-integrable” l, VA (I) is a finite extension of Q. Thus, we just refer
(l)
to Conjecture 3.1 of [H11a] for a description of what happens for VA (I).
We give an outline of a proof in [H11a] of the vertical theorem.
Theorem 3.25 (Vertical theorem) Let r be a nonnegative integer, and as-
sume p > 2. For an infinite set A of arithmetic points P with bounded level
r(P ) ≤ r for a finite r ≥ 0, assume that VA (I) is a finite extension of Q. If
there exists an arithmetic point P0 ∈ A with k(P0 ) ≥ 1 such that
1. α0 = aP0 (p) is a Weil number, 
2. Σα0 = σ : Q(α0 ) → Q : |ip (ασ0 )|p = 1 is a CM type of Q(α0 ).
Then I has complex multiplication.
As explained after Theorem 3.2 of [H11a], condition (2) is equivalent to the
following two assertions:
(C) The motive M attached to fP0 by Scholl [Sch] is potentially crystalline
at p (see [MTV] for motives).
(O) Regarding M as a motive with coefficients in Q [not in Q(fP0 )], M is
ordinary, i.e., the p-adic Newton polygon of α0 over Q coincides with the
Hodge polygon with three vertices
118 3 Invariants, Shimura Variety, and Hecke Algebra

(0, 0), ([Q(fP0 ) : Q], 0), (2[Q(fP0 ) : Q], k(P0 ) − 1).

In particular, if M has coefficients in Q (for example, if M is associated

with Ramanujan’s Δ function), it satisfies the requirements of the theorem
(assuming ordinarity of M ). Note here that making the weight higher and
higher, it becomes increasingly difficult to find rational Hecke eigenforms.
It might be the case that all rational Hecke eigencusp forms have complex
multiplication if the weight ≥ 27 (another conjectural characterization of CM
forms).

3.3.1 Results Toward the Vertical Theorem

We prepare
Proposition 3.26 Let F = {fP }P ∈Spec(I)(Qp ) be a p-adic analytic family of
classical p-ordinary Hecke eigenforms and A ⊂ Spec(I)(Qp ) be an infinite
set of arithmetic points P with r(P ) ≤ r for a fixed r ≥ 0 VA (I) is a finite
extension of Q. Assume for P0 ∈ A that
1. α0 = aP0 (p) is a Weil number, 
2. Σα0 = σ : Q(α0 ) → Q : |ip (ασ0 )|p = 1 is a CM type of Q(α0 ).
Then there exists a Weil p-number α of weight 1 with |ip (α)|p = 1 such that
a(p, fP ) = ζ(εP (γ))logp (α)/ logp (γ) αk(P ) for a root of unity ζ for all arithmetic
P with k(P ) ≥ 1, where α = expp (logp (ip (α))).

Proof. In this book, to simplify the argument, we only deal with the case where
M := VA (I) is an imaginary quadratic field and r = 0; hence, M = Q(α0 )
(see [H11a] Proposition 7.2 for the general case). Since we assumed r = 0, we
can forget about εP (γ) = 1. Take P ∈ A with k(P ) > 1. Then αp,P is a Weil
number of weight k(P ) > 1 with |αp,P |p = 1. Thus, (p) has to split in M , and
so (p) = pp in M . Thus, Σαp,P consists of the single element ι = ip |M , and
for each k, there exists at most one Weil number αk ∈ M of weight k (up to
roots of unity in M ) such that |αk |p = 1. In M , (αk ) = pk for the prime
√ ideal
p of M corresponding to ip |M . Fix such a k. Taking a kth root α = k αk , we
have αl = αl up to roots of unity for all l as (αl ) = pl .
Since A is an infinite set, we find an infinite sequence, P1 , P2 , . . . , Pn , . . .
in A, with increasing weight k(P1 ) < k(P2 ) < · · · such that (aPj (p)) = pk(Pj )
for all j > 0. Put
1
α = exp( logp (a(p, fP0 )) = exp(logp (α)).
k(P0 )

Since (aPj (p)) = p(k(Pj )) , aPj (p)/αk(Pj ) is a Weil number of weight 0; that is,
it is an algebraic integer with all its conjugates having absolute value 1. Then,
by Kronecker’s theorem, we find aPj (p) = ζPj αk(Pj ) for a root of unity ζPj .
Note that α is contained in a finite extension M  /M . Since there are finitely
 3.4 Nonconstancy of Adjoint L-Invariant 119

many roots of unity in M  , we have only finitely many possibilities of ζPj .

Therefore, replacing {Pj }j by its subsequence, we find an infinite sequence
P1 , P2 , · · · , Pn , · · · of increasing weights such that aPj (p) = ζαk(Pj ) for all
j = 1, 2, . . . for a fixed root of unity ζ. We have a power series Φα (T ) ∈ W [[T ]]
with coefficients in a discrete valuation ring W finite flat over Zp such that
Φα (γ k − 1) = ζαk for all integers k. Since F is an ordinary family, there
exists an element A ∈ I such that a(p, fP ) = (A mod P ) for all primes P of
Spec(I)(Qp ) over (1 + T − γ k(P ) ) ∈ Spec(Λ). Thus, we find A ≡ Φα mod Pj
for infinitely many distinct primes Pj ; hence, A = Φα , as desired.

3.3.2 Proof of Theorem 3.25

Suppose that VA (I) is a finite extension and assume the existence of an arith-
metic point P0 as in the theorem. Therefore, the assumptions of Proposi-
tion 3.26 are met. By Proposition 3.26, we find a Weil number α of weight 1
and a power series Φα (T ) ∈ W [[T ]] such that a(p, fP ) = Φα (εP (γ)γ k(P ) −1) =
ζ(εP (γ))logp (α)/ logp (γ) αk(P ) for all arithmetic P , where ζ is a root of unity
independent of P ; in short, a(p) = Φα ∈ W [[T ]] ⊂ I. Then, for the entire set
B of arithmetic points P with k(P ) = 1, we find HB (I) ⊂ Q(μp∞ (p−1) )(ζ, α),
which is a finite extension of Q(μp∞ ). By the horizontal theorem, I has com-
plex multiplication. The converse is easier (in the same manner as in the proof
of Theorem 3.2; see [H11a] Sect. 4 for more details).  
We could make the following conjecture stronger than Conjecture 3.24:
Conjecture 3.27 Let A ⊂ Spec(I)(Qp ) be an infinite set of arithmetic points
P with bounded level r(P ) ≤ r. Suppose that I does not have complex multi-
plication. Then we have

lim sup[Q(a(p, fP )) : Q] = ∞.
P ∈A

3.4 Nonconstancy of Adjoint L-Invariant

Consider a cuspidal slope-0 family of Hecke eigenforms

FI = F = {fP |P ∈ Spec(I)(Qp )}

indexed by points of Spec(I)(Qp ) and its family of Galois representations

{ρ ∼
 PP }∗P . For each p-decomposition subgroup D ⊂ Gal(Q/Q), we have ρP |D =
0 δP with unramified quotient character δP (e.g., [GME] Theorem 4.2.6).
Here, for each P ∈ Spec(I), fP is a p-adic modular form of slope 0 of level
N pr(P )+1 for a fixed prime to p-level N (p  N ). Consider the adjoint repre-
sentation Ad(ρP ) realized in the trace-zero subspace in sl2 (κ(P )) ⊂ M2 (κ(P ))
by conjugation action. Thus, Ad(ρP )(F robp ) has an eigenvalue 1; hence,
Lp (s, Ad(ρP )) has an exceptional zero of order 1 at s = 1. For the L-invariant
120 3 Invariants, Shimura Variety, and Hecke Algebra

L(Ad(ρP )) defined by Greenberg [Gr] (which we will recall in Sect. 3.4.5),

?
his conjecture Lan (Ad(ρP )) = L(Ad(ρP )) is still an open question (except
in some cases). In any case, we get a function P → L(Ad(ρP )) defined on
the set of arithmetic points of Spec(I). As we will see, this function is in-
terpolated analytically on Spec(I). Thus, we may write P → L(Ad(ρP )) for
general P ∈ Spec(I)(Qp ). Either supposing an almost known conjecture on
the smoothness at P of the ordinary deformation space of ρP (see Conjec-
ture 3.32 below) or defining the I-adic L-invariant as in Sect. 3.4.7, we prove
the following result in this section:
Theorem 3.28 The analytic function P → L(Ad(ρP )) is constant if and
only if the family F has CM.

We prove this theorem assuming a formula relating da(p)dT with the L-invariant
(Theorem 3.31); after the proof, we revisit Greenberg’s definition of his L-
invariant in Sects. 3.4.2–3.4.5 and prove the derivative formula in Sect. 3.4.6.
By this theorem, if F is a non-CM family, P → L(Ad(ρP )) is a nonconstant
function; hence, except for finitely many Galois representations in the family,
Greenberg’s conjecture (see [Gr]) predicting the nonvanishing of L(Ad(V )) is
true. We have a Hilbert modular slope-0 family as described in [HMI]. We can
make the following conjecture for Hilbert modular families.
Conjecture 3.29 For a slope-0 parallel weight family of Hilbert modular
Galois representations {ρP }P ∈Spec(I) of Gal(Q/F ) for a totally real field F ,
P → L(Ad(ρP )) is constant if and only if the family has CM.
If the conjecture holds, the L-invariant L(IndQ
F Ad(ρP )) vanishes only over a
thin Zariski closed subset of Spec(I).
Before starting the proof of the theorem, we prepare to state another form
of the rigidity lemma. Identify Λ with W
n
[t, t−1 ] = limn W [t]/(tp − 1) by
←−
t = 1 + T . Then t → t for z ∈ Zp extends linearly to an endomorphism ιzn
z
n n n
of the ring W [t]/(tp − 1).  Indeed, in W [t]/(tp − 1), tp = 1; hence, cutting
∞
the p-adic expansion z = m=0 am p (with integers 0 ≤ am ≤ p − 1) to
m
n−1 n
z0 = m−0 am pm , we legitimately define tz by tz = tz0 in W [t]/(tp − 1),
 p −1
n  p −1
n
and we then define ιzn ( j=0 cj tj ) = j=0 cj tzj . Clearly, ιzn is a W -algebra
n
endomorphism of W [t]/(tp −1). Then passing to the limit, z ∈ Zp gives rise to
an algebra endomorphism ιz = limn ιzn of Λ. In this way, Z× acts on Λ through
←− ∞  p
z → ιz ∈ Aut(λ/W ). Note that tz = (1 + T )z = n=0 nz T n ∈ W [[T ]].
 W Λ as W [t, t −1 , t , t −1 ] = lim W [t, t−1 , t , t −1 ]/(tp −1, t p −1)
n n
Write Λ⊗
←− n
for the variable t of the left factor and t of the right factor, and let z ∈ Z× p

act on W [t, t
−1 , t , t −1 ] by (t, t ) → (tz , t z ) for z ∈ Z× . Here is a version of
p
the rigidity lemma (Lemma 3.12), which we prove later as Lemma 4.85 after
some preparation:
 3.4 Nonconstancy of Adjoint L-Invariant 121

Lemma 3.30 Let Φ(t, t ) = t + a1 (t)t + · · · + ad (t) ∈ Λ[t ] be an

d d−1

irreducible polynomial over the quotient field Q of Λ such that Φ(1, 1) = 0.

Suppose that the integral closure of Z in J := W [t, t
p
−1 , t , t −1 ]/(Φ(t, t )) is

equal to W . If there exists an open subgroup U of Z× z z

p such that (Φ(t , t )) =

(Φ(t, t )) as principal ideals of W [t, t

−1 , t , t −1 ]) for all z ∈ U , we have
 d
Φ(t, t ) = t − t for a p-power d and b ∈ Zp with dZp + bZp = Zp .
b

3.4.1 Proof of Theorem 3.28

We assume p > 2 in the rest of this section. We may assume that the integral
closure of Zp in I is equal to W (by extending scalars if necessary). As we will
prove in the following sections as Theorem 3.31 (for which we need to assume
Conjecture 3.32), L(Ad(ρP )) is a constant multiple of
 
da(p) 
a(p)−1 X=0
,
dX

where ifP ∩ Λ = (X) for X = γ −k ζ −1 t − 1 for t = 1 + T . After proving

the theorem assuming this formula, we recall the proof of the formula (from
[H04a]).
We rewrite
   
−1 da(p) 
 −1 da(p) 

a(p) X=0
= a(p) t t=ζγ k
.
dX dt

The constancy of L(Ad(ρP )) implies the constancy of

da(p) da(p)
a(p)−1 (1 + T ) = a(p)−1 t .
dT dt

dt = s · a for a(t) = a(p)(t) for s ∈ W ⊗Zp Qp . Setting b(x) =

Then t da
logp ◦a(expp (x)) (for x = logp (t)), as dx = dt
t , we get

db da db da d logp (a) 1
= = =s·a· = s
dx dx da dx da a
from the chain rule. Then b must be a linear function of x with slope s:

logp (a) = sx + c ⇔ a = C expp (s · logp (t)) = Cts (C = expp (c)).

Now, we want to show s ∈ Qp . We get a(p) = Cts ∈ F [[T ]] for ts =

expp (s · logp (t)), where F is the quotient field of W . Since a(p) is a unit in
I, C is a p-adic unit in W × ; hence, Φ(t) := ts = C −1 a(p) ∈ I. Consider
the subalgebra J = Λ[Φ(t)] ⊂ I topologically generated by Φ(t). We have a
surjective W -algebra homomorphism W [t, t −1 , t , t −1 ]  J sending (t, t ) to

(1 + T, Φ(t)). This surjection gives rise to an integral formal closed subscheme

122 3 Invariants, Shimura Variety, and Hecke Algebra

Z ∼= Spf(J) in G m × G  m (see Sect. 4.4 for formal scheme and the functor
∞  
“Spf”). Since Φ(t) is a power series ts = n=0 ns T n ∈ F [[T ]] convergent
over a closed disk D = {x ∈ F : |x|p ≤ (} for some ( ∈ |F × |p , it is in an
affinoid ring F {T }, which is the convergent power series ring over D (see
[Cd] for rigid geometry and general affinoid rings). Since the action t → tz for
z ∈ Z×p extends to F {T }, we have Φ(t ) = Φ(t) in F {T } as Φ(t) = t . Thus,
z z s

Φ(tz ) = Φ(t)z in J, as we may regard J as a subring of F {T }. Then the formal

subscheme Z is stable under the action (t, t ) → (tz , t ) of Z×
z  
p on Gm × Gm ,
and we conclude that s ∈ Qp from Lemma 3.30.
To finish, let us write fP,ζ = fP for the eigenform in the family correspond-
ing to a prime P above (X) = (γ −k ζ −1 t − 1) with ζ ∈ μpr to emphasize the
dependence on ζ. The cusp form fP,ζ is a Hecke eigenform in Sk (Γ1 (N pr+1 )),
and we have a(p, fP,ζ ) = Cγ ks ζ s . Take ζ = 1. Then a(p, fP,1 ) = Cγ ks is an
algebraic number α. This shows that for any ζ ∈ μp∞ , a(p, fP,ζ ) = α up to
p-power roots of unity. Thus, the field generated by a(p, fP,ζ ) for all ζ ∈ μp∞
is a finite extension of Q[μp∞ ]. Then by Theorem 3.2, we conclude that F is
a CM family.
Conversely, we suppose that F is a CM family. Then we find a Galois
character Ψ : Gal(Q/M ) → Ĩ× for an imaginary quadratic field M such that
ρI ∼ Q Q
= IndM Ψ [and hence ρP = IndM Ψ mod P for all P ∈ Spec(Ĩ)] and Ψ
is unramified at the factor p|p in M [where p = {α ∈ O : |ip (α)|p < 1}].
Then a(p) is the value of the character Ψ (F robp ) at the Frobenius element
F robp at p. By computation, we find that Ψ (F robp ) = tlogp (p)/ logp (γ) up to a
root of unity. This shows the constancy of the L-invariant for the CM family
[the constant is equal to the one Lan (χ) in Theorem 1.5 (1); see also [HMI]
Sect. 5.3.3]. 

3.4.2 Review of L-Invariants

After Mazur–Tate–Teitelbaum [MzTT], many number theorists proposed di-

verse definitions of the L-invariant that are expected to give the correction
factor relating the conjectural arithmetic part of the leading term of the Tay-
lor expansion of a given p-adic motivic L-function at an exceptional zero to its
Archimedean counterpart (see [Cz] for a description of other L-invariants we
do not touch upon). For an elliptic curve E/Q with multiplicative or ordinary
good reduction modulo p, its p-adic L-function Lp (s, E) has the following
evaluation formula at s = 1 (as we have seen in Example 1.4):

L∞ (1, E)
Lp (1, E) = (1 − a−1
p ) ,
period

where L∞ (s, E) is the Archimedean L-function of E, and ap is the eigenvalue

of the arithmetic Frobenius element at p on the unramified quotient of the
p-adic Tate module T (E) of E. If E has split multiplicative reduction, ap = 1,
and Lp (s, E) has zero at s = 1. This type of zero of a p-adic L-function
 3.4 Nonconstancy of Adjoint L-Invariant 123

resulting from the modification Euler p-factor is called an exceptional zero,

and it is believed that if the Archimedean L-values doesnot vanish, the order
of the zero is the number e of such Euler p-factors (see Conjecture 1.2); so,
in this case, e = 1. Then Lp (1, E) = pds |s=1 was expected to be equal
dL (s,E)

L∞ (1,E)
to the Archimedean value period times a theoretically explicit error factor
Lan (E), the so-called L-invariant:

L∞ (1, E)
Lp (1, E) = Lan (E) .
period
The problem regarding L-invariants of motives is to find an explicit formula in
terms of their p-adic realization without recourse to p-adic L-functions. Writ-
×
ing E(Qp ) = Qp /q Z for the Tate period q ∈ pZp , the solution [Theorem 1.5
(2)] conjectured by [MzTT] and proved by Greenberg–Stevens [GS] is

logp (q)
Lan (E) = .
ordp (q)

This value is shown to be nonzero by [BDGP].

Since E is modular, L(s, E) = L(s, fE ) for an elliptic Hecke eigenform fE
of weight 2. In particular, a(p, fE ) = ap = 1 and a(1, fE ) = 1. We may now
have FI normalized so that fE is a specialization of F at X = 0. Then one of
the key ingredients of their proof in [GS] is the following formula:

da(p) 
Lan (E) = −2 logp (γ)  ,
dX X=0
where γ is the generator of Γ = 1 + pZp corresponding to 1 + X under the
identification Zp [[Γ ]] = Zp [[X]]. These formulas are actually proven in [GS]
for abelian varieties A split multiplicative at p associated with weight-2 cusp
forms in place of elliptic curve E.
Here is an analogous formula for Greenberg’s L-invariant of Ad(ρP ) in
[H04a] whose proof we give in Sect. 3.4.6 after recalling Galois deformation
theory and Greenberg’s definition of his L-invariant:
Theorem 3.31 Let p be an odd prime. Then we have
da(p) 
L(Ad(ρP )) = −2 logp (γ)aP (p)−1  .
dX X=0
In particular, if fP = fE as above, we have
logp (q)
L(Ad(ρP )) = Lan (E) = .
ordp (q)
The last formula follows from the first and the Greenberg–Stevens’ formula
we described before stating the theorem. We prove the first assertion in the
rest of this section.
124 3 Invariants, Shimura Variety, and Hecke Algebra

3.4.3 Galois Deformation

A main ingredient in the proof of Theorem 3.31 is Galois deformation

theory developed by Mazur in [Mz2]. In this section, we assume p > 2.
Since ρP (for an arithmetic P ) is irreducible (by a result of Ribet’s; see [Ri2],
[Ri3] and [GME] Theorem 4.3.18) and Tr(ρI ) ∈ I, via the method of pseudo-
representation (due to Wiles) in [MFG] Sect. 2.2.1, we may arrange ρI to have
values in IP for arithmetic P by the irreducibility of ρP (see [GME] Theo-
rem 4.3.1).
Fix an arithmetic P , and write ρ for ρP for simplicity. Let IP be the P -adic
localization-completion IP := limn IP /P n IP . It is known that IP ∼
= κ(P )[[X]]
←−
−1
(see [HMI] Proposition 3.78). The character det(ρI ) det(ρ) has values in
the p-profinite group 1 + mI for the maximal ideal mI of I, and hence we
have its unique square root ψ with values in 1 + mI . Define a representation
ρ : Gal(Q/Q) → GL2 (IP ) with det(ρ) = det(ρ) by ρ(σ) = ψ(σ)ρI (σ). Note
that ρ ≡ ρI mod P . Fix a decomposition subgroup Dp = Gal(Qp /Qp ) ⊂
 ∗ 
Gal(Q/Q) at p (corresponding to ip ). Normalize ρP so that ρP |Dp = 0P δP
with unramified δP (by (3.1.2)). Then (P = δP and (P is ramified by (3.1.1).
If, further, (P ≡ δP mod mI , we call ρI p-distinguished (this definition  is
independent of the choice of P , because this is equivalent to ρmI |Dp ∼ = 0 ∗δ
with ( = δ).
Simply write κ := κ(P ). Let S be the set of places of Q made up of all
prime factors of N p and ∞. Consider the Galois deformation functor Dgal into
SET S from the category of local Artinian κ-algebras with residue field κ. See
[Mz2] and Sect. 4.4.2 for the generality of deformation functors. The value
Dgal (A) at a local Artinian κ-algebra A with maximal ideal mA is given by
the set of isomorphism classes of two-dimensional continuous Galois represen-
tations ρA : Gal(Q/Q) → GL2 (A) unramified outside S such that
(D1) (ρA mod mA ) ∼ = ρP ;
(D2) writing ι : κ → A for the structure homomorphism of κ-algebras, we
have the identity of the determinant characters:

ι ◦ det(ρ) = det(ρA );
 ∗ 
(D3) we have an exact sequence ρA |Dp ∼
= 0A δA with δA ≡ δP mod mA .
Condition (D3) is the near-ordinarity, and we call the character δA of Dp the
nearly ordinary character of ρ. By the work started by Wiles/Taylor (and
practically ended by Kisin), we know the following conjecture for most cases:

Conjecture 3.32 Suppose that P is an arithmetic point of Spec(I)(Qp ). The

above functor is pro-represented by the pair (IP , ρ). In other words, if we have
a deformation ρA as above, there exists a unique κ-algebra homomorphism
ϕ : IP → A such that ρA is equivalent to ϕ ◦ ρ.
 3.4 Nonconstancy of Adjoint L-Invariant 125

Note here that IP ∼= κ(P )[[X]]. Though we have taken the field κ as a
base ring, we could have taken W = W (F) in place of κ and the deformation
functor from the category of Artinian W -algebras similarly defined. This type
of deformation over W was studied by Taylor–Wiles, Kisin, and others, and
from their results, we can conclude the above conjecture in the following cases:
1. ρP is p-distinguished
√ [as defined above (D1)] and ρ := ρmI is absolutely
irreducible over Q[ p∗ ] for p∗ = (−1)(p−1)/2 p (e.g., essentially the original
R = T theorem of Wiles/Taylor; see [DiFG], [MFG] Theorem 5.29, and
[HMI] Proposition 3.78).
2. This case is via the theory of eigenvariety (cf. [Em]). Supposing that ρ
is absolutely irreducible, the conjecture holds if the slope is less than
k(P )/2, since the eigenvariety is étale around P over the arithmetic point
below P on the weight space; see also [Ki1] Theorem 11.10). The result
includes the identification of the rigid-analytic full (dimension-3) Galois
deformation space with the maximal spectrum of the full Hecke algebra
(p-inverted) by Gouvêa/Mazur, Coleman/Mazur, Kisin, and Chenevier
(see [Ki2] Theorem 8.2, [Cn1], and [Cn2]). Here the word “full” means we
do not impose reducibility on the restriction of the deformation to Dp .
3. ρ ∼
= χ1 ⊕ χ2 for two Galois characters with χ1 |Gal(Q/K) = χ2 |Gal(Q/K) for
K = Q[μp∞ ] ([Ki1] Theorem 11.10 and [Ki2] Theorem 8.2).
The only remaining case is when ρ is reducible and χ1 |Gal(Q/Q[μp∞ ]) =
χ2 |Gal(Q/Q[μp∞ ]) (which means p-distinguishedness as the representation is
odd). In this exceptional case, the Skinner–Wiles result [SW] applies (so at
least IP is equal to the reduced part of the universal ring).
Case (1) is the combination of the result in [DiFG] and the method in
[HMI]. Indeed, if we have an R = T theorem for one arithmetic point P , it
extends by the method of [HMI] Chap. 3 to the entire connected component
Spec(T) of Spec(h) containing Spec(I). The specific one point P with R = T is
essentially covered by either [DiFG] or [HMI] Chap. 3 (especially Sect. 3.2.4).
In cases (2) and (3), the full Galois deformation ring R [without imposing
(D3)] around an arithmetic point is smooth over the weight space by the work
quoted there. The full deformation ring often does not have information on
a(p) [or U (p)], because we often have a deformation whose restriction on Dp
does not satisfy (D3). Then the natural projection Spec(R) → Spec(R) (for
the ordinary deformation ring R) has an image on one of the two leaves (of
the infinite fern) crossing at P if the slope ordp (aP (p)) is 0 [or more gen-
erally, ordp (aP (p)) is less than k(P )/2]; hence, it is étale around the point
P̃ ∈ Spec(R) coming from the arithmetic point P ∈ Spec(I). Thus, we have
étale smooth
Spec(RP̃ ) −−−→ Spec(RP ) −−−−→ Spec(W [[T ]]P ), which shows that the com-
 = IP = κ(P )[[X]].
posite is étale, and hence RP̃
In the following sections, we start with a brief review of Greenberg’s defi-
nition of the Selmer group and his L-invariant.
126 3 Invariants, Shimura Variety, and Hecke Algebra

3.4.4 Adjoint Selmer Groups

We describe Greenberg’s definition of his Selmer group associated with the ad-
joint square Galois representation. For simplicity, we assume that S = {p, ∞}
(so N = 1). One can find the definition in the general case in [Gr] and in
[HMI] Sect. 1.2.3. We may assume that κ has a p-adic integer ring W . Let
QS be the maximal extension over Q unramified outside S. All Galois coho-
mology groups are continuous cohomology groups described in [MFG] 4.3.3.
Write GS = Gal(QS /Q) and Ip for the inertia subgroup of the decomposition
subgroup Dp ⊂ GS . The group Dp is expected to be isomorphic to Gal(Qp /Q)
(and this fact is close to be true; see [CnC]).
Write V for the space of ρP . Let GS act on Endκ (V ) by conjugation and
put Ad(V ) ⊂ Endκ (V ) (the trace 0 subspace of dimension 3). We have a
filtration:
V  F + V  {0} (ord)
stable under the decomposition group Dp such that Dp acts on the quotient
V /F + V by δP . Then Ad(V ) has the following three-step filtration stable un-
der Dp :
Ad(V ) ⊃ F − ⊃ F + ⊃ {0}, (F)
where
F − = F − Ad(V ) = {φ ∈ Ad(V )|φ(F + V ) ⊂ F + V } (upper triangular),
F + = F + Ad(V ) = {φ ∈ Ad(V )|φ(F + V ) = 0} (upper nilpotent).

Note that Dp acts trivially on F − /F + ; so F − /F + ∼

= κ; hence, the p-adic
L-function of Ad(V ) has an exceptional zero at s = 1. Put

Ad(V )
Up (Ad(V )) = Ker(Res : H 1 (Dp , Ad(V )) → H 1 (Ip , )).
F + (Ad(V ))
Then we define
H 1 (Dp , V )
Sel(Ad(V )) = Ker(H 1 (GS , Ad(V )) → ). (3.4.1)
Up (V )

Replacing Up (Ad(V )) by the bigger

Ad(V )
Up− (Ad(V )) = Ker(Res : H 1 (Dp , Ad(V )) → H 1 (Ip , ))
F − (Ad(V ))

for p|p, we define a bigger “−” Selmer group Sel− (Ad(V )) ⊃ Sel(Ad(V )).
In the above definition, replacing GS by the stabilizer GS∞ := Gal(QS /Q∞ )
of the cyclotomic Zp -extension Q∞/Q and Ad(V ) by A = Ad(V )/L for a Ga-
lois stable lattice L of Ad(V ), one can define the Selmer group SelQ∞ (A).
The characteristic power series Φ(T ) of the Pontryagin dual of SelQ∞ (A) is
conjectured to be the adjoint p-adic L-function Lp (s, Ad(ρP )) (the adjoint
 3.4 Nonconstancy of Adjoint L-Invariant 127

main conjecture). Here the cyclotomic Zp -extension means that a unique

subextension Q∞ /Q of Q(μp∞ ) such that the cyclotomic character induces
Gal(Q∞ /Q) ∼ = 1 + pZp ∼= Zp for p = 4 if p = 2 and p = p if p > 2.
It is easy to see Sel− (A) is sent (with finite kernel) into SelQ∞ (A) [as p-
ramification of cocycles giving Sel− (A) projected to F − A/F + A is absorbed
by the wild ramification of Q∞ /Q]. Therefore, we have the nontrivial image on
which Gal(Q∞ /Q) acting trivially, and so T |Φ(T ); that is, the image produces
the exceptional zero at s = 1 of the algebraic p-adic L-function
s → Φ(γ s − 1) =: Lalg
p (s, Ad(ρP )).

Greenberg’s principle (behind his way of defining the L-invariant) is

that the L-invariant must be produced out of cocycles in Sel− (A). As-
suming L(Ad(ρP )) = 0, Lalg p (s, Ad(ρP )) has order-1 zero at s = 1 and
Lp (1, Ad(ρP )) = L(Ad(ρP ))L(1, Ad(ρP ))/period up to units under mild
conditions (see [Gr] Proposition 4, [H07b] Theorem 3.1, and [MFG] Theo-
rem 5.20).
Taking the dual Ad(V )∗ (1) = Homκ (Ad(V ), κ)(1) with a single Tate twist,
and the filtration dual to (F), we define the dual Selmer group Sel(Ad(V )∗ (1)).
Lemma 3.33 Suppose Conjecture 3.32. Then we have
dim Sel− (Ad(V )) = 1 and Sel(Ad(V )) = Sel(Ad(V )∗ (1)) = 0. (V)
In the earlier article [H04a], the balanced Selmer group SelQ [see [Gr] (16)
and [HMI] Sect. 1.5.1] is used to prove this type of result. This technicality is
not actually necessary. To see this, we note that by definition, SelQ (Ad(V )) ⊃
SelQ (Ad(V )) and, by duality, SelQ (Ad(V )∗ (1)) ⊂ SelQ (Ad(V )∗ (1)). Then, by
Greenberg (see [Gr] Proposition 2 or [HMI] Proposition 3.82), we have
dim SelQ (Ad(V )) = dim SelQ (Ad(V )∗ (1)),
and therefore, to prove the vanishing of all such Selmer groups, we only need
to show SelQ (Ad(V )) = 0.
Proof. Here is a sketch of the proof (whose details can be found in the arti-
cles quoted above). For any derivation ∂ : IP → κ, consider c∂ := (∂ρ)ρ−1 P :
GS → End(V ). Applying ∂ to ρ(σ)ρ(τ ) = ρ(στ ), we verify that c∂ is a
cocycle. Since det(ρ) is constant, c∂ has values in Ad(V ). Since ρ|Dp is up-
per triangular, [c∂ ] ∈ Sel− (Ad(V )). By universality, any such cocycle is of
the form c∂ . Thus, the tangent space TP ∼ = κ of Spec(IP ) at P is isomor-
− −
phic to Sel (Ad(V )); hence, dimκ Sel (Ad(V )) = 1. Since the diagonal entry
of c∂ is nontrivial, Sel(Ad(V )) is a proper subspace of of Sel− (Ad(V )), and
so it vanishes. The size of the dual Selmer group must be closely related
to the value at the counterpart of the functional equation of L(s, Ad(ρP ))
of the value corresponding to the original Selmer group. Indeed, accord-
ing to Greenberg, dimκ Sel(Ad(V )) = dimκ Sel(Ad(V )∗ (1)) [strictly speak-
ing, dimκ Sel(Ad(V )) = dimκ Sel(Ad(V )∗ (1)) as remarked; see [HMI] Lemma
1.84]; hence, the desired vanishing also follows for the dual.
128 3 Invariants, Shimura Variety, and Hecke Algebra

We have the Poitou–Tate exact sequence (e.g., [MFG] Theorem 4.50 (5)):

H 1 (Dp , Ad(V ))
0 → Sel(Ad(V )) → H 1 (GS , Ad(V )) → → Sel(Ad(V )∗ (1))∗ .
Up (Ad(V ))

Thus, by (V), we have

H 1 (Dp , Ad(V ))
H 1 (GS , Ad(V )) ∼
= . (I)
Up (Ad(V ))

3.4.5 Greenberg’s L-Invariant

Greenberg defined in [Gr] his invariant L(Ad(V )) in the following way. Write
F − H 1 (Dp , Ad(V )) for the image of H 1 (Dp , F − Ad(V )) in H 1 (Dp , Ad(V )). By
F − H 1 (Dp ,Ad(V ))
the definition of Up (Ad(V )), the subspace inside the right-
Up (Ad(V ))
−∼
hand side of (I) is isomorphic to Sel (Ad(V )) = κ. Namely, we have

∼ F − H 1 (Dp , Ad(V )) H 1 (Dp , Ad(V ))

Sel− (Ad(V )) −−→ ⊂ .
Res Up (Ad(V )) Uq (Ad(V ))

By projecting down to F − Ad(V )/F + Ad(V ) ∼ = κ with trivial Dp -action,

cocycles in Sel− (Ad(V )) give rise to a subspace L of

Hom(Dpab , F − Ad(V )/F + Ad(V )) = Hom(Dpab , κ).

Note that
Hom(Dpab , κ) ∼
=κ×κ

, φ([p, Qp ])) for any u ∈ Z×

φ([u,Q ])
canonically by φ → ( log (u)p
p of infinite order. Here
p
[x, Qp ] is the local Artin symbol (suitably normalized).
If a cocycle c representing an element in Sel− (Ad(V )) is unramified, it
falls in Sel(Ad(V )). By the vanishing (V) of Sel(Ad(V )), this implies c = 0;
hence, the projection of L to the first factor κ [via φ → φ([u, Qp ])/ logp (u)] is
surjective. Thus, this subspace L is a graph of a κ-linear map

L : κ → κ,

which is given by the multiplication by an element L(Ad(V ))=L(Ad(ρP ))∈κ.

3.4.6 Proof of Theorem 3.31

Write ρ|Dp ∼= ( 0 δ∗ ) with nearly ordinary character δ. We know that c := c∂

for ∂ = dX gives a nontrivial element in Sel− (Ad(V )). The image of c in
d

Hom(Dpab , κ) is δP−1 ∂δ|X=0 . We know that δP−1 δ([p, Qp ]) = aP (p)−1 a(p) and

δP−1 δ([u, Qp ]) = (ζγ k )− logp (u)/2 logp (γ) tlogp (u)/2 logp (γ) = (1 + X)logp (u)/2 logp (γ)
 3.4 Nonconstancy of Adjoint L-Invariant 129

by our construction [and t = γ −k ζ(1 + X)]. More precisely, we have

da(p) 
c([p, Qp ]) = aP (p)−1  ,
dX X=0
(3.4.2)
d(1 + X)logp (u)/2 logp (γ) 
c([u, Qp ]) =  .
dX X=0

Taking u = γ s , we have

dδ([γ s , Qp ])  s dδ([γ s , Qp ])  1
 = − and  logp (γ s )−1 = − .
dX X=0 2 dX X=0 2 logp (γ)

Thus, we get the desired result from the definition of L(Ad(V )). 


3.4.7 I-adic L-Invariant

We can go through a similar argument to define the L-invariant of Ad(ρI ),

which interpolate L(Ad(ρP )). Let Q be the quotient field of I, and regard ρ as
a representation into GL2 (Q), writing V for its space. Taking ∂ = t ddt , we can
think of c = ρ−1 ∂ρ : GS → Ad(V). Fixing a basis of V so that ρ|Dp = ( 0 δ∗ ),
again we have three-step filtration

Ad(V) ⊃ F − Ad(V) ⊃ F + Ad(V) ⊃ 0

in exactly the same manner as in (F). Note that c is a 1-cocycle of GS with

values in Ad(V) whose restriction to Dp has values in F − Ad(V). Note that
the cohomology class of c depends only on ρI , not the character twist ρ,
which is dependent on P . Then considering cab = c|Dp mod F + Ad(V), we
get cab ∈ Hom(Dpab , Q) ∼
= Q × Q. Then we define an I-adic version of L-
invariant by
cab ([p, Qp ])
L(Ad(ρI )) = L(Ad(V)) = c ([γ,Q ]) . (L)
ab p
logp (γ)

If P ∈ Spec(I)(Qp ) is arithmetic, we have L(Ad(V)) inside IP , since ρ

has values in GL2 (IP ). Thus, L(Ad(V)) ∈ IP , and hence L(Ad(V))(P ) :=
P (L(Ad(V))) is a well-defined number in the residue field κ(P ) ⊂ Qp of P .
If, further, (IP , ρ) is universal, any cocycle class in Sel− (Ad(ρP )) is of the
form c∂ as in the proof of Lemma 3.33. We get L(Ad(V))(P ) = L(Ad(ρP )).
In any case, we can take (L) to be the definition of L(Ad(ρI )) (which does not
require any assumption except for the existence of ρI ), and from the proof of
Theorem 3.31 without assuming any conjecture, we get the following:
Theorem 3.34 We have L(Ad(ρI )) = −2 logp (γ)a−1 t da
dt for a = a(p) ∈ I.

This is the meaning of the analytic continuation of the adjoint L-invariant

mentioned just before Theorem 3.28.
130 3 Invariants, Shimura Variety, and Hecke Algebra

3.5 Vanishing of the μ-Invariant of Katz L-Functions

The last two sections in this chapter are an introductory discussion of problems
concerning vanishing of the Iwasawa μ-invariant of p-adic L-functions. Full
proofs will be given in Chap. 9. This type of results has found applications in
divisibility problems of class numbers, as seen in Sect. 1.1.1, in proofs of the
main conjectures in Iwasawa’s theory in [H06a] and [H09b], and in proving
the open image property of mod p Λ-adic modular Galois representations in
[H12b] (and [H13b]). In the past 10 years, some new methods of proving the
vanishing have emerged in the work of Vatsal, Cornut [V1], [V2], [CV1], [CV2],
Finis [Fi1], [Fi2] and this author. See [V3] for an overview.
We describe a geometric method which was started by Sinnott in [Sn1]
and [Sn2] and has been generalized in [H04b], [H07b], [H10a], [H11b], [Hs2],
[BuH] and [Bu] via the theory of Shimura varieties. We rely on a philosophical
rigidity principle (proposed by Chai, Oort, and others): “A Hecke invariant
subvariety of a Shimura variety is a Shimura subvariety.” For any power series
Φ(x1 , . . . , xd ) ∈ W [[x1 , . . . , xd ]], define μ(Φ) by the exact power pμ(Φ) Φ(X)
in W [[x1 , . . . , xd ]]. The W -valued measure space on Zp can  be identified with
a one-variable power series ring W [[T ]] by ϕ → Φ(T ) = Zp (1 + T )s dϕ(s) ∈
W [[T ]]. Thus, we define μ-invariant of ϕ by μ(ϕ) = μ(Φ). Introducing the
supremum norm  φ = Supx∈Zp |φ(x)|p for continuous functions φ : Zp → W ,
 
we have p−μ(ϕ) = Supφ:φ=1 | Zp φdϕ|p = Supφ:φ=0 | Zp φdϕ|p /  φ .
Exercise 3.35 Prove the above formula for μ(ϕ) using Theorem 1.36.

A measure ϕ with values in W on an abelian almost p-profinite group

G = Δ × Γ with torsion-free Γ ∼ = Zmp and a finite group Δ can be regarded
as an element of the group algebra W [[G]] = limH W [G/H] for H running
←−
over open subgroups of G. A character ψ : Δ → W × gives rise to a projector
ψ∗ : W [[G]] = W [[Γ ]][Δ] → W [[Γ ]] sending group element δ to ψ(δ) ∈ W .
The projection ψ∗ ϕ is called a branch of ϕ with branch character ψ.
For a number field K ⊂ Q, a Galois extension K∞ /K is called a Zp -
extension if Gal(K∞ /K) ∼ = Zp . If K is a finite extension of Q, the composite
of all Zp -extension of K (inside Q) has Galois group isomorphic to Zm p for
some m > 0.
Let p > 2 be a prime. Let M be a CM field of degree 2d in which p is
unramified. This means that M is a totally imaginary quadratic extension
of a totally real field F (and each prime factor of p in F splits in M ). In
this setting, we take Γ to be the Galois group of the composite of all Zp -
extensions of M . The Leopoldt conjecture holds for p and M if and only if
rankZp Γ = d + 1. Though it is not necessary, to describe the result concisely,
we just assume rankZp Γ = d + 1.
We assume to be able to split primes of M over p into a disjoint union
Σp  Σpc for complex conjugation c on M . Katz associated to Σp and each
 3.5 Vanishing of the μ-Invariant of Katz L-Functions 131

finite order branch character ψ of p-power conductor a p-adic L-function Lp =

Lp (ψ).
i∞ ip
Recall fixed embeddings C ← Q → Qp . We have a CM type associated
Σ = {σ : M → C} to Σp [so Homfield (M, C) = Σ  Σ c ]. We may view the p-
adic L-function as a power series Lp (xσ , y)σ∈Σ ∈ W [[xσ , y]] of d + 1-variables
for the p-adic big unramified complete discrete valuation ring W ⊂ Cp with
algebraic closed residue field F = Fp . For each fractional ideal a of M prime
×
to p, its power ah becomes principal generated by α ∈ M × . Define aσ  ∈ Qp
by expp ( h1 logp (ασ )) for the p-adic logarithm logp . Then

κ,k : a → a−kΣ−κ(1−c)  :=
λ a−kσ−κσ σ(1−c) 
σ∈Σ

is the p-adic avatar of anarithmetic Hecke character λκ,k of conductor at

most p with infinity type σ∈Σ kσ + κσ (1 − c)σ.

Exercise 3.36 Prove that the product σ∈Σ a−kσ−κσ σ(1−c)  does not de-
pend on the choice of the generator α of ah , though the individual factor
a−kσ−κσ σ(1−c)  may depend on it.
For κ ≥ 0(⇔ κσ ≥ 0 ∀σ ∈ Σ) and k > 0, we have

κ,k )
Lp (λ Lp (γσκσ − 1, γ k − 1) π κ L(0, ψλκ,k )
:= = ∗E(ψλκ,k ) for γσ = 1 + p.
ΩpkΣ+2κ ΩpkΣ+2κ Ω∞kΣ+2κ

This is a consequence of Theorem 1.41 when = Q (and the general case

 F k+2κ
is shown in [K2]). Here we put Ω?kΣ+2κ = σ Ω?,σ σ
for Ω? = (Ω?,σ )σ∈Σ ,
which is the p-adic/complex Néron period of CM abelian variety of CM type
Σ (with ordinary good reduction at p),  ∗ is a simple constant with | ∗ |p = 1
including the Γ/(-factor, and E(λ) = p∈Σp (1 − λ(pc ))(1 − N (p)−1 λ(p)−1 ).
Assume hereafter in this chapter that F = Fp (the algebraic closure of Fp ).
Limiting ourselves to the case of imaginary quadratic M , we describe a sketch
of the proof of the following result:
Theorem 3.37 If p is unramified in F , we have μ(Lp (ψ)) = 0; that is,

p  Lp (xσ , y) in W [[xσ , y]].

In the case of an imaginary quadratic field M , the composite of all Zp -

extensions of M has Galois group Γ ∼ = Z2p over M by class field theory, and
W [[x, y]] is canonically identified with W [[Γ ]] (see the construction of Katz’s
measure in Chap. 9). Then we have other ways of proving the vanishing. In-
deed, if one can find a Zp -extension M∞ /M such that the projected image of
Lp (ψ) ∈ W [[Γ ]] to W [[Gal(M∞ /M )]] has vanishing μ, the original μ(Lp (ψ))
must vanish. There are some choices when M is quadratic:
132 3 Invariants, Shimura Variety, and Hecke Algebra

1. If ψ factors through the Galois group of abelian extension of Q, one

can take the cyclotomic Zp -extension M∞ /M and the original result of
Ferrero–Washington gives the vanishing (either via Gross’s factorization
formula in [Gs] or via the proof of the main conjectures in the cyclotomic
case [MzW] and in the imaginary quadratic case [Ru1] and [Ru2]).
2. One can take the unique Zp -extension unramified at the factor p of p. This
case is dealt with by Gillard [Gi1] and Schneps [Scn].
3. A line in G = Z2p parallel to the anticyclotomic Zp -extension by Finis
[Fi2].
−
In this book, we take anticyclotomic Zp -extension M∞ /M and lines parallel
−
to M∞ /M inside the Zp -extension of M to prove the above theorem. The
2
−
extension M∞ /M is the unique Zp -extension such that cσc−1 = σ −1 for all
−
σ ∈ Gal(M∞ /M ), where c is a complex conjugation. This method works well
also for CM fields (see [H10a], [H11b], [Hs2], and [BuH] for general cases).
For a weight k > 0, we prove inf ζ∈μp∞ μ(Lp (ψ)(xσ , ζγ k − 1)) = 0, which
implies μ(Lp (ψ)(xσ , y)) = 0. If we forget about notational complication com-
ing from dealing with a general CM field, the proof is in essence the same for
any choice of F , in this book, we assume
1. F = Q; hence, M is an imaginary quadratic field with integer ring O;
2. the prime p splits in M ; that is, (p) = pp and Σp = {p};
3. p ≥ 5, ψ = 1, any ring to have 16 and |O× | = 2.
In addition to these three hypotheses, to make the exposition less technical
in this section, we assume an extra assumption:
(Ex) The class number of M is prime to p.
In the detailed proof of Theorem 3.37 we will give later in Sect. 9.2, we do not
assume assumption (Ex).

3.5.1 Eisenstein Series

As we have seen in (1.3.1), for each lattice L = Zw1 + Zw2 ⊂ C, we define an

Eisenstein series
 ∞ 
(2πi)k 1 1 1
Gk (L) = = ζ(1 − k) + ( dk−1 )q n ,
(k − 1)! 2 # k 2 n=1
∈L−{0} 0<d|n

which is a function of lattices satisfying Gk (αL) = α−k Gk (L). The quotient

C/L gives rise to an elliptic curve E(L) ⊂ P2 by Weierstrass theory (which
we recalled in Sect. 2.3.4).
Since ΩE(L)/C is generated by du for the variable u of C and we can

recover from (E(L), du) the lattice L as { γ du|γ ∈ π1top (E)}, we regard Gk
as a function of the pairs (E, ω) of an elliptic curve E with a generator ω
of H 0 (E, ΩE/C ) satisfying Gk (E, αω) = α−k Gk (E, ω). For a given base ring
B/Z[ 16 ] , a modular form f defined over B of weight k and of level 1 can be
 3.5 Vanishing of the μ-Invariant of Katz L-Functions 133

interpreted as a functorial rule assigning a number in A to the isomorphism

class of a pair (E, ω)/A of an elliptic curve E over a B-algebra A and a
differential with H 0 (E, ΩE/A ) = Aω such that [see (G0–2) in Sect. 6.2.4 and
(G3) in Sect. 6.2.8]
1. f ((E, ω) ×A,ρ A ) = ρ(f (E, ω)) for each B-algebra homomorphism ρ :
A → A ;
2. f (E, aω) = a−k f (E, ω) for a ∈ A× ;
3. f is finite at cusps (the value at the Tate curve at each cusp lands in
B[[q]]).
If a modular form f defined over C has q-expansion in B[[q]] at the infinity
cusp, f is actually defined over B (assuming B ⊂ C). Indeed, f is then an iso-
baric polynomial Φ(g2 , g3 ) in B[g2 , g3 ], and if (E, ω) is defined over A by y 2 =
4x3 − g2 (E, ω)x − g3 (E, ω) with ω = dx y , f (E, ω) = Φ(g2 (E, ω), g3 (E, ω)) ∈ A.
We take B := W = W ∩ Q.  
Removing p-coefficients, Gk (z) = n>0,pn ( 0<d|n d−1 dk )q n gives rise
−1
to a p-adic analytic family with ψ 1 = ω . It is a part of the family
{GP }P ∈Spec(Λ) such that a(n, GP ) = 0<d|n (P (d)d−1 dk for arithmetic P =
(1 + T − (P (γ)γ k−1 ). Often we write this GP as Gk,ζ for ζ = εP (γ) ∈ μp∞ (Qp )
and also εζ = εP . The form Gk,ζ is also an Eisenstein series with possibly
nontrivial Nebentypus.
Let C = MA× /M × (O  (p) )× M × be the mod p∞ ray class group of M , which
∞
fits into the exact sequence

1 → O×
p /{±1} → C → Cl → 1

for the class group Cl of M . Consider Γ = 1 + pZp a subgroup of O× p /{±1}

by the inclusion map Z× ∼
= O ×
p . Since p  |Cl| by the extra assumption (Ex),
p
we have the splitting C = Δ × Γ , and we may regard εζ as a character ε̃ζ of C
projecting down C to Γ . Here Δ ⊂ C is the maximal finite subgroup of C, and
in the proof of Theorem 3.37 in Sect. 9.2, if p divides the class number (though
we may not have splitting), we compute the μ-invariant of each branch of the
Katz measure restricted to Γ (as the original μ vanishes if the “restricted” μ
vanishes). This is how we eliminate assumption (Ex) later.
The CM curve E(a) is defined over W and has a differential ω(a) with
ω(a) = π ∗ ω(O) for a fixed ω(O), where π : E(a) → E(O) is an étale  isogeny
of degree [R : a]. Fix a generator α ∈ π1top (E(O)), and set Ω∞ = α ω(O). We
G (a)
find k,ζΩk = Gk,ζ (Ω∞ a) = Gk,ζ (E(a), ω(a)) ∈ W[ζ],
∞

Gk (a) 1   λ0,k (αa−1 ) 

= α−k    La−1 (0, λ0,k )
λ0,k (a) 2λ0,k (a) α∈a
N (αa−1 )s s=0
α∈a,(a)+(p)=O

Gk,ζ (a)
and  La−1 (0, ε̃ζ λ0,k ),
ε̃ζ λ0,k (a)

where “” indicates that we need to multiply the Euler-like factor E(?).
134 3 Invariants, Shimura Variety, and Hecke Algebra

Applying the invariant differential operator (of Maass–Shimura)

   
κ
!
1 k ∂
δk = + and δkκ = δk+2κ−2 · · · δk ,
2πi 2iy ∂z
we have, by Shimura,
δkκ Gk,ζ (a)
 La−1 (0, ε̃ζ λκ,k ) (only dependent on the class of a).
ε̃ζ λκ,k (a)

 a= Zz0 +Z (and Im(z0 ) > 0),

This can be seen as follows: For z0 = z0(a) with
define ρ = ρa : M → M2 (Q) by ρ(α) z10 = z10 α. Then ρ(α)(z0 ) = z0 . We
take a local parameter τ around z√ 0 so that ρ(α)(τ ) = α
1−c
τ and τ = 0 ↔
z = z0 (for example, if z0 = i = −1, τ = z+i ). Then we find, regarding
z−i

a1−c  ∈ C×
δkκ Gk (a1−c τ )|τ =0 a1−c κ δkκ Gk (z0 (a)) δ κ Gk (z0 (a))
= = k  La−1 (0, λκ,k ).
λ0,k (a) λ0,k (a) λκ,k (a)
There is a canonical p-adic Serre–Tate parameter t around z0 (as a point
of a modular curve). Heuristically, logp (t) behaves like τ : τ = 0 ⇔ t = 1 and
1−c
t ◦ ρ(α) = tα (see Proposition 7.44 for a proof). For θ := t ddt , by Katz, with
a specific p-adic period Ωp ∈ W × of E(O) (we recall later),
κ,k )  θκ (Gk (τ a  ))|τ =1
Lp (λ
1−c
 δ κ (Gk (Ω∞ a)) π κ L(0, λκ,k )
= = k

Ωpk+2κ a
λ0,k (a) a
λκ,k (a) Ω∞k+2κ

for a running through ideal classes. Thus, we can compute the Taylor expan-
 Gk (ta1−c  )
sion of E = a λ0,k (a) with respect to x = logp (t) by computing the
derivative with respect to θ.
Since E is defined over W , out of this identification of the Taylor expansion,
we conclude that Lp (x, γ k − 1) is almost the expansion of E with respect to
x  T = t − 1 (which we call t-expansion by an abuse of symbol instead of
T -expansion, as this T has nothing to do with the weight variable “T ” of the
Hecke algebra h). Strictly speaking, first, the t-expansion is the expansion of
the measure given by E as a measure on Zp , not on 1 + pZp . Second, we want
to know the nonvanishing of the t-expansion modulo p of the restriction of the
measure on Cl(p∞ ) to 1 + pOp ∼ = Γ 2 . Thus, we need to replace G := {Gk,ζ }

by a family {Gk,ζ,b } of Eisenstein series of level p2 (somehow restricting the
measure to the torsion-free part 1 + pOp increases the level; see Sect. 9.2,
as this is subtle). Since La−1 (s, λ) (resp. G) is a sum of partial L-functions
for a class modulo
 p (resp., a sum of Eisenstein series of level p2 ), we have
La−1 (s, λ) = b≡a mod p,[b]∈ClM (p) Lb−1 (s, λ), and

 
(tb  )
1−c
Gk,ζ,b
Eζ =
ε̃ζ λ0,k (b)
b∈ClM (p)
 3.5 Vanishing of the μ-Invariant of Katz L-Functions 135

gives rise to the exact power series Lp (t − 1, γ k ζ − 1) as a measure on Zp .

Note that t − 1 is the local parameter around z0 (O). Take the following
fact for granted (we will give an outline of the proof at the end of this section
and give details later in Sect. 11.1.5):
Theorem 3.38 (Linear Independence Theorem) For any nonzero, non-
constant mod p-modular form fb of weight k indexed by ideal classes, the set
{fb (tb  )}[b]∈ClM (p)/∼ is linearly independent over F in F[[(t − 1)]], where
1−c

{[b]} is a representative set of ray classes modulo p under the equivalence:

[b] ∼ [c] ⇔ b1−c  = α(c)1−c c1−c  for α(c) ∈ M × .

We prove this later showing that {tb  }b is algebraically independent in

1−c

F[[(t − 1)]] over F, which enables us to compute the μ(Lp (x, ζγ k − 1)) [via
the almost identity Lp (x, ζγ k − 1)  the t-expansion of Eζ under x  t − 1]
  c−1
by q-expansion of fζ,b = c∼b Gk,ζ,b (τ α(c) ). This is because Eζ is a linear
combination of fζ,b ((tb 
1−c
). Our conclusion is

μ(Lp (x, γ k ζ − 1)) = min(ordp (fζ,b ))b ,

where ordp (f ) = minn (ordp (a(n, f ))). This is because

pμ(b)  fζ,b (t) ∈ W [[t − 1]] ⇔ pμ(b)  fζ,b (q) ∈ W [[q]].

Thus, dividing Eζ by pμ for μ = minb μ(b), and applying Theorem 3.38 to

p−μ fζ,b , we find that μ(Lp (x, ζγ k − 1)) = μ(Lp (t − 1, ζγ k − 1)) = μ and that
Lp (t − 1, ζγ k − 1) is the t-expansion of Eζ .
For ζ ∈ μp∞ (Qp ), we prove inf ζ,k ordp (fζ,b ) = 0, and p  Lp (x, y) follows
as μ(Lp (x, y)) ≤ μ(Lp (x, ζγ k − 1)). If b = ρ−1 a for ρ ∈ (a/pa)× ∼ = (O/pO)× ,

Gk,ζ,b is “something like” the sum over α ∈ a with α ≡ ρ mod p. Thus, for
a well-chosen prime l, the q-expansion coefficient a(l, fζ,b ) is 1 + ϕk,ζ (l)lk−1
for a suitable character ϕk,ζ (l)  ζ logp (l)/ logp (γ) up to p-adic units. Thus,
min(ordp (fζ,b ))b ≤ minζ (ordp (a(l, fζ,b ))) = 0.

3.5.2 Modular Curves as Shimura Variety

To prove the linear independence theorem (Theorem 3.38), we study a subva-

riety of the self-product of modular curves stable under the diagonal “toric”
action by ρ(α).
We define the modular curve by a classification problem of elliptic curves
E/A over a ring A/B for B = Z[ N1 , μN ] (with specific primitive root ζ ∈ μN ),
looking into the following moduli functor of level Γ (N ) and writing “[·]” for
“{·}/ ∼
=”:
1  2
EΓ (N ),ζ (A) = (E, φN : (Z/N Z)2 ∼
= E[N ])/A φN (1, 0), φN (0, 1) = ζ ,
which is represented by a geometrically irreducible curve Yζ (N ) (see Sect. 6.2.6
for a proof). Here ·, · is the Weil pairing (see Sect. 6.1.6 for the pairing).
136 3 Invariants, Shimura Variety, and Hecke Algebra

We know classically that EΓ (N ),ζ (C) ∼= Γ (N )\H = Yζ (N )(C). If1 we remove2

the contribution upon ζ and consider the functor EΓ (N ) (A) = (E, φN )/A

defined on the category of Z[ N1 ]-algebras, we have EΓ (N ) = ζ EΓ (N ),ζ , and
this functor is represented by a geometrically nonconnected curve Y (N ) =

ζ Yζ (N ) defined over Z[ N ] if N ≥ 3.
1

Write G = GL(2)/Z . We can let α ∈ G(Z/N Z) act on Y (N ) by (E, φ) →

(E, φ ◦ α). Thus, the group G(Z)  = lim G(Z/N Z) acts on the limit Y =
←−N
limN Y (N ) (which is a proscheme defined over Q), and SL2 (Z)  preserves the
←−
connected component Yζ∞ = limN YζN (N ).
←−
A remarkable fact Shimura found is that this action of G(Z)  can be ex-
(∞)
tended to the finite adele group G(A ) = G(A)/G(R) (see [IAT] Chap. 6
and Theorem 7.18 in the text). In other words, the action of g ∈ G(A(∞) )
on the limit Y can be interpreted as a family of morphisms/correspondences
(Hecke action/Hecke correspondence) on finite-level modular curves. A pro-
variety equipped with such adelic action is rare, but all Shimura varieties have
such a large symmetry (we study the simplest Shimura curve Y in details in
Chap. 7 and refer to [PAF] for general Shimura varieties).
Deligne’s interpretation of the symmetry is equally useful. To explain
Deligne’s idea, consider the Tate module T (E) = limN E[N ] for an ellip-
←−
tic curve E/A for a Q-algebra A. This means, taking a geometric point
s = Spec(k) ∈ Spec(A) (for an algebraically closed field k) in each connected

component of Spec(A), we think of the Z-module T (Es ) = limN Es [N ](k)
←−
(the choice of s does not matter; see Lemma 7.10). Then T (E) ∼ = Z  2 and
∼
V (E) = T (E) ⊗Z Q = (A ) . Deligne realized that Y represents the fol-
(∞) 2

lowing functor defined over Q-algebras (see Theorem 7.11 in Sect. 7.1.3 for a
proof):
E Q (A) = {(E, η : (A(∞) )2 ∼
= V (E))/A }/isogenies.
Here A(∞) is the finite adele ring. Then g ∈ G(A) sends a point (E, η)/A ∈
E Q (A) to (E, η ◦ g (∞) )/A for the projection g (∞) of g to A(∞) .
Take the quotient Y (p) = limpN Y (N ) = Y /G(Zp ). Put V (p) (E) =
←−
T (E) ⊗Z A(p∞) , and consider the prime-to-p-level structure η (p) : (A(p∞) )2 ∼
=
V (p) (E). By Theorem 7.13, Y (p) over Z(p) represents the following functor
defined over Z(p) -algebras:

E (p) (A) = {(E, η (p) : (A(p∞) )2 ∼

= V (p) (E))/A }/prime-to-p isogenies,

where an isogeny φ is prime to p if deg(φ) is prime to p. On Y (p) and its

(p)
p-fiber Y/F over Spec(F), again g ∈ G(A) acts by η (p) → η (p) ◦ g (p∞) .
An endomorphism φ : E → E of elliptic curves is called central if
φ(x) = mx for an integer m for all x. If we have a prime-to-p noncen-
tral endomorphism α : E → E, then E has complex multiplication by
an imaginary quadratic field M = Q[α] ⊂ End(E) ⊗Z Q, and we can
 3.5 Vanishing of the μ-Invariant of Katz L-Functions 137

write α ◦ η (p) = η (p) ◦ ρ(p) (α) for ρ(p) (α) ∈ G(A(p∞) ). Since α is “non-
central” (i.e., α ∈ Z), ρ(p) (α) is not in the center of G(A(p∞) ). Thus, if
z0 = (E, η (p) ) ∈ Y (p) (A) (A = W and F), we find that ρ(p) (α)(z0 ) = z0 ,
and
× ∼
O×
(p) /Z(p) −
→ {g ∈ Aut(Y (p) )|g(z0 ) = z0 }.
ρ

Pick the elliptic curve E := E(O)/W with CM by the integer ring O of

M . Since Σpc = {p}, we have p = O ∩ mW and W/mW = Fp , and E[p∞ ] is
étale constant and E[p∞ ] ∼ = μp∞ over W (see Sect. 4.3 particularly Sect. 4.3.7
for such group schemes). We fix a level-p structure ηp◦ : μp∞ ∼ = E[p∞ ] and
ηp : Qp /Zp ∼
et ∞ ◦
= E[p ]. Then ηp induces an isomorphism of formal groups:
◦  m = Spf(W
ηp : G ∼E
[t, t−1 ]) =  (see Lemma 4.82 in Sect. 4.4.3); so we define
the p-adic Néron period Ωp by

◦ dt
ω(O) = Ωp · (
ηp,∗ ) for Ωp ∈ W × . (3.5.1)
t
This is the p-adic period we discussed earlier.
Write ηp = (η ◦ , ηpet ) : μp∞ × Qp /Zp ∼ ∞
= E[p∞ ] × E[p ], and define a homo-
×
morphism ρp of O(p) into the diagonal torus of G(Zp ) by α ◦ ηp = ηp ◦ ρp (α)
for α ∈ O(p) . Thus, ηp◦ ◦ ρp (α) = αηp◦ , identifying Op with Zp and ηpet ◦ ρp (α) =
αc ηpet .
Fix a base w1 , w2 of O  (p) ∼  (p) , and identify M (p∞) with
= T (p) (E) over Z A
(A (p∞) 2
) . The choice induces a prime-to-p-level structure η (p) : (A(p∞) )2 ∼ =
O⊗Z A(p∞) = V (p) (E). We put η = ηp ×η (p) . Define ρ : O× (p) → G(Zp ×A
(p∞)
)
×
by η ◦ ρ(α) = α ◦ η. Since α ∈ O(p) induces an isogeny α : E → E sending
αη (p) = η (p) ρ(p) (α), the point z0 (O) = (E(O), η (p) ) ∈ Y (p) = Y /G(Zp ) is
fixed by ρ(α). Pick a fractional ideal a ⊂ M prime to p; hence, a = (aO)  ∩M
for an idele a ∈ MA× with ap = a∞ = 1. Then we have z0 (a) = (E(a), η(a)) =
ρ(a)−1 (z0 (O)).
Consider the formal completion Y = Yz/W of Y/W along z = z0 (a) ∈
(p)

Y (p) (F). See Sect. 4.4 for completing the process of a scheme. Then, by the
universality of Y (p) , Y satisfies
  
Y (A) ∼ 
= E(A) := X/A : elliptic curves over AX ⊗A F = E(a)/F / ∼ =,

where A runs through p-profinite local W -algebras with A/mA = W/mW =

F = Fp .
By Serre–Tate’s deformation theory (see Sect. 6.3), we have Y ∼ = Gm
 ∞ ◦
canonically. Indeed, first X/A ∈ E(A) is determined by the extension X[p ] →
X[p∞ ]  X[p∞ ]et of the Barsotti–Tate groups. By Theorem 6.47, such an ex-
tension over A is classified by

Ext(X[p∞ ]et , X[p∞ ]◦ ) ∼  m (A).

lim μpn (A) = G
= Hom(Qp /Zp /A , μp∞ /A ) = ← −
n
138 3 Invariants, Shimura Variety, and Hecke Algebra

For this identification, we used ηp◦ : μp∞ ∼ = E(a)[p∞ ] and its dual inverse ηpet :
Qp /Zp ∼= E(a)[p∞
]. The above identification only depends on ηp = (ηp◦ , ηpet ),
and multiplication by an idele a with ap = 1 does not affect ηp . Thus the
above identification is independent of a and a.
Since ρ(α) fix z0 (a), it acts on Y . Since α ∈ O acts on X[p∞ ]et = Qp /Zp
by α → αc and on X[p∞ ]◦ = μp∞ by α → α, only reasonable action of M × on
the deformation space t ∈ Hom(Qp /Zp /A , μp∞ /A ) = G  m is by t → α◦t◦α−c =
1−c
tα . This turns out to be true, as we verify as Proposition 7.44 in Sect. 7.2.5
(see also, [H10a] Proposition 3.4):

Lemma 3.39 Identifying Y with G  m = Spf(lim W [t, t−1 ]/(t − 1)pn ), if α ∈

←−n
M × , we have ρ(α)(t) = tα
1−c
for complex conjugation c.

3.5.3 Subvarieties Stable under Hecke Action

(p)
We write Ia for the irreducible component of Y/F = Y (p) ×W F containing
z0 (a). Let a be a fractional ideal prime to p of M with a = aO  for a ∈ M ×
A
with ap = a∞ = 1. Then ρ(a) gives an isomorphism of Ia onto I := IO sending
z0 (O) to z0 (a). We identify I = Ia for any a. For any α, β ∈ O(p) ∩ M × , we
have a skew diagonal Δα,β = Im(ρ(α) × ρ(β) : I → I ×F I) in I ×F I for
α, β ∈ O(p) ∩ M × . Here is an example of the rigidity principle:
n
  !
Theorem 3.40 Let H  I ×F · · · ×F I (with n ≥ 1) be a proper closed irre-
ducible subscheme with a dominant projection to the product I n−1 of the first
n − 1 factors and to the last factor I. If z0 (O)n ∈ H and H is stable under the
diagonal action of a p-adic open subgroup of O× ×
(p) /Z(p) , up to permutations of
the first (n − 1) factors, we have
n−2
  !
H = I × · · · × I ×Δα,β .

This can be proven via Chai’s theory of Hecke invariant subvariety of the
Shimura variety. We sketch the proof in the following section (and give full
details in Chap. 11).

3.5.4 Conclusion

First, we prove Theorem 3.38 from Theorem 3.40: Let aj ∈ Z× p (j =

 
1, 2, . . . , h). Regard a = aj ∈ Aut(Y ) = Autgp (Gm ) given by t → ta . Let
z = z0 (O) and Oz for the stalk of z ∈ Y (p) mod p. Suppose that the algebra
h
  !
homomorphism Oz⊗h := Oz ⊗F Oz ⊗ · · · ⊗F Oz → F[[T ]] = OG m /F given by
 3.6 Hecke Stable Subvariety 139

f1 (t) ⊗ · · · ⊗ fh (t) to j fj (taj ) has a nontrivial kernel K. The schematic clo-
sure H of Spec(Oz⊗h /K) in I h is stable under the action of ρ(O× (p) ). Thus, by
Theorem 3.40, there exist i = j such that Op /Zp  ai /aj ∈ (O(p) ∩M × )/Z×
× × ×
(p) .
Let a1 , . . . , ah be the representatives of ClM (p)/ ∼. Let aj = a1−c j . Then
ai /aj ∈ (O(p) ∩M × )/Z× (p) for all i 
= j. Therefore, Oz
⊗h
must inject into F[[T ]];
that is, fj (taj ) (j = 1, . . . , h) are algebraically independent if each fj ∈ Oz is
nonconstant. This finishes the sketch of the proof of the linear independence
theorem.  

We have Lp (t − 1, γ k ζ − 1) = j fζ,aj (taj ) for the sum of the Eisenstein
∞
series fζ,aj of weight k = p − 1 with q-expansion n=0 a(n, fζ,aj )q n . Dividing
fζ,aj by the Hasse invariant h does not change the q-expansion and the value
of fζ,aj . Thus, we have

Theorem 3.38
μ(Lp (t − 1, γ k ζ − 1)) = min(ordp (a(n, fζ,aj )),
n,j

as T = t − 1 is a local parameter at z = z0 (O) and q is a local parameter at

the cusp ∞ of the irreducible modular curve I. By computation, we can find a
prime # and index j such that a(#, fζ,aj ) = 1 + ζ logp ()/ logp (γ) #k−1 independent
of the choice of ζ ∈ μp∞ (Q). Thus,

0 ≤ μ(Lp ) ≤ inf μ(Lp (t − 1, ζγ k − 1)) ≤ inf (ordp (1 + ζ logp ()/ logp (γ) #k−1 )) = 0,
ζ ζ

as the p-power order of the root of unity ζ logp ()/ logp (γ) grows indefinitely.
This concludes the sketch of the proof of Theorem 3.37 in this chapter.  
More generally, as Theorem 9.15, we will prove the following:
Corollary 3.41 Suppose F = Q. Then the μ-invariant of the anticyclotomic
Katz p-adic L-function L−
p (x) = Lp (x, 0) also vanishes.

When F = Q, writing L− −
p (xσ ) = Lp (xσ , 0), μ(Lp ) could be positive though
μ(Lp (xσ , y)) = 0 always (see [H11b]). This rare positivity μ(L− p ) > 0 only
occurs if [F : F (μp )] = 2 and M/F is unramified everywhere at finite places
[see (M1–M3) in [H10a] for a precise set of conditions for μ(L− p ) > 0].

3.6 Hecke Stable Subvariety

In this section, we provide a sketch of the proof of the specific case (we used)
of the conjecture asserting that a Hecke invariant subvariety of modulo p
Shimura variety is a Shimura subvariety. We can also prove this (conjectural)
principle for the Hilbert modular variety and its self-products, but in this
book, we only deal with modular curves and their self-products (and full
details will be given in Chap. 11; see [H10a] Sect. 3 for the proof dealing with
140 3 Invariants, Shimura Variety, and Hecke Algebra

Hilbert modular Shimura varieties). Any essential ingredients for the proof
of the general case show up in the simplest case of modular curves. Write
G = GL(2)/Z with center Z ∼ = Gm/Z . In this section, the word “variety”
means a finite-type reduced scheme over F = Fp .
We recall the following lemma we mentioned already in Sect. 3.5.1:
Lemma 3.42 Identifying Y with G  m = Spf(lim W [t, t−1 ]/(t − 1)pn ), if α ∈
←−n
M × , we have ρ(α)(t) = tα
1−c
for complex conjugation c.
Note that if α ∈ M × is not prime to p, the action of ρ(α) is an endomorphism
of Y (p) , not an automorphism. We prove this as Proposition 7.44 (more general
cases are treated in [H10a] as Proposition 3.4). The action of ρ(α) on the Serre–
1−c
Tate coordinate is given by t → tα factoring through G(A(p∞) )/Z(Q), since
Z(Q) acts trivially on the Shimura variety Y (p) .

3.6.1 Hecke Invariant Subvariety Is a Shimura Subvariety

(p)
We write I for the irreducible component of Y/F = Y (p) ×W F containing
z0 = z0 (O); hence, the formal completion along z0 is Y = I.
 Recall that
F = Fp .
We want to give a sketch of a proof of the following two theorems (see
Corollaries 11.8 and 11.11 for detailed proofs, and also [H10a] Corollaries 3.16
and 3.19 for Hilbert modular versions):
Theorem 3.43 Suppose that H  I ×F I is a closed irreducible subvariety of
codimension 1 containing (z0 , z0 ) ∈ I ×F I stable under the action of a p-adic
1−c
open subgroup of O× × ×
(p) /Z(p) → Zp . Then either H = z0 × I or H = I × z0 or
×
H = Δα,β for α, β ∈ O(p) ∩ M .
n
  !
Theorem 3.44 Let H ⊂ I ×F · · · ×F I (n ≥ 2) containing z0n be a closed
irreducible subvariety with a dominant projection to the product of the first
n − 1 factors and to the last factor. If H is of codimension 1 stable under
1−c
the diagonal action of a p-adic open subgroup of O× × ×
(p) /Z(p) → Zp , up to
n−2
  !
permutations of the first (n − 1) factors, we have H = I × · · · × I ×Δα,β .
Note here that Δα,β is isomorphic to I by the first or second projection; hence,
H is isomorphic to the self-product of the modular pro-curve I.

3.6.2 Rigidity Lemma and a Sketch of Proofs

We start with general lemmas. Let T ⊂ O× ×

(p) /Z(p) be the open subgroup
(under p-adic topology) fixing H by the diagonal action of ρ(α) × · · · × ρ(α)
 3.6 Hecke Stable Subvariety 141

(α ∈ T ). Then the formal completion H  along z0n is also stable under T , since
n
z0 is fixed by T . By the Serre–Tate theory, H ⊂ In ∼ =Gn .
m/F
As we have seen, if a power series Φ(T ) = Φ(t) (T = t − 1) satisfies
Φ(tz ) = Φ(t)z for all z in an open subgroup of Z×p , then Φ(t) = t for s ∈ Zp
s

(Lemma 3.30). Note that

 m = Spf(W
G [t, t−1 ]) = Spf(W [[T ]]).

The cocharacter group of Gnm is isomorphic to Zn , which we write as X∗ (Gnm ).

Then, by tautology, Gnm = Gm ⊗Z X∗ (Gnm ). Similarly, in the formal setting,
putting X∗ (G n ) := Homformal gp (G
 m, G
 n ) = X∗ (Gn ) ⊗Z Zp = Zn (the for-
m m m p
mal cocharacter group), we have G n = G  m ⊗Z X∗ (G  n ). A slightly more
m p m
general version of Chai’s rigidity lemma can be stated as follows (e.g., [H10a]
Lemma 3.7):
Lemma 3.45 (C.-L. Chai) If Z ⊂ G  n is a reduced equidimensional for-
m/F
mal subscheme of dimension r stable under the diagonal action of an open
 m ) = Z× , then
subgroup of Autgp (G p
+
Z=  m ⊗Z L ⊂ G
G n ,
p m/F
L

 n ) of
where L runs over the (finitely many) Zp -direct summand of X∗ (G m
rank r.
The proof is given in [Ch3] but is technical and long, so we postpone the proof
of this lemma until Chap. 10.
We apply this to the formal completion H  along z0n = (z0 , z0 , . . . , z0 ) ∈ I n
inside I = G
n  . Since H is stable under t → tα1−c for α ∈ O× /Z× 1−c
n
m (p) (p) → Z× ,
p
by continuity, H is stable under the closure Z× of {α1−c |α ∈ O× }. Since H is
p (p)
an excellent irreducible scheme, H  is reduced equidimensionally of dimension
n − 1. Thus, by the above lemma,
+
H=  m ⊗Z L ⊂ G
G  n = In , (3.6.1)
p m
L

where L runs over the (finitely many) Zp -direct summand of X∗ (In ) of rank
n − 1. Let H → H be the normalization of H. Since H is irreducible, H is
irreducible. By (3.6.1), each point over z0n of H is indexed by {L}, and for the
point yL ∈ H over z0n corresponding to L, H  yL is étale over G
 m ⊗ L. Write
   
I = I × I for I = I
n n−1
and I = I for the last component.
Lemma 3.46 The scheme H is finite flat over I  around z0n−1 . In particular,
each L is of rank n − 1 and projects down to an open subgroup of X∗ (G  n−1 ) ∼
=
m
n−1   
Zp . If one of L surjects down onto X∗ (I ) (I = Gm ), all of L surjects
n−1

down onto X∗ (I ), and the projection H → I  is étale finite around z0n−1 .
142 3 Invariants, Shimura Variety, and Hecke Algebra

Proof. Since the projection of the first (n−1)-factor I  = I n−1 is dominant, at

least one of L, call it L0 , projects down to an open Zp -submodule of X∗ (G n−1 ).
m
If there is L with image in X∗ (I ) of rank < n − 1, the nonflat locus H ⊂ H
 nf

of H → I  is a nonempty proper closed subscheme of H. Since dim G m ⊗ L =

rank L = n − 1, H has dimension n − 1 equal to dim H, and so H has to
nf

be reducible, a contradiction. Thus, H → I  is finite flat around z0n−1 via a

faithfully flat descent from H/  I to H/I  .
If one of L, call it L0 , surjects down to X∗ (I ) and another L1 has image
smaller than X∗ (I ), the ramified locus Hram of H → I  is a nontrivial proper
closed subscheme of dimension n−1, again a contradiction to the irreducibility
of H; so H → I  is étale finite around z0n−1 , again via a faithfully flat descent
from H/ I to H/I  . 

When n = 2, by applying a power of the p-power Frobenius or its dual to

H [that is, applying ρ(α) for α generating pO(p) or its dual ρ(α))], we may
assume that at least one L surjects down to X∗ (I ); hence, by the above
lemma, all instances of L surject down to X∗ (I ). Thus, we may assume that
H → I  is étale finite around z0 . Now assume n = 2. Then, over an open
dense subscheme U ⊂ H containing all points above z02 , the two projections
πL : U → I  = I and πR : U → I  = I are étale finite.
We consider the universal elliptic curve (E, η)/I . We pull it back to H:
(A, ηA ) = πL∗
(E, η) and (B, ηB ) = πR∗  :=
(E, η). For a point y ∈ H over z02 , H
    
Hy = {(t , t )|t ∈ I = Gm } ⊂ I × I. Since πj : H → I is étale finite around
b a

y, we may assume that a, b ∈ Z× p ,and so we may assume that b = 1. Let E =

E(O). The map I  t → ta ∈ I is induced on t ∈ I = Homgp (E[p∞ ], E[p∞ ])
by regarding a as an endomorphism of E[p∞ ]. Thus identifying E = E(O)/F
with the fibers Ay = By of A and B at y, we regard the unit a ∈ End(E[p∞ ])
as a Op -linear map a : Ay [p∞ ] = E[p∞ ] → E[p∞ ] = By [p∞ ] inducing identity
on E[p∞ ]. We note the following fact (see [H10a] Proposition 3.15):
Lemma 3.47 (C.-L. Chai) Further shrinking the open neighborhood U of y
in H, we may assume that the isomorphism a : Ay [p∞ ] = E[p∞ ] → E[p∞ ] =
u ∼
By [p∞ ] extends to ã : A/U [p∞ ] → B/U [p∞ ]. This implies that H =G m by
(t, tã ) ↔ t at any point u ∈ U (F).
Here is a sketch of a proof of the above lemma. Since a can be approximated
p-adically by αn ∈ R(p) modulo pn , a can be extended to ρ(αn ) : A[pn ]H →
B[pn ]H . Passing to a limit, we have an extension  a : A[p∞ ]H → B[p∞ ]H .
Write O for the stalk of OH at y; thus, H  = Spf(O).
 Since  a is determined by
its restriction a to Ay [p∞ ], it is a unique extension of a. Since O ⊗O O is re-
duced (because of the excellence of O; see Sects. 4.1.11 and 4.4.4, particularly,
Lemma 4.87), the pullbacks of   ×H H
a by two projections H →H  and three
    
projections H ×H H ×H H → H ×H H coincide; hence,  a satisfies the descent
 3.6 Hecke Stable Subvariety 143


datum (cf., [GME] Sect. 1.11) with respect to O/O, obtaining the desired U .


Proof of Theorem 3.43. Since the two projections πj : H → I (j = L, R)
are dominant, we have End(A) ⊗ Q = End(B) ⊗ Q = Q. Let Y/H = A ×H B.
Thus, there are only two possibilities for EndQ (Y) = End(Y/H ) ⊗ Q: Either
EndQ (Y) = Q × Q or EndQ (Y) = M2 (Q).
Suppose that EndQ (Y) = M2 (Q). By the semisimplicity of the category
of abelian schemes, we have two commuting idempotent e? ∈ EndQ (Y) such
that eA (Y) = A and eB (Y) = B. Since EndQ (Y) = M2 (Q), we can find
an invertible element β̃ in G(Z(p) ) ⊂ M2 (Q) such that β̃ ◦ eA = eB ; hence,
β̃ : A → B is an isogeny with β̃ ◦ ηA = ηB , whose specialization to the fiber
of A and B at y gives rise to an endomorphism β ∈ End(E(O)) ⊗ Q. Thus,
the isogeny β̃ is induced by ρ(β), and we conclude that Δ1,β = H.
We suppose that EndQ (Y) = Q×Q and try to get a contradiction [in order
to prove that EndQ (Y) = M2 (Q)]. We pick a sufficiently small open compact
subgroup K ⊂ G(A(p∞) ) maximal at p so that the normalization HK of
HK ⊂ YK × YK is smooth at the image of y. The variety YK is naturally
defined over a finite extension Fq /Fp as the solution of the moduli problem
E (p) /K. The universal elliptic curve EK is therefore defined over IK/Fq , and
HK is a finite-type variety over Fq . Let η be the generic point of HK/Fq , and
write η for the geometric point over η and Fq (η)sep for the separable algebraic
closure Fq (η)sep of Fq (η) in Fq (η).
Take an odd prime # = p, and consider the #-adic Tate module T (Yη )
for the generic fiber Yη of Y. We consider the image of the Galois action
G := Im(Gal(Fq (η)sep /Fq (η))) in GLO ×O (T (Yη )). Then, by Zarhin’s result
([DAV] Theorem V.4.7), the Zariski closure over Q of G is a reductive subgroup
G of GLQ ×Q (T (Yη )⊗Q), and G is an open subgroup of G(Q ). Moreover, by
Zarhin’s theorem, the centralizer of G in EndQ ×Q (T (Yη )⊗Q) is End(Y)⊗Q.
Since the reductive subgroups of GL(2) either are tori or contain SL(2) (cf.
[GME] Corollary 4.3.14 in Sect. 4.3.5), the derived group G1 (Q ) of G(Q ) has
to be SL2 (Q × Q ).
By a geometric version of Chebotarev’s density theorem for function fields
(cf. [Se1] Theorem 7; see also [L]), we can find a set of closed points u ∈
HK (F) with positive density such that the Zariski closure in G of the subgroup
generated by the Frobenius element F robu ∈ Im(Gal(Fq (η)sep /Fq (η))) at u
with πj (u) = uj [uj ∈ IK (F)] is a torus containing a maximal torus Tu =
(Tu1 × Tu2 ) ∩ G1 of the derived group G1 of G. In particular, the centralizer
of Tu in G1 is itself. Thus, Yu is isogenous to a product of two nonisogenous
elliptic curves Y1 = Eu1 and Y2 = Eu2 defined over a finite field.
The endomorphism algebra Mj = EndQ (Yj ) is an imaginary quadratic field
of Q generated over Q by the relative Frobenius map φj induced by F robu ,
and M1 = M2 . The relative Frobenius map F robu acting on X∗ (Iu1 ) ∼= Zp has
(1−c)σ
one eigenvalue: φ1 for the CM type Σ1 = {σ} of Y1 , which differs from
144 3 Invariants, Shimura Variety, and Hecke Algebra

the eigenvalues of φ2 ∈ End(Y2 ) on X∗ (Iu2 ) ∼ = Zp . Since we have proven that

over the open dense subscheme U of H, the formal completion of U at u ∈ U
with u = (u1 , u2 ) ∈ X ⊂ V 2 is canonically isomorphic to a formal subtorus
Z ⊂ Iu1 × Iu2 with cocharacter group X∗ (Z)  ∼= Zp , we may assume that our
point u = (u1 , u2 ) as above is in the (open dense) image UK of U in HK .
Projecting X∗ (Z)  down to the left and right factors IK , the projection map
X∗ (Z) → X∗ (Iuj ) is actually an injection commuting with the action of F robu .
Thus, F robu has more than one distinct eigenvalue on the Zp -module X∗ (Z) 
Q
of rank 1, which is a contradiction. Thus, we conclude that End (Y) = M2 (Q)
for any choice of small open compact subgroups K maximal at p.
As we have remarked at the beginning, H y ⊂ H  z2 ⊂ I × I is given by
0

{t, t β 1−c 
)|t ∈ Gm } for nonzero β ∈ O(p) . Suppose that y corresponds to L,
and so H  m ⊗L. On the other hand, we have the skew-
y ⊂ I× I coincides with G
diagonal Δβ = Δ1,β = {(z, ρ(β)(z))|z ∈ I} ⊂ I ×I. The formal completion Δ β
along (z0 , z0 ) therefore coincides with H y and Δβ = Gm ⊗ L ⊂ H  (z ,z ) inside
0 0

I . Thus, Δβ ⊂ H. By the irreducibility of H, we conclude that H = Δβ . 
2

There are two ways of proving Theorem 3.44. One is an induction reducing
things to Theorem 3.43, whose details we give in Chap. 11. Here is a brief
sketch of the second proof, which is based on the argument in [Ch1] Sect. 8. By
using Chai’s globalization of the Serre–Tate coordinate in [Ch1] Sect. 2, we find
a dense open subscheme Y lin ⊂ Y [y ∈ Y lin ] such that Y is locally linear at
every closed point of Y lin (see Sect. 11.1.1 for local linearity). The existence of
Y lin ⊂ Y follows basically from Proposition 5.3 in [Ch1] and its proof (applied
to Y not X). Consider the abelian scheme Y = Em ×V m Y . Then EndQ (Y/Y ) is
isomorphic to either Qm or Qm−2 ×M2 (Q), because Y is dominant over V m−1
and V by the two projections. Then in a manner similar to the above sketch
of the proof of Theorem 3.43, we can prove the impossibility of EndQ (Y/Y ) ∼ =
m Q
Q . Thus, we have End (Y/Y ) = Q ∼ m−2
× M2 (Q); in other words, for an
index i < m, the ith factor Yi obtained by pulling back the ith factor E
of Em to Y is isogenous to the last factor Ym . This isogeny is induced by
a nonzero α/β ∈ M ∼ Q
= End (Ex ) with α, β ∈ O. Then we conclude that

X ⊃ S m−1 
× Δ(α,β) for Δ(α,β) plugged in the product of the ith and mth
copies of V in V m , and hence X has the desired form.
4
Review of Scheme Theory

Elliptic curves are algebraic groups in addition to being algebraic curves; a

modular form classifies elliptic curves by assigning a value in a ring A to
an elliptic curve with some extra structures defined over A. From a different
viewpoint, automorphic forms are generally defined on the adele points of a
linear algebraic group; in particular, modular forms are functions on GL2 (A)
(e.g., [AAG]). Thus, a minimal amount of knowledge of group schemes is
necessary to describe elliptic curves and modular forms. Group schemes are
best understood from the functorial viewpoint of scheme theory, regarding a
scheme as a functor from the category of algebras to sets taking each algebra
R to the set of R-rational points S(R) of the scheme S.
In a standard text, one first introduces the category of affine schemes as
the category of local ringed spaces constructed from the spectrums of commu-
tative rings with identity. Then, gluing affine schemes, again as a local ringed
space, one constructs the category of schemes. After these basics, usually one
identifies (by tautology; see Lemma 4.17) the schemes with the associated
covariant functor from the category of commutative rings (with identity) into
the category of sets. This functorial point of view is natural because a closed
algebraic subvariety X in a projective space over a ring A associates with
each A-algebra R the set X(R) of points with coordinates in R (which is the
covariant functor associated with X).
Since there are many textbooks on the geometric treatment of algebraic
geometry (such as [ALG] and [GME] Chap. 1), in this chapter, assuming some
knowledge of the standard geometric theory of schemes, we try to facilitate a
smooth transition to our functorial viewpoint. If the reader has good experi-
ence in dealing with schemes as functors, he or she can skip this chapter (and
use it as a dictionary between geometric theory and functorial theory).

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 145

in Mathematics, DOI 10.1007/978-1-4614-6657-4 4,
© Springer Science+Business Media New York 2013
146 4 Review of Scheme Theory

4.1 Functorial Algebraic Geometry

In this section, we briefly review definitions and results in functorial algebraic
geometry as succinctly as possible in a style suitable to deal with group
schemes (cf. [RAG] I.1). To make our exposition short and to quickly reach
the core of the theory necessary to our later treatment, we define schemes
as covariant functors outright, and in this sense our exposition is unconven-
tional. Since the spectrum Spec(A) over the base ring B [or equivalently,
over the base scheme Spec(B)] is traditionally first defined as a local ringed
space made up of prime ideals of A with Zariski topology, we often write
SA for the associated covariant functor defined on the category of B-algebras
R → SA (B) = HomB-alg (A, R) only in this chapter and the next [later we
write this functor as R → SpecB (A)(R), identifying the functor and the
scheme]. All rings R we consider are commutative and have the identity ele-
ment 1R , and we denote by 0R the zero element of R.

4.1.1 Affine Variety

Let k be an algebraically closed field. A Zariski closed subset V in k n is

defined by the zero set of finitely many polynomials f1 , . . . , fm ∈ k[X] =
k[X1 , . . . , Xn ]; hence, V = {(x = (x1 , . . . , xn ) ∈ k n |f
jm(x) = 0 (j = 1, . . . , m)}.
The polynomials f1 , . . . , fm generate an ideal I = j=1 k[X]fj ⊂ k[X], and

V = V (I) = {x ∈ k n |f (x) = 0 for all f ∈ I}.

Thus, we write this closed set as V = V (I) for the ideal I. Since k[X] is
noetherian, an ideal I is generated by finitely many polynomials; hence, any
Zariski closed subset has the form V (I) with an ideal I.
5 V (k[X]) = ∅, V ((0)) = k , V (I ∩ J) = V (I) ∪ V (J),
n
It iseasy to verify
and V ( i∈I Ii ) = i∈I V (Ii ). Thus, the family of subsets of the form V (I)
for ideals I satisfies the axiom of closed subsets of k n , giving the Zariski
√
topology on k n . √
By Hilbert’s zero theorem (cf. [CRT] Sect. 5), V (I) = V ( I)
for the radical I = {f ∈ k[X]|f n ∈ I for some 0 < n ∈ Z}. Thus, the
association {ideals of k[X]} → {Zariski closed subsets of k n } given by I →
V (I) is surjective but not injective.
For any k-algebra R, define

VI (R) = {x = (x1 , . . . , xn ) ∈ Rn |f (x) = 0 for all f ∈ I}.

Then R → VI (R) is a covariant functor from the category of k-algebras into

sets (see the following section for the definition of functors), as any k-algebra
homomorphism φ ∈ Homk-alg (R, R ) induces a map VI (φ) : VI (R) → VI (R )
given by (x1 , . . . , xn ) → (φ(x1 ), . . . , φ(xn )), which satisfies VI (φ ◦ φ) =
VI (φ ) ◦ VI (φ). If α ∈ VI (R), we have a k-algebra homomorphism φα :
k[X] → R given by φα (f (X)) = f (α) for f (X) ∈ k[X] = k[X1 , . . . , Xn ].
Since f (α) = 0 for all f ∈ I, φα factors through k[X]/I. Thus, we get
 4.1 Functorial Algebraic Geometry 147

a map φR : VI (R) → Homk-alg (k[X]/I, R), sending α ∈ VI (R) to φα .

For any given ϕ ∈ Homk-alg (k[X]/I, R), it is plain that ϕR = φα for
α = (ϕ(X1 ), . . . , ϕ(Xn )). Therefore,
φ : VI (?) → Homk-alg (k[X]/I, ?) is an isomorphism of functors. (4.1.1)
√
Even if V (I) = V ( I), it is obvious that VI = V√I as functors, as easily
√ √
checked Homk-alg (k[X]/ I, k[X]/I) = Homk-alg (k[X]/I, k[X]/I) if I = I.
We call the functor V√I an affine variety, which is a reduced affine k-scheme
(a general definition of k-schemes will be given in a following section).
If W ⊂ k r is another Zariski closed subset defined by an ideal, J ⊂ k[Y ] =
k[Y1 , . . . , Yr ]. A map ϕ : V → W is a regular map if there exists a set of
polynomials ϕ1 , . . . , ϕr in k[X] such that ϕ(x) = (ϕ1 (x), . . . , ϕr (x)) ∈ k r
for all x ∈ V . This induces a morphism of functors VI → VJ given by ϕR :
VI (R) → VJ (R) with ϕR (x) = (ϕ1 (x), . . . , ϕr (x)) for all x ∈ VI (R) ⊂ Rn . The
set of polynomials ϕ = (ϕ1 , . . . , ϕr ) gives rise to a k-algebra homomorphism
ϕ : k[Y ] → k[X] given by ϕ(Yj ) = ϕj (X). It induces, therefore, a k-algebra
homomorphism ϕ : k[Y ] → k[X]/I by composing the projection k[X] 
k[X]/I. If f (Y ) ∈ J, then ϕ(f (Y )) = f (ϕ1 (X), . . . , ϕr (X)) mod I. Since
ϕ(x) = (ϕ1 (x), . . . , ϕr (x)) ∈ W for all x ∈ V , we get ϕ(f (Y ))(x) = 0; thus,
√
by Hilbert’s zero theorem, we conclude that ϕ(f (Y )) ∈ I. Thus, ϕ induces
√ √ √ √
ϕ : k[Y ]/ J → k[X]/ I. In particular, if I = I and J = J, we get
HomCOF (VI , VJ )  ϕ → ϕ ∈ Homk-alg (k[Y ]/J, k[X]/I).
As we will see in (4.1.5), this is an isomorphism, so the left-hand side is a set.
In essence, knowing the affine variety VI is equivalent to knowing the algebra
k[X]/I (cf. Yoneda’s lemma; see Lemma 4.17).

4.1.2 Categories
We give a brief outline of the definition of categories. A category C consists
of two data: objects of C and morphisms of C. For two objects X and Y of C,
we have a set HomC (X, Y ) of morphisms satisfying the following three rules:
(Ct1) For three objects X, Y , Z, there is a composition map:
HomC (Y, Z) × HomC (X, Y ) → HomC (X, Z) : (g, f ) → g ◦ f.
f g h
(Ct2) (Associativity). For three morphisms X − → Y −→ Z − → W , we have
h ◦ (g ◦ f ) = (h ◦ g) ◦ f .
(Ct3) For each object X, there is a specific element 1X ∈ HomC (X, X) such
that 1X ◦ f = f and g ◦ 1X = g for all f : Y → X and g : X → Z.

For two objects X and Y in C, we write X ∼ = Y if there exist morphisms

f : X → Y and g : Y → X such that f ◦ g = 1Y and g ◦ f = 1X . Often C is a
subcategory of SET S, and in that case, 1X is given by the identity map idX ;
so, in such a case, we write idX for 1X .
148 4 Review of Scheme Theory

Example 4.1 A list of examples of categories: In the table below, X denotes

a given topological space (it is often the underlying topological space of a
scheme). See [GME] Chap. 1 for a brief outline of the traditional theory of
schemes and its language (see [EGA] for real details). We will recall a functo-
rial definition of scheme in a couple of sections ahead.
Category Objects Morphisms
SET S Sets Maps between sets
AB Abelian groups Group homomorphisms
ALG Algebras Algebra homomorphisms
ALG/B B-algebras B-algebra homomorphisms
 /B
ALG Complete B-algebras Continuous B-algebra homomorphisms
O(X) Open subsets in X Inclusions
P S(X) Presheaves on X Morphisms of presheaves
S(X) Sheaves on X Morphisms of presheaves
QS(X) Quasicoherent sheaves Morphisms of presheaves
SCH/S S-schemes Morphisms of functors/S
GSCH/S Group S-schemes Group homomorphisms of SCH/S
BT/S Barsotti–Tate groups/S Morphisms of GSCH/S
ELL/SCH Elliptic curves E/S Morphisms of GSCH/S
M OD/B B-modules B-linear maps
In the above table, ELL/SCH is actually a fiber category over the category
SCH of schemes. This means that each elliptic curve E is defined over a

scheme S, and HomELL (E/S , E/S  ) is made up of a commutative diagram

E −−−−→ E
⏐ ⏐
⏐ ⏐
. .
S −−−−→ S 
with the top arrow sending the origin of E to that of E  (see Sect. 6.1.1 for a
more precise description of this).
A category C  is a subcategory of C if the following two conditions are
satisfied:
(i) Each object of C  is an object of C and HomC  (X, Y ) ⊂ HomC (X, Y ).
(ii) The composition of morphisms is the same in C and C  .
A subcategory C  is called a full subcategory of C if the sets of homomorphisms
are equal: HomC  (X, Y ) = HomC (X, Y ) for any two objects X and Y in C  .

4.1.3 Functors

A covariant (resp., contravariant) functor F : C → C  is a rule associating

an object F (X) of C  and a morphism F (f ) ∈ HomC  (F (X), F (Y )) [resp.,
 4.1 Functorial Algebraic Geometry 149

F (f ) ∈ HomC  (F (Y ), F (X))] with each morphism f : X → Y of C. We

require F (1X ) = 1F (X) and

F (f ◦ h) = F (f ) ◦ F (h) [resp., F (f ◦ h) = F (h) ◦ F (f )]. (4.1.2)

Example 4.2 Let X be a topological space. Then the category O(X) of open
sets consists of open subsets and inclusions:

Inc : U → V if U ⊂ V
HomO(X) (U, V ) =
∅ otherwise.

Then a presheaf F is a contravariant functor from O(X) into AB.

A morphism f between two contravariant functors F , G : C → C  is a
system of morphisms {φX ∈ HomC  (F (X), G(X))}X∈C , making the following
diagram commutative for all u ∈ HomC (X, Y ):
F (u)
F (Y ) −−−−→ F (X)
⏐ ⏐
⏐
φY .
⏐φ
. X (4.1.3)
G(Y ) −−−−→ G(X).
G(u)

In general, the totality of morphisms between two functors may not be a

set; thus, we cannot define the category of contravariant functors outright by
the collection of all functors from C to C  . However, we pretend to have the
“category” of contravariant functors CT F (C, C  ) using the above definition of
morphisms between functors. Similarly, we have the “category” COF (C, C  )
of covariant functors by reversing the direction of morphisms F (u) and G(u).
In practice, we impose some conditions on functors in these “categories” to
have a well-defined full subcategory (this does not pose any real problems as
long as we are careful).
Under the notation introduced in Example 4.1, by definition, the category
of presheaves P S(X) on a topological space X is given by CT F (O(X), AB),
and S(X) and QS(X) are full subcategories of P S(X). Following the tradi-
tion, for a presheaf F ∈ P S(X), we write Γ (X, F ) = H 0 (X, F ) for F (X).
Heuristically, a sheaf is a presheaf that is determined by local data (whose
exact meaning will be given later in different disguises). If one believes this
prosaic definition, one might imagine that collecting somehow locally deter-
mined “sections” in the image of a given presheaf, we would be able to make
a sheaf out of a presheaf in a universal way. Indeed, the sheafication F → F #
(defined in [GME] Sect. 1.1.2) is a covariant functor from P S(X) into S(X),
satisfying the following universal property: We have a morphism of presheaves
ι : F → F # such that for any morphism φ : F → S for a sheaf S, we have a
unique morphism φ# : F # → S such that φ# ◦ ι = φ. In particular, F → F #
is the identity on S(X). See Sect. 4.1.10 for more details.
150 4 Review of Scheme Theory

The association Spec : A → Spec(A) for each algebra A is a contravariant

functor from ALG into AF F . For each A-module M , the association M → M 6
is a functor from M OD/A into QS(Spec(A)). These are standard construc-
tions that can be found in any introductory book on algebraic geometry; for
example, see [GME] Sect. 1.2 (and Remark 4.20 in the text for a slightly non-
standard construction).
The functor Spec : ALG → AF F and the above functor, M OD/A →
QS(Spec(A)), have inverses given by AF F  X → Γ (X, OX ) ∈ ALG and
QS(Spec(A))  F → Γ (Spec(A), F ). We see Spec(Γ (X, OX )) ∼ = X and
Γ (Spec(A), OSpec(A) ) = A, canonically. When we have two functors F : C → C 
and G : C  → C such that F (G(X)) ∼ = X and G(F (Y )) ∼ = Y for each object
X ∈ C and Y ∈ C, we say that C is equivalent to C  and write C ≈ C  . Thus,


AF F ≈ ALG and QS(Spec(A)) ≈ M OD/A . When a functor F : C → C  gives

an equivalence of C with a full subcategory of C  , we call F fully faithful.
If F, G : C → C  for a subcategory C  of SET S are functors, and
F (A) ⊂ G(A) for all A ∈ Ob(C), we call F a subfunctor of G. Here,
for φ ∈ HomC (A, A ), G(φ) induces F (φ) [in other words, the inclusion
iA : F (A) → G(A) is a functor morphism]. If Gi ⊂ G are subfunc-
tors indexed
5 by an index set I, assuming intersection exists in C  , clearly
A → i∈I Gi (A) ⊂ G(A) is a subfunctor of G. We call this functor the inter-
section of all Gi in G.
We can also define the product of functors F, G : C → SET S by putting
(F × G)(A) := F (A) × G(A) (the set-theoretic product) with (F × G)(φ) =
F (φ) × G(φ). If f : F → S and g : G → S are morphisms of functors
F, G, S : C → SET S, we define the fibered product F ×S G : C → SET S by

A → (F ×S G)(A) = {(x, y) ∈ F (A) × G(A)|fA (x) = gA (y)} (4.1.4)

with (F ×S G)(φ)(x, y) = (F (φ)(x), G(φ)(y)). If, further, f : F → S and

g : G → S are inclusions of functors, identifying F and G with subfunctors of
S by f and g, it is plain that F ×S G(R) = F (R) ∩ G(R) = (F ∩ G)(R) in S.
If f : X → Y is a morphism in COF (C, SET S) and Y  ⊂ Y is a
subfunctor, we define its pullback functor by f −1 (Y  ) ∈ COF (C, SET S)
by f −1 (Y  )(A) = fA−1 (Y  (A)). Clearly, f −1 (Y  ) is a subfunctor of X as
f −1 (Y  ) = X ×Y Y  .

4.1.4 Affine Schemes

As we remarked, knowing the affine variety VI is equivalent to knowing the

algebra A = k[X]/I. So we may start with a k-algebra A in place of the
zero set V of the ideal I to make a theory. Slightly more generally, writ-
ing B for a fixed-base commutative ring B, we consider a B-algebra A. The
affine B-scheme S = SA = SpecB (A) associated with A is a functorial rule
of assigning to each B-algebra R the set given by S(R) = HomB-alg (A, R).
When the underlying base algebra B is evident in the context, we simply write
 4.1 Functorial Algebraic Geometry 151

Spec(A) for SpecB (A). Although Spec(A) has another aspect of a topological
local ringed space as described in, for example, [GME] Sect. 1.2, here we con-
centrate on its functorial property. Since the category SCH/B of B-schemes
is a full subcategory of COF (ALG/B , SET S), this is legitimate (see [GME]
Sect. 1.4.3 and Lemma 4.17 in the text). Hereafter we simply write CB for
COF (ALG/B , SET S), which is the biggest “category” containing our geo-
metric objects. As we remarked already, COF (ALG/B , SET S) is not really
a category in the true sense [i.e., HomCOF (F, G) may not be a set], but our
category of schemes SCH/B is defined later, imposing a sheaf condition to
ensure that it is a category by Yoneda’s lemma (cf. Lemma 4.17).
The set SA (R) is called the set of R-rational points (or R-points) of SA .
A B-morphism φ : SA → SC is given by φ(P ) = P ◦ φ for an underlying
B-algebra homomorphism φ : C → A satisfying the following commutative
diagram:
P
A −−−−→ R
7 7
⏐
φ⏐
⏐P ◦φ
⏐
C C.
In other words, HomALG/B (C, A) → HomAF F (SA , SC ) (by φ → φ). By defi-
nition, we have the following properties of the functor SA :
f g
(F1) If R −→ R − → R are B-algebra homomorphisms, then we have maps
f∗ : SA (R) → SA (R ) and g∗ : SA (R ) → SA (R ) given by f∗ (P ) = f ◦P
and g∗ (Q) = g ◦ Q, and we have (g ◦ f )∗ = g∗ ◦ f∗ .
(F2) If R = R and g as above is the identity map idR : R → R , we
have idR ,∗ ◦f∗ = f∗ . If R = R and f as above is the identity map
idR : R → R, we have g∗ ◦ idR,∗ = g∗ .
(F3) For the identity map idR : R → R, idR,∗ : SA (R) → SA (R) is the
identity map of the set SA (R).
In short, R → SA (R) is a covariant functor of ALG/B into SET S, hence an
object in CB . For two affine schemes S and T over B, a morphism φ : S → T
is a family of maps φR : S(R) → T (R) indexed by B-algebras R such that the
following diagram commutes for any B-algebra homomorphism α : R → R :
φR
S(R) −−−−→ T (R)
⏐ ⏐
⏐
α∗ .
⏐α
. ∗
S(R ) −−−−→ T (R ).
φR 

We often write HomB (S, T ) = HomCB (S, T ) for the set of all morphisms from
S into T . If S = SA and T = SC , we have HomB (S, T ) = HomALG/B (C, A)
by Yoneda’s lemma (see (4.1.5), Exercise 2.2, and Lemma 4.17).
By definition, we also have the following properties of affine schemes:
152 4 Review of Scheme Theory
φ ψ
(cf1) If A −
→C−
→ D are B-algebra homomorphisms, then we have morphisms
ψ φ
of schemes SD − → SC − → SA such that φ ◦ ψ is associated with ψ ◦ φ.
(cf2) If A = C and φ in (cf1) is the identity map idA of A, we have idA ◦ψ = ψ.
If C = D and ψ in (cf1) is the identity map idC of C, we have φ◦idC = φ.
(cf3) For the identity map idA : A → A, idA : SA (R) → SA (R) is the identity
map for all B-algebras R.
Thus, the functor A → SA is a contravariant functor from ALG/B into
CB . One of the most basic facts in functorial algebraic geometry is the full-
faithfulness of this functor (e.g., [GME] Sect. 1.4.3):
HomALG (A , A) ∼
/B = HomB (SA , SA ) via α ↔ α. (4.1.5)
A main point of the proof of this fact is to construct from a given morphism
φ ∈ HomB (SA , SA ) a B-algebra homomorphism ϕ : A → A such that ϕ = φ.

Exercise 4.3 Let ϕ = φA (idA ) ∈ SA (A) = HomALG/B (A , A), where idA ∈
SA (A) = HomALG/B (A, A) is the identity map. Then prove that ϕ = φ.
Here are some examples of affine schemes:
Example 4.4 Take f (X, Y, Z) = X p + Y p − Z p for a prime p, and let B = Z.
Then consider A = Z[X, Y, Z]/(f (X, Y, Z)). For each algebra R, we claim
SA (R) ∼
= {(x, y, z) ∈ R3 |xp + y p = z p }.
Indeed, for each solution P = (x, y, z) of Fermat’s equation in R, we define
an algebra homomorphism φ : B[X, Y, Z] → R by sending polynomials
Φ(X, Y, Z) to its value Φ(x, y, z) =: φ(Φ) ∈ R. Since Φ ∈ (f (X, Y, Z)) ⇔
Φ = Ψ f , we find that φ(Ψ f ) = Ψ (x, y, z)f (x, y, z) = 0; so φ factors through
the quotient A, getting φ ∈ SA (R). In this way, we get an injection from the
right-hand side to SA (R). If we start from φ : A → R in SA (R), we find

0 = φ(0) = φ(X p + Y p − Z p ) = φ(X)p + φ(Y )p − φ(Z)p .

Thus, (x, y, z) := (φ(X), φ(Y ), φ(Z)) is an element in the right-hand side,

getting the isomorphism. By Fermat’s last theorem, we have

SA (Z) ∼
= {(a, 0, a), (0, b, b), (c, −c, 0)|a, b, c ∈ Z} if p is a prime ≥ 3.

There is a simpler example: We have

SZ[X1 ,...,Xn ] (R) = Rn via φ → (φ(X1 ), . . . , φ(Xn )).
Often SZ[X1 ,...,Xn ] is written as An and is called the affine space of dimension
n. When we regard An as a functor having values in AB, we write Gna (the
additive group) for An [and Ga = G1a ]. We have an algebra homomorphism
B[X, Y, Z] → A for A in Example 4.4 sending Φ to (Φ mod f (X, Y, Z)). This
in turn induces a morphism i : SA → A3 , which is obviously injective.
An A-algebra A is of finite type over A if A ∼ = A[X1 , . . . , Xn ]/a for the
polynomial ring A[X1 , . . . , Xn ] of finitely many variables and an ideal a. If,
 4.1 Functorial Algebraic Geometry 153

further, a is generated by finitely many elements of A[X1 , . . . , Xn ], we call A

finitely presented over A (cf. [EGA] IV.1.4). If A is noetherian, A[X1 , . . . , Xn ]
is noetherian, and so a finite presentation of A[X]/a is automatic. However,
when we treat nonnoetherian rings (for example, if we want to show that
the classification functor of elliptic curves E/R given by R → {E/R }/ ∼ =
is a scheme), the finite-presentation property guarantees that the number of
equations defining affine scheme is finite (and hence the property is important
technically). The corresponding morphism SA → SA of affine schemes is also
called of finite type (resp., finitely presented) if A /A is of finite type (resp.,
finitely presented).
A morphism φ : SA → SA is flat if M → M ⊗A ,φ A is a left exact
functor from the category of A -modules to the category of A-modules. Here
the functor M → M ⊗A ,φ A is left exact if it preserves injective morphisms
of A-modules; that is,

Ker(ι ⊗ 1 : M ⊗A ,φ A → M  ⊗A ,φ A) = 0 if Ker(ι : M → M  ) = 0.

The morphism φ is faithfully flat if (i) it is flat and (ii) 0 → M → M  →

M  → 0 is exact if 0 → M ⊗A ,φ A → M  ⊗A ,φ A → M  ⊗A ,φ A → 0 is exact
for any sequence M → M  → M  of A -modules. We quote the following fact.

Proposition 4.5 Suppose that A is a noetherian B-algebra and A is an

A-algebra of finite type. Let M be an A -module of finite type.
1. {P ∈ Spec(A )|MP is flat over AP } is an open subscheme of SA .
2. If A is A-flat, the morphism SA → SA is an open map.
We refer the proof to [CRT] Theorem 24.3 for (1), [CMA] page 48 or [EGA]
IV.2.4.6 for (2).
A morphism φ : SA → SA is called finite if the A-module A (via φ) is of
finite type (that is, there exist a positive integer n and a surjective A-linear
map An  A ). If SA is finite flat, localizations Am at each prime ideal m of
A are free of finite rank over Am , and therefore, SA is also called locally free
of finite rank over SA if φ is finite flat.
For a maximal ideal m of A , φ is smooth at m if Am is flat over Am and
for any A-algebra R with a square-zero ideal I, HomALG/A (A /mn A , R) →
HomALG/A (A /mn A , R/I) is surjective for all positive integers n (that is, any
A-algebra homomorphism φ0 : A /mn A → R/I can be lifted to an A-algebra
homomorphism φ1 : A /mn A → R such that φ1 mod I = φ0 ). Here Am
is the localization of A at m and Am is the localization of A at φ−1 (m).
We call φ : SA → SA smooth if φ is smooth at all maximal ideals m of A.
Since smoothness at m is an “infinitesimal” property only depending modulo
a power of the maximal ideal, it only depends on the adic completion with
respect to the maximal ideal.
Suppose that B is a perfect field k and that SA is of finite type over Sk
(so K = A/m is a finite separable extension of k for each maximal ideal m
154 4 Review of Scheme Theory

of A). Then SA → Sk is smooth at m if and only if the m-adic completion

A = lim A/mn is isomorphic to a power series ring K[[X1 , . . . , Xn ]] for n =
←−n
dim A (cf. [BCM] IX.3.3). Thus, if B is a perfect field k and A is noetherian
of (Krull) dimension n, SA is smooth over Sk if and only if the local ring of A
at every maximal ideal m has completion isomorphic to (A/m)[[X1 , . . . , Xn ]]
(i.e., any f ∈ A has a Taylor expansion at m in (A/m)[[X1 , . . . , Xn ]]).
Exercise 4.6 Prove that Gna is smooth over SZ = Spec(Z).
For a maximal ideal m of A , φ : SA → SA is étale at m if SAm is flat over SAm
and for any A-algebra R with a square-zero ideal I, HomALG/A (A /mn , R) →
HomALG/A (A /mn , R/I) is bijective for all positive integers n.
Lemma 4.7 If A is a local ring étale finite over a local ring A sharing the
same residue field k, then A/mnA = A /mnA for all n; in particular, we have

 = lim A/mn = lim A /mn  = A

A  .
←− A ←− A
n n

Proof. By assumption, A/mA = A /mA = k for the maximal ideals mA and

mA . Since mA is square-zero ideal of A/m2A , taking R to be A/m2A , we have

HomALG/A (A /m2A , A/mA ) ∼

= HomALG/A (A /m2A , A/m2A ),

whose left-hand side is a singleton given by the projection A /m2A  k. Sim-

ilarly, taking R to be A /m2A ,

HomALG/A (A /m2A , A /mA ) ∼

= EndALG/A (A /m2A ),

whose left-hand side is a singleton. Thus,

HomALG/A (A /m2A , A/m2A ) = {ϕ2 } and EndALG/A (A /m2A ) = {idA /m2  }
A

are singletons. Since A /m2A is an A-algebra, HomALG/A (A/m2A , A /m2A ) =

{φ2 = ιA mod m2A }. Taking A = A, we find EndALG/A (A/m2A ) = {idA/m2A }.
Thus, ϕ2 ◦ φ2 = idA/m2A and φ2 ◦ ϕ2 = idA /m2  . So A /m2A = A/m2A .
A
We now proceed by induction on n assuming A/mn−1 A = A /mn−1
A and
 
prove that A/mA = A /mA . Since mA ⊂ A /mA and mA ⊂ A/mnA are
n n n−1 n n−1

square-zero ideals, taking (R, I) to be (A /mnA , mn−1  n n−1

A ) and (A /mA , mA ),
by the same argument as above, we find

HomALG/A (A /mnA , A/mnA ) ∼

= HomALG/A (A /mnA , A/mn−1
A ) = {ϕn }
HomALG (A /mn  , A /mn−1 ∼
 ) = EndALG (A /mn  ) = {idA /m2 }.
/A A A /A A A

Then for a unique A-algebra homomorphism φn = (ιA mod mnA ) : A/mnA →

A /mnA , we find ϕn ◦ φn = idA/mnA and φn ◦ ϕn = idA /mnA , and we are done.
 4.1 Functorial Algebraic Geometry 155

Corollary 4.8 Suppose that B = k is an algebraically closed field and that

A is a local k-algebra with residue field k. Then A/A is étale finite over A at
every maximal ideal m of A if and only if A = A ⊗A A m ∼=A m
m × · · · × A
(a finite product) for the m-adic completion A m of A.

Proof. Write m = mA (the maximal ideal of A). Since A /mA is a finite-

dimensional vector space over k = A/m, A /mA and A hasonly finitely
many maximal ideals, say, mi (i = 1, . . . , m). Since A /mn A = i A /mei i for
sufficiently large ei ≥ n, we have A  =  A  
i mi . Because of this, A is étale
over A at every mi if and only if A = lim A /mn A is étale over A
m for every
←−n
maximal ideal of A . Since Ami is étale over A = Am , we have Ami = A m , and
the desired equivalence.

We call φ : SA → SA étale if φ is étale at all maximal ideals of A .

Exercise 4.9 Suppose we have morphisms of B-schemes SA → SA → SA .
If SA is étale over SA and SA is smooth over SA , prove that SA is smooth
over SA . But if SA is smooth over SA and SA is étale over SA , is SA
smooth over SA ?

4.1.5 Zariski Open Covering

When we have a morphism of affine schemes φ : SA → SC , and if φ : C → A

is a surjective ring homomorphism, we call φ a closed immersion. Then φR
is injective (for any B-algebra R), and we identify SA with its image all the
time, so SA ⊂ SC . In this case, SA , regarded as a subfunctor of SC , is called
5 in SC . If Si ⊂ SC is closed for affine schemes {Si }i∈I , the intersection
B-closed
R → i∈I Si (R) is again an affine closed subscheme [e.g., Exercise 4.16 (2)].
Thus, we can give a topology on SC (R) for each R so that closed sets are
given either by the empty set ∅ or by those of the form SA (R) for a closed
immersion SA → SC . This topology is called the Zariski B-topology of SC .
When B is obvious in the context, we call it the Zariski topology on SC .
If B  is a B-algebra, we may regard A = B  ⊗B A as a B  -algebra by
b → b ⊗1. Then we get a new scheme SA over the ring B  , which is sometimes


written as SB  ×B SA and is called the fibered product of SA and SB  over B.

Indeed as a functor, it is identical to SB  ×SB SA [Exercise 4.16 (3–4)]. If we
have a point φ ∈ SA (R) for a B  -algebra R, we can extend φ : A → R to
φ : A = B  ⊗B A → R by φ (b ⊗ a) = bφ(a). Thus, φ → φ gives the natural
map SA (R) → SA (R) for all B  -algebras R. This map is an isomorphism,
because for any given φ ∈ SA (R), φ(a) = φ (1 ⊗ a) gives a point φ ∈ SA (R)
as long as R is a B  -algebra [Exercise 4.16 (3)]. However, a B  -closed subset
of SA may not be B-closed; hence, the Zariski topology depends on the base
ring B.
156 4 Review of Scheme Theory

Exercise 4.10 Let f : SA → SA be a morphism of affine scheme. If SA ⊂ SA

is a closed subscheme, prove that f −1 (SA ) is a closed subscheme (so a mor-
phism of affine schemes is “continuous” with respect to the Zariski topology).
Pick a non-nilpotent element f ∈ A. Then A = A/(f ) is a surjective image
of A. Thus, SA ⊂ SA is a closed subscheme. For each point φ ∈ SA (R),
f : φ → φ(f ) gives rise to a map fR : SA (R) → Ga (R) = R. This collection
of maps {fR }R can be easily checked to be a morphism SA → Ga of functors,
which we again call f : SA → Ga . In this way, we regard f ∈ A as a function
(or more precisely, a functor morphism) defined on SA with values in Ga . Any
B-algebra homomorphism (P : A → R) ∈ SA (R) factoring through A satisfies
f (P ) = P (f ) = 0. Thus, SA (R) = {P ∈ SA (R)|f (P ) = 0} (which is the zero
set of f ). We consider the ring of fractions Af = A[ f1 ] = { fan |0 ≤ n ∈ Z}.
Then the natural map b → 1b is a B-algebra homomorphism of A into Af , so
SAf ⊂ SA . If P ∈ SA (R) factors through Af , we have f (P ) := P (f ) ∈ R× , as
f ∈ A is invertible in Af . Thus, SA ⊃ SA  SAf , and SA (k) = SA (k)  SAf (k)
for any field k (which is a B-algebra). Hence, we call SAf an open subscheme
of SA , giving outside the zero set of the function f : P → f (P ).
Exercise 4.11 Prove that SA (k) = SA (k)  SAf (k) for any field k, and give
an example of a B-algebra R such that SA (R)  SA (R)  SAf (R).
More generally, a subfunctor U ⊂ SA is called an open subscheme if U is a
subfunctor and there exists a subset I ⊂ A such that

U (R) = UI (R) = {P ∈ SA (R)| f (P )R = R}
f ∈I
 (4.1.6)
= {P ∈ HomB-alg (A, R)| P (f )R = R}.
f ∈I

Obviously, for the ideal generated (I) by I, U(I) = UI , and we may assume
that I is an ideal. For I = (0A ), U(0) (R) = ∅ for any B-algebra R, and so ∅
is an open subscheme. Similarly, UA (R) = SA (R) for all R, so SA itself
 is an
open subscheme. If {Ii }i∈I is a family of ideals, we have Ui∈I Ii ⊃ i∈I UIi

and Ui∈I Ii (k) = i∈I UIi (k) if k is a field.

Exercise 4.12 Check that R → UI (R) is a subfunctor of SA , and verify the

following facts:
(i) SAf = UI if I = {f } for non-nilpotent f ∈ A;
(ii) UI ∩ UJ = UI·J for the ideal product I · J.

Exercise 4.13 If a nonempty open subscheme U ⊂ SA is isomorphic to an

affine scheme SA , prove that there exists a multiplicative set S ⊂ A such that
A is isomorphic as B-algebras to the ring of fractions S −1 A.
 4.1 Functorial Algebraic Geometry 157

Exercise 4.14 Let B = C and A = C[X, Y ] (the polynomial ring of the

indeterminates X and Y ). Define a closed subscheme SC of SA for C =
A/(X, Y ). Prove that there exists an open subscheme U of SA such that
U (k) = SA (k) − SC (k) for any field extension k/C, but U is not isomorphic
to any affine C-scheme.
Lemma 4.15 Let U, U  be open subschemes of SA . If U (k) = U  (k) for any
field k over B, we have U = U  .

Proof. Let U = UI and U  = UJ for ideals I and J. If U = U  , we can find a

B-algebra R such that P ∈ U (R), but P ∈ U  (R). Concerning P ∈ SA (R) =
HomB-alg (A, R), we find that P (I)R = R and P (J)R  R. Since P (J)R is a
proper ideal of R, we can find a maximal ideal m of R such that m ⊃ P (J)R
(cf. [CRT] Theorem 1.1). Let k = R/m and define P ∈ HomB-alg (A, k) by
composing P with the projection R  k. Then P ∈ U (k) and P ∈ U  (k).

Exercise 4.16 Prove the following facts:

1. A closed immersion i : SA → SC gives rise to an injection iR : SA (R) →
SC (R) for any B-algebrasR.
2. If i : SA ⊂ SC and j : SD ⊂ SC are closed, then R → SA (R) ∩ SD (R) is
closed in SC and is isomorphic to SE for E = A ⊗C D, where the tensor
product is taken with respect to the associated algebra homomorphisms
i : C → A and j : C → D. Moreover, Ker(i ⊗ j) = Ker(i) + Ker(j).
3. SA (R) ∼= SA (R) if A = B  ⊗B A and R is a B  -algebra, where B  is an-
other B-algebra. Here the left-hand side is considered an affine B-scheme
and the right-hand side is considered an affine B  -scheme.
4. For two B-algebras A and C, SA⊗B C (R) = SA (R) × SC (R) for any B-
algebra R. Hint: φ ∈ SA (R) and ψ ∈ SC (R); we associate φ ⊗ ψ ∈
SA⊗B C (R) given by (φ ⊗ ψ)(b ⊗ c) = φ(b)ψ(c). Thus, a product of affine
schemes is again an affine B-scheme. The scheme SA⊗B C is called the
fibered product of SA and SC over B.
Recall the simplified notation CB = COF (ALG/B , SET S). We can gen-
eralize open/closed subschemes to open/closed subfunctors in the following
way. A subfunctor U ⊂ X is called an open (resp., closed) subfunctor if, for
any affine B-scheme SA and any morphism f : SA → X, the pullback f −1 (U )
is an open (resp., closed) subscheme. So f : SA → X is “continuous” (and
X has the strongest “topology,” making f continuous). By Exercise 4.10, if
X ∼ = SA is affine, the definition of the closedness of U is equivalent to the
definition of closed affine subschemes. An open subscheme of an affine scheme
is determined by its value over fields (Lemma 4.15), and the value of an open
subscheme at a field is the complement of a closed subscheme. This shows
that if X ∼
= SA is affine, the definition of being open for U in X is equivalent
to the definition of an open affine subscheme.
Here Yoneda’s lemma is more general than Exercise 2.2:
158 4 Review of Scheme Theory

Lemma 4.17 For any X ∈ CB , we have a canonical isomorphism

ι : HomB (SA , X) ∼
= X(A)

given by ι(f ) = fA (idA ) for the identity map idA : A ∼

= A.
Taking X = SA , this proves (4.1.5).

Proof. We have ι well defined as above. Take a (variable) B-algebra R. Then,

for any φ ∈ HomB-alg (A, R) = SA (R), we have X(φ)◦fA = fR ◦SA (φ) as f is a
morphism of functors. Then, writing If = fA (idA ), we get fR (φ) = X(φ)(If )
as SA (φ)(idA ) = φ ◦ idA = φ. Since R is a variable, f is uniquely determined
by If . Thus, ι is injective. Conversely, we create the inverse map π of ι in
the following way. For any x ∈ X(A), we define π(x) ∈ HomB (SA , X) by
π(x)(φ) = X(φ)(x) for φ ∈ SA (R) = HomB-alg (A, R). We leave the reader to
verify ι(π(x)) = x. In this way, we can recover f = π(x) from x, and hence ι
is surjective.

Lemma 4.18 If U, U  ⊂ X ∈ CB are open subfunctors, then U = U  if

U (k) = U  (k) for all fields k over B.

Proof. Suppose that U = U  . Then we find a B-algebra A such that U (A) =

U  (A). Thus, we find P ∈ U (A) but P ∈ U  (A). By Lemma 4.17, we may
regard P ∈ HomB (SA , U ) ⊂ HomB (SA , X). Then P : SA (A) → X(A) and
idA ∈ P −1 (U (A)), but idA ∈ P −1 (U  (A)); hence, P −1 (U ) = P −1 (U  ). Then
by Lemma 4.15, we find a field k with P −1 (U )(k) = P −1 (U  )(k), and so
U (k) = U  (k). 


 family {Ui }i∈I of open subfunctors of X is called an open covering if X(k) =

A
i∈I Ui (k) for all fields k over B.
For a given X ∈ CB , we can think of the category O(X) of open sub-
functors of X, whose objects are made up of open subfunctors of X and
HomO(X) (U, U  ) is either the inclusion U ⊂ U  or the empty set according as
U is a subfunctor of U  or not. By Lemma 4.18, the category O(X) looks very
close to the category of open subsets of a topological space.

4.1.6 Zariski Sheaves

A functor X ∈ CB is called local if it satisfies the following set-theoretic exact

sequence for any open covering {Ui }i∈I of any object Y in CB :
 
HomCB (Y, X) → HomCB (Ui , X) ⇒ HomCB (Ui ∩ Uj , X), (4.1.7)
i∈I i,j∈I

in other words, writing Resi : HomCB (Y, X) → HomCB (Ui , X) for the
restriction to Ui and Resi,j : HomCB (Ui , X) → HomCB (Ui ∩ Uj , X) for
the restriction to Ui ∩ Uj , if Resi,j (αi ) = Resj,i (αj ) for all (i, j) with
 4.1 Functorial Algebraic Geometry 159

(αi ) ∈ i∈I HomCB (Ui , X), then αi = Resi (α) for all i for a unique α ∈
HomCB (Y, X). Thus, any morphism from Y to X is determined by the local
data αi . This is the least requirement for X being a geometric object, as a
morphism from a geometric object must be determined by local data.
A B-scheme is a local functor in CB that has an open covering by affine
B-schemes. For a B-scheme S, an S-scheme is a pair consisting of a morphism
ιX : X → S and a scheme X. We write SCH/S for the category of S-schemes.
A morphism of S-schemes φ : X → Y by definition satisfies ιY ◦ φ = ιX . If
X/S and Y/S are S-schemes, the fibered product functor X ×S Y is clearly an
S-scheme (so SCH/B has a fibered product; see [GME] Sect. 1.5.2).
A morphism X → Y of a B-scheme is separated if the diagonal subfunctor
ΔX/Y (R) = {(x, x) ∈ X(R) ×Y (R) X(R)|x ∈ X(R)} is a closed subscheme
of X ×Y X. We define a morphism of scheme f : X → S to be proper if the
following two conditions are satisfied by f :
1. f is separated and of finite type.
2. For any S-scheme T , the projection fT : XT = X ×S T → T is a closed
map (of the associated topological spaces).
f
A morphism X − → Y of a B-scheme is quasi-compact if, for any open
subscheme U ⊂ Y , the pullback functor f −1 (U ) is quasi-compact [i.e., any
open covering of f −1 (U ) has a finite subcovering].
As expected, we have (cf. [RAG] 1.8)
Lemma 4.19 An affine B-scheme X = SR is a B-scheme.
Here is a sketch of a proof.
Proof. We have X(A) = HomCB (SA , SR ) = HomALG/B (R, A) by Lemma 4.17
and (2.2). Thus, for an open affine covering {SAi }i∈I (for fraction rings Ai )
of SA , we need to prove exactness for X = SR of
 
HomCB (SA , X) → HomCB (SAi , X) ⇒ HomCB (SAi ∩ SAj , X),
i∈I i,j∈I

which turns out to be

 
HomALG/B (R, A) → HomALG/B (R, Ai ) ⇒ HomALG/B (R, Ai ⊗A Aj ),
i∈I i,j∈I

since SAi ∩ SAj = SAi ⊗Aj with Resi,j gives rise to Ai  a → a ⊗ 1 ∈ Ai ⊗A Aj .

By Yoneda’s lemma, the exactness of the above sequence is equivalent to the
exactness of  
A→ Ai ⇒ Ai ⊗A Aj .
i∈I i,j∈I

Since O(SA ) has a base of open subsets of the form SAf , we may assume
Ai = Afi for {fi }i∈I . Then Ai ⊗A Aj = Afi fj by a⊗ b → ab, and the exactness
of the above sequence follows from standard commutative ring theory (cf.
[ALG] II.2.2 or [GME] Sect. 1.2.1).  
160 4 Review of Scheme Theory

For A ∈ ALG/B , we have the structure morphism ιA : B → A given the

 structure on A, and hence ιA : SA → SB . Let X be a B-scheme; so
B-algebra
X = i∈I SAi for open affine subschemes SAi . Since X is local, we have the
exact sequence
 
HomCB (X, SB ) → HomCB (SAi , SB ) ⇒ HomCB (SAi ∩ SAj , SB )
i∈I i,j∈I

and {ιAi : SAi → SB }i is in the kernel of the second double arrows, and so
we have a unique structure morphism ιX : X → SB .
Let X be a B-scheme. A presheaf F on X is a contravariant functor from
O(X) to AB. A morphism of presheaves F → G is a morphism of contravari-
ant group functors. A sheaf F is a presheaf that satisfies the following exact
sequence (of abelian groups) for any open covering {Ui }i∈I of any object U
in O(X):


Resi  i,j (Resi −Resj )

0 → F (U ) −−−
i
−−→ F (Ui ) −−−−−−−−−−−→ F (Ui ∩ Uj ),
i∈I i,j∈I

where Resi indicates the restriction map F (U ) → F (Ui ), and Resi − Resj is
taken in F (Ui ∩ Uj ) after restricting to Ui ∩ Uj . The category of sheaves S(X)
is a full subcategory of the category P S(X) of presheaves. For a presheaf F
and an open subscheme U , often we write H 0 (U, F ) for F (U ) following the
tradition of cohomology theory. For any open subscheme U ⊂ X of a scheme
and a sheaf F on X, F induces a sheaf on U as any open subscheme of U is
open in X. We write F |U for the induced sheaf.
The stalk at P ∈ X(k) (for a field k) of a sheaf F is an abelian group given
by FP = limU H 0 (U, F ), where U runs over affine open subschemes such that
−→
P ∈ U (k) (such an open subscheme is called an open neighborhood of P ).
Since the stalk at P is determined by open affine neighborhoods of P , any
property of affine schemes determined by stalks can be extended to general
schemes; so, for example, flatness, smoothness, étaleness, and so on are well
defined for the general scheme morphism f : X → Y .
We call P a maximal point if it has an affine open neighborhood SA with
P ∈ SA (k) = HomALG/B (A, k) surjecting down to k. A point P ∈ X(k)
is called a geometric point if k is an algebraically closed field. A geometric
point may not be maximal as P : A → k may not be surjective for any open
neighborhood SA of P . For a geometric point P ∈ X(k), we sometimes write
k(P ) for the field of fraction of the image of P in k. For any integral domain
R, P ∈ X(R) induces a geometric point P ∈ X(k) for an algebraic closure k
of the field of fraction of R as we have a natural map X(R) → X(k).
Since a sheaf has values in abelian groups, it has a natural structure of
an additive category. We call a sequence of sheaves F → G → H exact if
FP → GP → HP is exact for stalks at all maximal points P . Then the
category of sheaves on X becomes an abelian category (see [GME] Sect. 1.4.4
 4.1 Functorial Algebraic Geometry 161

for abelian/additive categories). If f : X → Y is a morphism of B-schemes

and F is a sheaf on X, the direct image sheaf on Y , written as f∗ F , is defined
by f∗ F (U ) = F (f −1 (U )) for open subschemes U of Y .
We have a unique sheaf OS of “schematic functions” on S such that
OS (SA ) = H 0 (SA , OS ) = A for any affine open subscheme SA → S. Indeed,
for any open subscheme U ⊂ S, we have H 0 (U, OS ) = HomB (U, Ga ) as we
have HomB (SA , Ga ) = HomALG/B (B[X], A) ∼ = A by φ → φ(X). This sheaf is
called the structure sheaf of S. Since Ga is a ring scheme, OS (U ) = H 0 (U, OS )
is a ring. Thus, OS is a sheaf of rings (i.e., as a presheaf, OS has values in
ALG/B ). A scheme S is called reduced if H 0 (OS , U ) does not have nontrivial
nilpotent elements for all open subschemes U ⊂ S.
A sheaf F over a B-scheme S is called an OS -module if we have a functor
morphism OS × F → F , which gives rise to an OS (U )-module structure on
F (U ) for every open subscheme U ⊂ S. Consider a sheaf of rings A/S that is at
the same time an OS -module under the structure OS -algebra homomorphism
ιA : OS → A. Such a sheaf is called a sheaf of OS -algebras. We write the
category of OS -algebras as ALG/OS whose morphism f is a sheaf OS -algebra
homomorphism; that is, f : A → A is a morphism of functors from O(S)
to AB, and, at the same time, fU : A(U ) → A (U ) is an OS (U )-algebra
homomorphism.
We may replace SB by a general B-scheme S in the construction of
B-schemes. Consider the category CS = COF (ALG/OS , SET S). Since we
have a natural functor ALG/OS → ALG/B given by A → H 0 (S, A), we may
restrict SA for any B-algebra A to ALG/OS , getting SA ∈ CS . A subfunctor U
f
of X ∈ CS is called open/closedif f −1 (U ) is open for any morphism SA − →X
from an affine scheme SA . Here we define the pullback functor f −1 (U ) by
f −1 (U )(R) = fR−1 (U (R)). An open covering{Ui }i of Y ∈ CS is made up of
open subschemes Ui ⊂ Y such that Y (k) = i Ui (k) for any field k over the
algebra OS (U ). Here U runs over open affine subschemes of S. Using this
definition of open coverings, we call X ∈ CS local if it satisfies the sheaf ex-
act sequence (4.1.7) (replacing CB by CS ) for open coverings {Ui }i of Y . A
functor X ∈ CS is called S-schemes if it is local and covered by affine open
subschemes.
Pick A ∈ ALG/OS , and consider F ∈ CS = COF (SCH/S , SET S) given
by F (f : X → S) = HomOS -algebra (A, f∗ OX ). Here f∗ OX is a sheaf of OS -
algebras given by f∗ OX (U ) = OX (f −1 (U )). Since A and f∗ OX are local as
they are sheaves over S, the functor F is also local. Thus, F is an S-scheme. We
often write F = SpecS (A) and call it the relative spectrum of A. A morphism
f
X −→ S is called affine relative to S if X = SpecS (A) for a sheaf of OS -
algebras. By definition, for any affine open subscheme SA ⊂ S, f −1 (SA ) is an
affine scheme over A if and only if X = SpecS (A) (see [GME] Sect. 1.5.4).
For a scheme S, the presheaf n of nilradicals of OS sending an open
subscheme U ⊂ S to the nilradical of H 0 (U, OS ) is actually a sheaf. Its
sheaf quotient OS /n gives rise to a maximal reduced closed subscheme
162 4 Review of Scheme Theory

S red = SpecS (O/ n) called the reduced part of S. Clearly, the topological spaces
of S and S red are identical. A scheme S is integral if H 0 (U, OS ) is an integral
domain for all open subschemes U ⊂ S. The reduced part S red is a union
of maximal integral closed subschemes. Each maximal integral closed sub-
scheme of S is called an irreducible component of S. If S = Spec(A), for each
minimal prime ideal p of A, Spec(A/p) gives an irreducible component; thus,
minimal prime ideals are in bijection with irreducible components. Similarly,
irreducible components of a general scheme S are in bijection to subsheaves of
minimal prime ideals of OS . We call S an irreducible scheme if S red is integral.
See [ALG] Chap. 1 for the topological definition of irreducibility.
An OX -module F on a scheme X is called invertible or a line bundle if
there exists an open covering {Ui }i∈I of X such that F |Ui ∼ = OUi for each i.
An OX -module F is called quasi-coherent if we have a sheaf exact sequence
OXI
→ OX J
→ F → 0, where OX I
is the product of copies of OX indexed by
any set I. If we can take I and J as finite, the OX -module F is called coherent.
Remark 4.20 If X = SA is affine, for a quasi-coherent OX -module F ,
putting M = F (X), we have F (SAf ) = Mf = Af ⊗A M ; thus, F is
determined by M and sometimes written as M6. For any given A-module, we
6 0 6
have a unique sheaf M such that H (SAf , M ) = Mf (cf. [GME] Sect. 1.2.3).
Indeed, if we write Ga ⊗A M for the A-module functor R → R ⊗A M in CA ,
we have M6(U ) = HomCA (U, Ga ⊗A M ).

We write QS(X) for the full subcategory in S(X) of quasi-coherent OX -

modules. The morphisms of this category are defined to be OX -linear mor-
phisms in the category of (abelian) presheaves on X.
For a quasi-coherent OS -module M of a scheme S,
,
a(U ) = {f ∈ OS (U )|f · M(U ) = 0} = Ker(f → f · m)
m∈M(U)

is a subsheaf of ideals of OS (the annihilator ideal of M). Write its sheaf

quotient as OS /a, which is a sheaf of OS -algebras. We define Supp(M) =
SpecS (OS /a), which is a closed subscheme of S called the support of M. If
k is a field, we can check Supp(M)(k) = {x ∈ S(k)|Fx = 0}, and this is the
reason we call it a “support” of M (see [CRT] Sect. 4 for this fact).
Exercise 4.21 Let S be a scheme. Prove the following facts:
1. For a morphism of OS -modules f : M → M ,

Ker(f )(U ) = Ker(f : M(U ) → M (U ))

is a OS -submodule of M [in particular, U → Ker(f )(U ) is5a sheaf ].

2. For a set I of morphisms of OS -modules f : M → M , f ∈I Ker(f ) is
an OS -submodule of M (in particular, it is a sheaf ).
3. The presheaf a as above is a sheaf of OS -ideals.
 4.1 Functorial Algebraic Geometry 163
f
If X −
→ Y is a morphism of S-schemes, the direct image F → f∗ F gives a
covariant functor from QS(X) to QS(Y ). It has a left adjoint (contravariant)
functor f ∗ : QS(Y ) → QS(X). In other words, the contravariant functor
G → HomQS(Y ) (G, f∗ F ) [for F ∈ QS(X) and G ∈ QS(Y ))] is represented by
a quasi-coherent sheaf f ∗ G over X; hence, we have a canonical isomorphism
(of bifunctors) HomQS(Y ) (G, f∗ F ) ∼
= HomQS(X) (f ∗ G, F ). The sheaf f ∗ G is
called the inverse image of G (see [GME] Sect. 1.5.3).
Exercise 4.22 Using the functoriality of “⊗” and “HomA ”, check that if
X = SA and Y = SA and G = M 6, we then have f ∗ G = (M
⊗A A ).
f
A morphism X − → Y of B-schemes is a finite morphism if f∗ OX is a
coherent OY -module. If f is finite, for all fields k over B, the fiber of the map
fk : X(k) → Y (k) is finite. If this property of finiteness of the fiber is satisfied
for all fields k over B, f is called a quasi-finite morphism.
Exercise 4.23 Give an example of a quasi-finite morphism that is not finite.

Lemma 4.24 If a B-morphism X −

f ∼ SpecY (f∗ OX );
→ Y is finite, we have X =
hence, f is an affine morphism.
Proof. Let A = f∗ OX . Then SA (T ) = HomALG/OY (A, g∗ OT ) for any Y -
g
scheme T − → Y . In particular, SA (X) = HomALG/OY (A, A) has a canonical
element idA , which gives rise to a morphism f  : X → SpecY (A). For any max-
imal point y ∈ Y (k), Ay is a finite-type OY,y -module with Ay /my Ay , giving
rise to OX,f −1 (y) /my OX,f −1 (y) . By Nakayama’s lemma ([CRT] Theorem 2.2
and Lemma 10.8 in the text), we have OX,f −1 (y) = Ay . This shows that f 
gives rise to an isomorphism of all stalks, and hence f  is an isomorphism.
A scheme X ∈ SCH/B is locally noetherian if, for any open affine subscheme
SA of X, A is a noetherian ring. If, further, the topological space of X is
f
quasi-compact, X is called noetherian. A morphism X − → Y of B-schemes is
of finite type if f is quasi-compact and there exists an open covering {Ui }i of
Y such that f −1 (Ui ) is covered with (finitely many) affine open subschemes
f
SAj with Aj finitely generated over OY (Ui ). A B-morphism X − → Y is called
proper if (i) it is separated of finite type and (ii) for any Y -scheme T , the base
change fT : X ×Y T → T = Y ×Y T is a closed map of the corresponding
topological space. The valuative criterion of separatedness/properness is given
as follows:
Proposition 4.25 Suppose f : X → Y is a finite-type morphism with X
noetherian in SCH/B . Suppose we have a commutative diagram:
i
SK −−−X−→ X
⏐ ⏐
⏐ ⏐
. .
SV −−−−→ Y
iY
164 4 Review of Scheme Theory

for a valuation ring V with quotient field K in ALG/B . Then f is separated

(resp., proper) if and only if there exists at most one (resp., there exists a
unique) morphism i : SV → X making the above diagram commutative (after
inserting the diagonal arrow given by i).

See, for example, [ALG] II.4.7 for a proof.

Corollary 4.26 Let the notation be as in Proposition 4.25. If the morphism
f : X → Y is finite, it is proper.

Proof. We apply the above proposition. Since Spec(V ) is irreducible, reduced,

and affine, we may assume that X = Spec(A ) and Y = Spec(A) are irre-
ducible and reduced. Since X is finite over Y , A is integral over A. Then,
having the diagram
i
SK −−−X−→ X
⏐ ⏐
⏐ ⏐
. .
SV −−−−→ Y
iY

is equivalent to having
i
K ←−−
X
−− A
7 7
⏐
∪⏐
⏐∪
⏐
V ←−−−− A.
iY

Since the valuation ring is integrally closed in K, iX maps A into V and

hence induces SV → X with desired commutativity.

4.1.7 Sheaf of Differential Forms

Let S = SA for a B-algebra A and let R be an A-algebra. We have the

structure morphism X = SR → S. For each R-module M , an A-derivation
δ : R → M is an A-linear map satisfying δ(f g) = f δ(g)+gδ(f ) for all f, g ∈ R.
We write DerA (R, M ) for the R-module of A-derivations. Note that δ(1) =
δ(1 × 1) = δ(1) + δ(1), and δ(1) = 0. For a ∈ A, δ(a) = δ(a1) = aδ(1) = 0 by
the A-linearity of δ. Thus, each A-derivation kills A. Conversely, if a derivation
δ kills A, we see δ(ar) = aδ(r) + rδ(a) = aδ(r), and δ is A-linear.
In algebraic geometry, there is no naive definition of differentiation. How-
ever, we can think of derivations of the structure sheaf OX = R 8 for each
affine scheme X = Spec(R). Thus, if the covariant functor M → DerA (R, M )
from R–M OD to AB is representable by an R-module ΩX/S = ΩR/A , i.e.,
DerA (R, M ) ∼= HomR (ΩR/A , M ), we may think of ΩR/A as an analog of the
cotangent bundle in differential geometry. Indeed, we have the following:
 4.1 Functorial Algebraic Geometry 165

Proposition 4.27 Let R be an A-algebra. The functor R–M OD  M →

DerA (R, M ) ∈ AB is representable by an R-module ΩR/A with a universal
derivation d : R → ΩR/A , which is unique up to automorphisms of ΩR/A over
A. In other words, if δ : R → M is an A-derivation, then there is a unique
R-linear map φ : ΩR/A → M such that δ = φ ◦ d.
Proof. Take the free R-module F generated by symbols {dr|r ∈ R}, and make
a quotient by the R-submodule generated by d(ar + a r ) − adr − a dr and
drr − rdr − r dr for all r, r ∈ R and a, a ∈ A. Then the resulting R-module
ΩR/A represents the functor.
There is another construction of ΩR/A . The multiplication a ⊗ b → ab
induces an A-algebra homomorphism m : R ⊗A R → R taking a ⊗ b to ab. We
set I = Ker(m), which is an ideal of R⊗A R. Then we define ΩR/A = I/I 2 . It is
easy to check that the map d : R → ΩR/A given by d(a) = a⊗1−1⊗a mod I 2
is an A-derivation. Thus, we have a morphism of functors: HomR (ΩR/A , ?) →
DerA (R, ?) given by φ → φ◦d. Since ΩR/A is generated by d(A) as A-modules,
the above map is injective.
To show that ΩR/A represents the functor, we need to show the surjectivity.
Define φ : R × R → M by (a, b) → aδ(b) for δ ∈ DerA (R, M ). Then φ(ab, c) =
abδ(c) = φ(b, c) and φ(a, bc) = aδ(bc) = abδ(c) = bφ(a, c) for a, c ∈ R and
b ∈ A, and φ gives a continuous A-bilinear map. By the universality of the
tensor product, φ : R × R → M extends to an A-linear map φ : R ⊗A R → M .
Now we see that φ(a ⊗ 1 − 1 ⊗ a) = aδ(1) − δ(a) = −δ(a) and

φ((a ⊗ 1 − 1 ⊗ a)(b ⊗ 1 − 1 ⊗ b)) = −aδ(b) − bδ(a) + δ(ab) = 0.

Thus, φ|I -factors through I/I 2 = ΩR/A , and we have δ = φ ◦ d, as desired.

Remark 4.28 From the first proof of the above proposition, we get

ΩRf /Af = ΩR/A,f = ΩR/A ⊗R Rf

for a non-nilpotent element f ∈ A; hence, the sheaf Ω 8R/A over SR satisfies

8R/A ) = ΩR /A . Thus, the modules of differential glue well into a
H 0 (SRf , Ω f f
8R/A , as in Remark 4.20.
sheaf of differentials ΩSR /SA := Ω
More generally, let A and R be A-algebras. Write
a⊗b →ab a⊗b →ab
I = Ker(R⊗A R −−−−−→ R), R = A ⊗A A , I  = Ker(R ⊗A R −−−−−→ R ).

From the second construction of ΩR/A , we see that

ΩR/A ⊗R (A ⊗A R) ∼
= I/I 2 ⊗R R ∼
= I  /I  ∼
2
= ΩR /A
canonically. Thus, we get the following:
Corollary 4.29 Let R ← A → A be morphisms of algebras. Then we have
ΩR/A ⊗R (A ⊗A R) ∼
= ΩA ⊗A R/A .
166 4 Review of Scheme Theory

By the first proof of Proposition 4.27, any element of ΩR/A can be written
as i fi dri for some ri and fi in R. By Corollary 4.29, taking A = S −1 A for
a multiplicative subset S in A, we get

S −1 ΩR/A = ΩR/A ⊗R S −1 R = ΩS −1 A⊗A R/S −1 A = ΩS −1 R/S −1 A . (4.1.8)


Let f : X → S be a morphism of schemes.
 Let S = i Si [Si = Spec(Ai )]
be an open affine covering and X = α Xα [Xα = Spec(Rα )] be an open
affine covering of X so that f induces fα : Xα → Si(α) . Let Ωα be the sheaf
8R /A
Ω on Xα . Then by (4.1.8) and the universality, we have
α i(α)

ϕαβ : Ωα |Xα ∩Xβ ∼

= Ωβ |Xβ ∩Xα and ϕβγ ◦ ϕαβ = ϕαγ on Xα ∩ Xβ ∩ Xγ .

The sheaves Ωα ’s glue together into a quasi-coherent sheaf ΩX/S . It is coherent

if X is noetherian. This sheaf is called the sheaf of differential 1-forms on X
over S. By this construction, Corollary 4.29 implies
Corollary 4.30 Let X → Y ← Y  be morphism of schemes. Then we have
ΩX/Y ⊗OX OX×Y Y  ∼ = ΩX×Y Y  /Y  canonically. In particular, for a point y ∈
Y , writing the fiber of X at y as Xy , we have ΩX/Y ⊗OX OXy ∼ = ΩXy /y .
f
Here the fiber Xy of X − → Y at y ∈ Y as a functor is the pullback functor
f −1 (y), where y ⊂ Y is the subfunctor giving the point y. As a scheme, Xy is
given by the fibered product Xy = X ×Y y.
Remark 4.31 Write CX for the category of functors either from S(X) or
from SCH/X into SET S. Here SCH/X is the category whose object is a pair
(Y, f ) of a scheme Y . The set of morphisms is given by
  
HomSCH/X ((Y, f ), (Z, g)) = h ∈ HomSCH (Y, Z)g ◦ h = f .

We slightly generalize the notion of local functor from schemes to functors in

CX . A functor F ∈ CX is called local if it satisfies the following set-theoretic
exact sequence for any open covering {Ui }i∈I of any object Y in CX :
 
HomCX (Y, F ) → HomCX (Ui , F ) ⇒ HomCX (Ui ∩ Uj , F ).
i∈I i,j∈I

The functor F is local if F is determined by local data depending only on

a (whatever) small neighborhood of each point of X. If F is local and F
restricted to SCH/Y or S(Y ) is a representable functor whenever the X-
scheme Y is affine, then F is representable over SCH
 /X for the starting scheme
X. Indeed, taking an affine open covering X = α Xα , if Wα represents F
restricted over Xα , we have a canonical isomorphism ϕαβ : Wα |Xα ∩Xβ ∼ =
Wβ |Xα ∩Xβ with ϕβγ ◦ ϕαβ = ϕαγ on Xα ∩ Xβ ∩ Xγ by the universality. Thus,
Wα glues together well into an object W , which represents F over X.
 4.1 Functorial Algebraic Geometry 167

By the above remark, the sheaf ΩX/S represents a functor: QS(X)  F →

DerOS (OX , F ), where DerOS (OX , F ) is a sheaf generated by the presheaf
assigning the module DerOS (f (U)) (OX (U ), F (U )) to an open set U . Here
OS (f (U )) = limV ⊃f (U) OS (V ). The sheaf OX -dual TX/Y whose section over
−→
U is given by HomOU (ΩX/Y |U , OU ) is the tangent sheaf relative to X/Y . See
[ALG] II.8 or [GME] Sect. 1.5.1 for geometric details.
Lemma 4.32 For a finite flat S-morphism f : X → Y/S , f is étale if and
only if ΩX/Y = Coker(f ∗ : f ∗ ΩY /S → ΩX/S ) = 0.

Proof. Since f is affine by Lemma 4.24, we may assume that S = Spec(B),

X = Spec(A ) and Y = Spec(A). Suppose f is étale. Consider the exact
a⊗b →ab
sequence defining ΩA /A : 0 → I/I 2 → A ⊗A A /I 2 −−−−−→ A → 0. The map
A  a → a ⊗ 1 ∈ A ⊗A A /I 2 gives the section of multiplication a ⊗ b → ab,
so we have A ⊗A A /I = A ⊕ I/I 2 = A ⊕ ΩA /A with projection π to ΩA /A .
Note that HomALG/A (A , A ⊗A A /I 2 ) ∼= DerA (A , ΩA /A ) by φ → π ◦ φ.
Since I is a square-zero ideal of A ⊗A A /I 2 , by étaleness, DerA (A , ΩA /A ) =
 

{0}. Thus, ΩA /A = 0. The fact ΩX/Y = Coker(f ∗ : f ∗ ΩY /S → ΩX/S ) is a

restatement of the fundamental exact sequence (e.g., [CRT] Theorem 25.1 or
[GME] Proposition 1.5.4).
Here is an outline of the proof of the converse. Assume ΩA /A = 0 and
that we have A-algebra homomorphisms φ, ϕ : A → E extending an A-algebra
homomorphism A → E/J for a square-zero ideal J of an A-algebra E. Define
an A-algebra homomorphism Φ : A ⊗A A → E by Φ(a ⊗ b) = φ(a)ϕ(b).
Since φ mod J = ϕ mod J, we have Φ(I) ⊂ J and Φ(d(a) · d(a )) = 0 for
d(a) = a ⊗ 1 − 1 ⊗ a by computation. Thus, Φ induces ΩA /A = I/I 2 → J.
Since ΩA /A = 0, Φ|I = 0. Since φ(a) − ϕ(a) = Φ(d(a)) = 0, we get ϕ = φ,
φ φ0
and so A /A is unramified; that is, the lift A −
→ E of a given A −→ E/J is
unique.
The liftability of φ0 to φ follows by descent from the natural map A =
A ⊗A A → A ⊗A A ⊗A E = A ⊗A E. By ΩA /A = 0, this map satisfies


descent data for getting A → E (see [CRT] Sect. 28 or [EGA] IV.22, and
[GME] Sect. 1.11 for descent).

4.1.8 Scheme and Variety

In Sect. 4.1.6, we defined a B-scheme as a local functor in CB covered by open

affine subschemes. Here is a more down-to-earth definition. Let f : S1 → S
and g : S2 → S be morphisms in CB . Recall

S1 ×S S2 (R) = {(x, y) ∈ S1 (R) × S2 (R)|fR (x) = gR (y)} (∗)

as an object in CB . If T is the fourth functor with morphisms f  : T → S1

and g  : T → S2 such that g ◦ g  = f ◦ f  , we have a unique morphism
h : T → S1 ×S S2 given by h(x) = (f  (x), g  (x)) such that f ◦ h = g  ◦ h. In
168 4 Review of Scheme Theory

this sense, S1 ×S S2 satisfies the universality of the fibered product over S.

Now a finitely presented quasi-compact B-scheme S/B is a covariant functor
from the category ALG/B of B-algebras into SET S such that
1. We have finitely many affine schemes Si = Spec(Bi ) forfinitely presented
B-algebras Bi with inclusion Si → S such that S = i Si [i.e., S(k) =

i Si (k) for all fields k over B].
2. Si ∩ Sj = Si ×S Sj is Zariski open in Si and Sj for all pairs (i, j) of indices
(so {Si } is an open covering of S).
In practice, the scheme S is often constructed by gluing the affine schemes Si ,
and each φ ∈ S(R) is determined by its “restriction” φi to Si in the following
way: For each B-algebra R, noting that SR ×S Si = φ−1 (Si ) by (∗), we require
the local property that φ ∈ S(R) be determined by the tuple

{φi ∈ Hom(SR ×S Si , Si )}

such that φi and φj induce an identical morphism of SR ×S Si ×S Sj → Si ×S Sj

(ignoring the indices i with SR ×S Si = ∅); then we may define [again noting
that SR ×S Si ×S Sj = φ−1 (Si ∩ Sj )]
+   
φi ∈ Hom(SR ×S Si , Si ), and
S(R) = Si := (φi )i  .
φi and φj coincide on SR ×S Si ×S Sj for all i, j
i

Thus, S is a local functor covered with “finitely” many affine open sub-
schemes (this finiteness is “quasi-compactness,” as all affine schemes are quasi-
compact; see [GME] Sect. 1.2.2).
A B-morphism φ : S → T of schemes is a morphism in CB ; hence, the
category of B-schemes SCH/B is a full subcategory of CB . The category
SCH/B contains the category of affine B-schemes as a full subcategory (by
Lemma 4.17).
Let φ : S → T be a morphism of B-schemes.
 Covering T by affine schemes
{SAi }i for B-algebras Ai , that is, T = i SAi , then φ−1 (SAi ) can be covered
again by suitable affine schemes SAij for Ai -algebras Aij . If SAij is smooth
(resp., étale) over SAi for all i and j, we call S is smooth (resp., étale) over T .

A separated geometrically reduced scheme V of finite type over a field k is

called an algebraic variety in this book. Here the term “geometrically reduced”
means that V := V ×k k for an algebraic closure k of k is reduced (i.e., OV
does not have nontrivial nilpotent elements). We do not include connectedness
in the notion of “varieties.” If V/k is an irreducible variety, for any dense affine
open subscheme SA ⊂ V , the Krull dimension dim A is independent of the
choice of the affine open subscheme. We set dim V = dim A. A variety is
equidimensional if all irreducible components have equal dimension, written
as dim V .
A variety V/k (of equidimension n) over a perfect field k is smooth over
k if and only if its stalk at all maximal points has completion isomorphic to
 4.1 Functorial Algebraic Geometry 169

(OV,x /mx )[[X1 , . . . , Xn ]] (hence, also if and only if OV,x is regular for all max-
imal points x). A normal variety is a variety V whose stalk OV,x is integrally
closed in its total quotient ring at any closed point (hence at any point) of
V . In particular, a smooth variety is normal (as power series rings over a field
are normal).
A variety having dimension 1 is called a curve. Since any normal noetherian
domain of dimension 1 is a discrete valuation ring (cf. [CRT] Theorem 11.2),
a curve is smooth over a perfect field k if and only if it is normal (cf. Corol-
lary 2.11). A maximal point of a smooth curve C over a perfect field k gives
rise to a discrete valuation of the function field k(C) as seen in Sect. 2.1.5.
Conversely, each discrete valuation ring associated with a valuation trivial
over k gives rise to a unique maximal point of C (see [PAF] Sect. 2.4). In
short, a smooth curve C over a perfect field is determined by its function field
k(C). This type of exact relation between discrete valuations and points of a
variety is only valid for curves.

4.1.9 Projective Schemes

In order to give a typical example of nonaffine schemes, we introduce graded
algebras over a commutative
) algebra B. A graded algebra R over an algebra
B is a direct sum d Rd for a B-subalgebra R0 and R0 -modules Rd for
integers d such that Rn Rm ⊂ Rm+n . A B-morphism φ : R → R of graded
B-algebras R and R is a B-algebra homomorphism with φ(Rd ) ⊂ Rd for all
d. An element x of a graded algebra R is called homogeneous of degree d if
x ∈ Rd . The polynomial ring B[T ] is a graded algebra with B[T ]d = T d B
for d ≥ 0 and Bd = 0 for negative d. More generally, the polynomial ring
B[T1 , . . . , Tn ] of n variables is a graded algebra such that each monomial of
degree d is homogeneous of degree d.
If x ∈ R is homogeneous
 of degree d = 0, then R[ x1 ] is a graded ring by
1 j
putting R[ x ]n = jd+m=n x Rm [in other words, for a homogeneous element
a ∈ R, deg( xaj ) = deg(a) − jd]. Suppose that the base ring B is noetherian. If
a graded algebra R is noetherian, then there are finitely many homogeneous
elements x0 , . . . , xn (of degree d0 , . . . , dn , respectively) in R that generate the
B-algebra R. Thus, the algebra homomorphism B[T0 , . . . , Tn ] → R sending a
polynomial P (T0 , . . . , Tn ) to P (x1 , . . . , xn ) ∈ R is a surjective algebra homo-
morphism.
Write Di = Spec(B[T0 , . . . , Tn ][ T1i ]0 ). Since we have

(B[T0 , . . . , Tn ][Ti−1 ] ⊗B[T0 ,...,Tn ] B[T0 , . . . , Tn ][Tj−1 ])0

∼
= B[T0 , . . . , Tn ][T −1 ]0 · B[T0 , . . . , Tn ][T −1 ]0 = B[T0 , . . . , Tn ][(Ti Tj )−1 ]0
i j

for i = j (in B[T0 , . . . , Tn ][ T10 , T11 , . . . , T1n ]0 ), we may identify Di ∩ Dj with

Spec(B[T0 , . . . , Tn ][(Ti Tj )−1 ]0 ) canonically. n In this way, we can define the pro-
jective space of dimension n by Pn = j=0 Dj , which is not affine. If A is a
B-algebra that is either a field or a valuation ring, by definition, we have
170 4 Review of Scheme Theory

Pn (A) ∼
= {(x0 , . . . , xn )|xj ∈ A× for at least one j}/A× .
Let R be a general noetherian graded B-algebra. Suppose we have a
finite set of homogeneous generators x0 , . . . , xn of degree 1. Define a surjective
B-algebra homomorphism B[T0 , . . . , Tn ] sending Tj to xj . Then the algebra
homomorphism induces a surjection B[T0 , . . . , Tn ][Ti−1 ]0 → R[x−1 i ]0 , which
−1
in turn gives rise  to a closed
 subscheme V i = Spec(R[x i ] 0 ) ⊂ D i . Then we
define Proj(R) = i Vi ⊂ i Di = Pn .
We can generalize this definition to any graded B-algebra R generated by
finitely many homogeneous elements (not necessarily) of degree 1; see [GME]
Sect. 1.3), because Proj(R) = Proj(R(n) ) for R(n) = d Rnd . If R× contains
a homogeneous element of nonzero degree, we have Proj(R) ∼ = Spec(R0 ) by
definition (compare with [GME] Lemma 1.3.1); however, if R has no negative-
degree elements, Proj(R) is not affine.
If we can realize a B-scheme X as a closed subscheme of Pn (i.e., if we
have a closed immersion X → Pn/B ), X is called B-projective. More generally,
if we can realize a morphism f : X → Y so that it factors through a closed
immersion X → PnY = Pn/B ×SB Y , f is called a projective morphism. This
is equivalent to having an invertible
) sheaf L with generators x0 , . . . , xn on
X whose graded algebra R = n≥0 H 0 (X, L⊗n ) has Proj(R) isomorphic to
X. Here L⊗n = L ⊗OX L ⊗OX · · · ⊗OX L (n times). The module R is a ring
under the tensor product; that is, for x ∈ H 0 (X, L⊗n ) and y ∈ H 0 (X, L⊗m ),
the product x · y in R is given by x ⊗ y ∈ H 0 (X, L⊗m+n ). Since Lx ∼ = OX,x ,
the tensor product commutes: a ⊗ b = b ⊗ a; hence, R is a commutative ring.
Then x0 , . . . , xn are regarded as homogeneous generators of R. The morphism
X → Proj(R) is the canonical one described in [GME] Sect. 1.5.5.
If (X, f : X → Y ) is isomorphic in SCH/Y to an open subscheme (U, g :
open
U → Y ) of a closed subscheme (C, h : C → Y ) of Pn/Y (i.e., U −−−→ C as
⊂
Y -schemes), f is called quasi-projective.
Exercise 4.33 Prove that any projective morphism X → Y of B-schemes is
a proper morphism (hint: use the valuative criterion: Proposition 4.25).
Exercise 4.34 Suppose that the base ring B is an algebraically closed field
k. Prove that for any k-morphism f from Pn/k into an affine scheme S, fK :
Pn (K) → S(K) has one point image for any field K/k. Using this fact, show
further that Pn is not affine if n ≥ 1.
Similar to the relative spectrum SpecS (A) for a quasi-coherent OS -algebra,
) construct relative “Proj” for a quasi-coherent graded OS -algebras
we can
A = n≥0 An . We assume that A is finitely generated over A0 and A0 is
a coherent OS -algebras (so An is also coherent). Then for any affine open
Spec(R) ⊂ S, A(Spec(R)) is a graded algebra of finite type over R, and we
have Proj(A(Spec(R)). Clearly, if we cover S by an affine open subscheme
Spec(Ri ), {Proj(A(Spec(Ri )))}i glue naturally over S, giving rise to an
S-scheme P rojS (A) → S (which is locally projective).
 4.1 Functorial Algebraic Geometry 171

4.1.10 Grothendieck Topology on Schemes

We briefly recall the sheaf/cohomology theory under Grothendieck topol-

ogy. See [ECH] for more details. The theory was originally introduced by
Grothendieck to supply schemes with good cohomology theory (perhaps
motivated in part to solve Weil’s conjecture on L-functions of varieties
discussed briefly in Sect. 3.1.3).
Let S be a scheme and τ be a class of morphisms of the category of schemes
over S such that
(T1) All isomorphisms are in τ .
(T2) The composite of two morphisms in τ is in τ .
(T3) Any base change of a morphism in τ is in τ .
f
Here for an S-morphism X −
→ Y and an S-scheme T , the base change of f is
f ×idT
XT −−−−→ YT for XT = X ×S T and YT = Y ×S T . Here are examples of the
class τ we use:
(Z) τ = (Zar) is made of all open immersions;
(E) τ = (et) is made of all étale morphisms of finite type;
(F) τ = (f ppf ) is made of all separated finitely presented flat morphisms
(i.e., fppf: “fidèlement plat de presentation finie” in French).
Since we usually assume that our scheme is locally noetherian (i.e., covered
by affine open noetherian subschemes) and a morphism is quasi-compact, an
fppf morphism is a finitely presented morphism as defined above in Sect. 4.1.8.
If we do not assume these simplifying conditions, see [EGA] IV.1.6 for a more
general definition of a morphism of finite presentation.
Let Sτ be the full subcategory of S-schemes whose structure morphisms
are in τ . Recall that “full subcategory” means that

HomSτ (X, Y ) = HomSCH/S (X, Y ).

g
Write g(X) for the topological image of a morphism of schemes X − → Y. A
gi
τ -covering of an
 object U in S τ is a family (U i −→ U )i∈I of morphisms
 in τ
such that U = i g(Ui ). Thus, if τ = (Zar), (et), or (f ppf ), g : i∈I Ui → U
induced from a τ -covering is faithfully flat. Thus, τ gives rise to a notion of
τ -covering on Sτ , and this notion is called the τ -topology on Sτ . The category
Sτ with τ -topology is called the small τ -site over S.
A presheaf on Sτ is a contravariant functor from Sτ into the category AB
of abelian groups. A morphism F → G of preserves on Sτ is a morphism of
functors (a natural transformation). A presheaf G is a sheaf if the following
two conditions are satisfied:
gi
(s1) If there exists a τ -covering {Ui −→ U }i∈I such that ui = G(gi )(u) = 0
for all i, then u = 0 in G(U ).
172 4 Review of Scheme Theory
gi
(s2) For a τ -covering {Ui −→ U }i∈I , write gij,i : Ui ×U Uj → Ui for the
morphism induced by gi and gj . For a given ui ∈ G(Ui ), if G(gij,i )(ui ) =
G(gij,j )(uj ) in G(Ui ×U Uj ) for all possible (i, j), then there exists u ∈
G(U ) such that ui = G(gi )(u).
In short,


G(gi )  i,j (G(gij,i )−G(gij,j ))

0 → G(U ) −−−−−−
i
→ G(Ui ) −−−−−−−−−−−−−−−→ G(Ui ×U Uj )
i i,j

is exact (a usual sheaf condition). Thus, we can form the category of τ -sheaves
S(Sτ ) on Sτ .
Recall that we have a sheafication functor P → P # from the category
of presheaves into S(Sτ ) that is universal with respect to morphisms of
presheaves P into abelian τ -sheaves F ; more precisely, we have a canoni-
cal morphism ι : P → P # , and if we have a morphism a : P → F for a
sheaf F , there is a unique morphism a# : P # → F such that a# ◦ ι = a
(see [ECH] Theorem II.2.11). Hence, in the category of abelian τ -sheaves, we
have a quotient sheaf. So S(Sτ ) is an abelian category (see [GME] Sect. 1.4.4
for abelian category); that is, for a monomorphism i : H → G of abelian
τ -sheaves, first making the naive presheaf (G/H)P : U → G/H(U ), its sheafi-
cation G/H := ((G/H)P )# gives the sheaf quotient. This is why the category
of abelian τ -sheaves is abelian. See Sect. 4.2.3 for monomorphisms.
This category S(Sτ ) has enough injectives (that is, any sheaf G can be
embedded into an injective sheaf I on Sτ ; see [ECH] Proposition III.1.1).
Taking an injective resolution G → I • , for any left exact functor F from
S(Sτ ) into an abelian category C, we can define the right-derived (cohomology)
i
→I i+1 )
functor Ri F : S(Sτ ) → C given by Ri F (G) = Ker(IIm(I i−1 →I i ) for i > 0 [and we
put R0 F (G) = F (G)]. The object Ri F (G) is independent of the choice of I •
up to canonical isomorphisms. If F : G → G(S) ∈ AB, we write H i (Sτ , G) =
Hτi (S, G) for Ri F (G). By a standard argument, an exact sequence 0 → H →
G → K → 0 of sheaves over Sτ produces a long exact sequence with connection
maps δq (see [GME] Sect. 1.10.1):

δ
0 → R0 F (H) → R0 F (G) → R0 F (K) −→
0
R1 F (H) → R1 F (G)
δq
→ R1 F (K) → · · · → Rq F (K) −→ Rq+1 F (H) → · · · . (4.1.9)

If S is a smooth projective variety over Spec(k) for an algebraically closed field

k, we can take F (G) = G(S) =: H 0 (S, G). In this case, we write Hτq (S, G) :=
Rq F (G). For example, if G = Gn given by Gn (U ) = HomS (U, (Z/ln Z)/U )
for the constant group scheme (Z/ln Z)/U = (Z/ln Z)/S ×S U for a prime
l = char(k), Het (S, Ql ) := (limn Het (S, Gn )) ⊗Zl Ql gives a cohomology group
←−
with coefficients in Ql Weil predicted (see Sect. 3.1.3 for Weil’s conjecture on
algebro geometric cohomology). If, further, k = Fp or Q and S is defined over a
 4.1 Functorial Algebraic Geometry 173

subfield k ⊂ k, for S = S ×Spec(k) Spec(k), Gal(k/k) naturally acts on S et and

hence on Het (S, Ql ). This gives a natural generalization of the Galois module
Tl E for an elliptic curve E/k as Tl E ⊗Zl Ql is canonically a dual of Het
1
(E, Ql ).
Further, by Deligne, if k ⊂ Q is a number field, this Galois representation on
q
Het (S, Ql ) indexed by primes l gives rise to a compatible system of Galois
representations whose p-Frobenius eigenvalues (for primes p  l of k) are Weil
p-numbers of weight qf (if |Ok /p| = pf ) as long as S has smooth reduction
modulo p (i.e., S extends to a smooth scheme over the valuation ring of p). As
1
in the case of Betti cohomology, one can identify Het (S, Gn ) with continuous
group cohomology H (π1 (S, s), Z/l Z) [for a point s ∈ S(k); see Sect. 4.2
1 n

for π1 (S, s)], and from this, it is easy to see Tl E is the dual of H 1 (E, Zl )
q
(cf. (7.1.8)). If G is a coherent sheaf, HZar (S, G) := Rq F (G) is more classical
coherent cohomology (Serre studied) with respect to Zariski topology. This
does not give a Weil cohomology, as its cohomological dimension is known to
be dim S (see [ALG] III.7), while the cohomology Weil predicted must have
cohomological dimension 2 dim S.

4.1.11 Excellent Rings and Schemes

We recall some properties of excellent rings from [EGA] IV.7 without much
proof. All rings in this section are commutative with multiplicative identity.
Though the definition itself is not very practical, we recall the definition
of excellent rings for completeness. A ring is called catenary if, for any two
prime ideals p ⊂ p , we can find a sequence p = p0  p1  · · ·  pn−1  pn =
p of prime ideals without any more subdivision (i.e., saturated) and any
such sequence has constant (finite) length (that is, n). For example, a field is
obviously catenary, and any polynomial ring k[X1 , . . . , Xn ] (0 ≤ n < ∞) over
a field is catenary (cf. [CRT] Exercise 5.1 and Theorem 31.4). By definition,
if A is catenary, A/a for any ideal a of A is catenary, as we can pull back
a prime ideal saturated sequence of A/a to a prime ideal saturated sequence
of A. Similarly, any localization of a catenary ring is catenary. The Krull
dimension of a ring is the maximal length of saturated prime ideal chain. Any
noetherian ring has finite dimension (cf. [CRT] Sect. 15).
A noetherian ring A is called universally catenary if every finitely gener-
ated A-algebra is catenary (so k[X1 , . . . , Xn ] is universally catenary). Since
any residue ring of a catenary ring is catenary (and any finitely generated
ring over A is a residue ring of A[X1 , . . . , Xn ]), A is universally catenary if
A[X1 , . . . , Xn ] is catenary for all n > 0. Any localization of universally cate-
nary ring is universally catenary.
A noetherian ring is called regular if, for the localization Am at any max-
imal ideal m of A, dim Am = dimA/m m/m2 , where dim Am is the Krull
dimension of Am . If A is regular, any localization is regular; in particular,
Ap is regular for any prime ideal p ([CRT] Theorem 19.3). A regular ring A
over a field k is called a geometrically regular ring over k if, for any finite
extension field k  /k, A ⊗k k  is regular. A regular “local” ring is an integral
174 4 Review of Scheme Theory

domain ([CRT] Theorem 14.3). Since Fp (x)⊗Fp (xp ) Fp (x) for the rational func-
tion field Fp (x) has nilpotent element x ⊗ 1 − 1 ⊗ x, Fp (x) is not geometrically
regular over Fp (xp ), though it is geometrically regular over itself.
For a prime ideal p of a ring A, we write k(p) for the quotient field of
the integral domain A/p. A morphism of rings A → A is called a regular
morphism if it is A-flat and A ⊗A k(p) is geometrically regular over k(p) for
any prime ideal p of A.
A ring A is called excellent if the following three conditions are satisfied:
(e1) A is universally catenary.
(e2) For any prime ideal p of A, Ap → A p is regular, where A
p is the p-adic
completion of Ap .
(e3) For any integral domain A of finite type over A, there exists 0 = a ∈ A
such that A [ a1 ] is regular.
Remark 4.35 Clearly, the field K is regular and excellent. Since properties
(e1–3) are stable under localization, any localization of excellent ring is excel-
lent. It is known that a Dedekind domain with characteristic 0 quotient field
is excellent. Any algebra of finite type over an excellent ring is excellent.
See [EGA] IV.7.8 for (the location of) a proof of nontrivial facts in the above
remark.
A ring is called semilocal if it has finitely many maximal ideals. If A is
semilocal, A  = lim A/J(R)n denotes the J(R)-adic completion of A [here
←−n
J(R) is the Jacobson radical, which is the intersection of all maximal ideals
of   
5 A]. We have A = i Ami , writing its maximal ideals m1 , . . . , mn as J(R) =
i mi (cf. [CRT] Theorem 8.15). We need the following fact later (whose proof
can be found in [EGA] IV.7.6.4).
Theorem 4.36 (Zariski–Nagata) Let A be a semilocal noetherian ring.
Then the following three conditions are equivalent:
 = A ⊗A A
1. For any reduced finite A-algebra A , A  is reduced.
9 = A/p ⊗A A
2. For any prime ideal p of A, A/p  is reduced and is a separable
algebra over k(p).
9 ⊗A k(p) is a separable algebra over k(p).
3. For any prime ideal p of A, A/p
For a field K, a K-algebra A is separable if A ⊗K L is reduced for any finite
extension L/K.
Corollary 4.37 If A is an excellent reduced noetherian local ring with max-
 = lim A/mn is reduced.
imal ideal m, then A
←−n
9 ⊗A k(p) for all prime ideals p of A is geometrically
By condition (e2), A/p
regular over k(p); in particular, it is reduced and separable over k(p). Thus,
by the theorem, A is reduced.
 4.2 Fundamental Groups 175

4.2 Fundamental Groups

This section gives a sketch of the theory of algebraic fundamental groups. The
simplest example of algebraic fundamental groups is the Galois group; so we
will start with a summary of Galois theory, which is a fundamental group of
(the spectrum of) a field. Then we go on to define general fundamental groups
of a scheme.

4.2.1 Galois Extensions of Infinite Degree

We study the Galois theory when dimK L is infinite for a Galois extension
L/K. First, we recall Galois’ fundamental theorem when L/K is finite.
Theorem 4.38 (E. Galois) Suppose that L/K is a finite Galois extension.
For an intermediate field L/M/K, L/M is a Galois extension, and we have
(1) There is one-to-one onto correspondence

{M : intermediate field|L/M/K} ↔ {H : subgroup of Gal(L/K)}

given by M → Gal(L/M ) and H → LH = {x ∈ L|x = σ(x)∀σ ∈ H}.

(2) For two intermediate fields M, M  , we have
• M ⊃ M  ⇐⇒ Gal(L/M ) ⊂ Gal(L/M  ).
• Gal(M ∩ M  ) is the subgroup of Gal(L/K) generated by the two sub-
groups Gal(L/M ) and Gal(L/M  ).
• Gal(L/M M  ) = Gal(L/M ) ∩ Gal(L/M  ).
• For σ ∈ Gal(L/K), Gal(L/σ(M )) = σGal(L/M )σ −1 .
(3) M/K is a Galois extension if and only if Gal(L/M ) is a normal subgroup
in the Galois group Gal(L/K). In particular, by σ → σ|M , we have an
isomorphism: Gal(L/K)/Gal(L/M ) ∼ = Gal(M/K).
We admit this theorem, just referring the reader to any book on elementary
Galois theory (for example, [TCF]).
What we want to do in this subsection is to generalize the above theorem
to an infinite Galois extension. Hereafter we suppose that L/K is an infinite
Galois extension. For an intermediate extension L/M/K, the Galois closure
M gal of M over K is the intersection of all Galois extensions of K inside L
containing M ; so M gal /K is a Galois extension. Since each element ξ ∈ L
satisfies a polynomial equation of finite degree with coefficients in K, there
are only finitely many conjugates of ξ. Thus, the Galois closure K[ξ]gal of
K[ξ] over K is a finite Galois extension of K, and from Theorem 4.38 (2), we
get + ,
L= K[ξ]gal ⇔ Gal(L/K[ξ]gal ) = {id}. (4.2.1)
ξ∈L ξ∈L

We first generalize the third assertion of the above theorem.

176 4 Review of Scheme Theory

Lemma 4.39 Suppose M is an intermediate Galois extension of a Galois

extension L/K. Then the group Gal(L/M ) is a normal subgroup of Gal(L/K),
and σ → σ|M induces an isomorphism Gal(L/K)/Gal(L/M ) ∼ = Gal(M/K).
In particular, if M/K is a finite extension, then we have the equality
[Gal(L/K) : Gal(L/M )] = [M : K] < ∞.

Proof. If M/K is a finite extension, for any finite Galois extension L with
L ⊃ L ⊃ M , we can extend σ ∈ Gal(M/K) to τ ∈ Gal(L /K) [assertion
(3) of Theorem 4.38]. Since L is a union of finite Galois extensions of L ,
σ ∈ Gal(L /K) extends to τ ∈ Gal(L/K). If M/K is an infinite extension,
writing M as a union of finite Galois extensions M  /K and applying the
above fact to M  /K, we find that any σ ∈ Gal(M/K) can be extended to
τ ∈ Gal(L/K). Thus, σ → σ|M is a surjective homomorphism of Gal(L/K)
onto Gal(M/K). Its kernel is given by Gal(L/M ), which is normal.

Basically, the same proof as above yields the following result, which appears
stronger than the lemma.
Corollary 4.40 Let M be an intermediate extension of L/K. Then σ → σ|M
induces an isomorphism Gal(L/K)/Gal(L/M ) ∼ = HomK (M, L), where the set
HomK (M, L) is the collection of K-linear field homomorphisms of M into L.
Proving this corollary is left to the reader as an exercise (Exercise 4.47 (1)).
We now give a topology on the group Gal(L/K) in the following way.
Define a fundamental system of open neighborhoods of the identity by the
collection of subgroups of the form Gal(L/M ) for a finite extension M/K. If
H = Gal(L/M ) for a finite extension M/K, the Galois closure M gal is still a
finite Galois extension of K; so we find a normal open subgroup Gal(L/M gal )
inside any open subgroup H. Thus, we may define the system to be the set
U of all normal subgroups N = Gal(L/M ) for finite Galois extensions M/K
inside L. For each σ ∈ Gal(L/K), we define the system of neighborhoods of
σ to be σU = Uσ = {σN = N σ|N ∈ U}. By this, if U satisfies the axiom of a
fundamental system of open neighborhoods of a point, G becomes a topolog-
ical group, that is, G is a group with a topology for which the multiplication
(a, b) → ab and inverse a → a−1 are continuous. The axiom is verified by the
next result:
Lemma 4.41 We have
(1) For σ = 1, there exists N ∈ U with σ ∈ N (so, G is a Hausdorff group).
(2) N, H ∈ U ⇒ N ∩ H ∈ U.

Proof.
5 By (4.2.1), L = M M for finite Galois extensions M/K. If σ ∈
M Gal(L/M ), σ is the identity over all M , and so σ = 1 in Gal(L/K).
Thus, there exists a finite Galois extension M/K inside L such that σ ∈ N =
Gal(L/M ) if σ = 1. By definition, we have N ∈ U, and so assertion (1) follows.
 4.2 Fundamental Groups 177

Write N = Gal(L/M ) and H = Gal(L/M  ). Then M M  is a composite of

two finite Galois extensions and so is a finite Galois extension. By definition,
σ is trivial over M M  ⇔ σ is trivial over M and M  . Then by Lemma 4.39,
we have Gal(L/M M  ) = N ∩ H, and hence N ∩ H ∈ U, which proves (2).

The topology we have defined was first introduced by Krull and is therefore
called the Krull topology on Gal(L/K).
Proposition 4.42 For an infinite Galois extension L/K, Gal(L/K) is a
compact group under the Krull topology.

Proof. Since Gal(L/K) is Hausdorff, we need to show that for any given infi-
nite subset Σ in Gal(L/K), there exists an element σ ∈ Gal(L/K) such that
Σ ∩ Hσ is infinite for all H ∈ U; that is, Σ has a limit point σ ∈ Gal(L/K).
Since H = Gal(L/M ) for a finite Galois extension M/K, there are finitely
many automorphisms of M/K. Thus, there exists an infinite subset ΣH of Σ
that induces a single automorphism σM on M . For any extension σ  ∈ ΣH of
σM to L, the coset Hσ  is the collection of τ ∈ Gal(L/K) (by Lemma 4.39)
with τ |M = σM . We make the construction of σM compatible with an in-
creasing sequence of Galois extensions Mj of K inside L. In other words,
we find a sequence of finite Galois extensions Mj /K (j = 1, 2,. . . ) with
K ⊂ Mj ⊂ Mj+1 ⊂ L and σj = σMj ∈ Gal(Mj /K) such that L = j Mj and
σj+1 |Mj = σj for all j. We have found an element σ ∈ Gal(L/K) such that
σ|Mj = σMj for all j. This σ is a limit point of Σ.

Corollary 4.43 If M is an intermediate field of an infinite Galois extension

L/K, Gal(L/M ) is a closed subgroup of Gal(L/K).

Proof. For any finite Galois extension M  /K inside L, we have by definition

the following identity: i−1 (Gal(L/M M  )) = Gal(L/M M  ) for the inclusion
map i : Gal(L/M ) → Gal(L/K). For any N ∈ U, we find a finite Galois
extension M  /K inside L such that N = Gal(L/M  ). Since M M  /M is a
finite Galois extension, i−1 (N ) = Gal(L/M M  ) is open in Gal(L/M ), and so
i is continuous. The image of a compact set by a continuous map is compact;
in particular, it is closed.

We now prove a generalization of Theorem 4.38.

Theorem 4.44 Let L/K be an infinite Galois extension. We have the fol-
lowing canonical one-to-one onto correspondence:

{intermediate fields M of L/K} ↔ {closed subgroups H of Gal(L/K)}

induced by M → Gal(L/M ) and H → LH . Moreover,

(1) Every open subgroup of Gal(L/K) is closed, and open subgroups corre-
spond to finite extensions LH /K.
178 4 Review of Scheme Theory

(2) Let {Ni }i∈I for an index set I be a collection of closed subgroups of the
Galois group Gal(L/K).5Writing Ni = Gal(L/Ki ), for the composite M
of all {Ki }i∈I , we have i∈I Ni = Gal(L/M ).
(3) If {Ki }i∈I is a collection of intermediate fields of L/K, then the group
Gal(L/ ∩i∈I Ki ) is the closure of the subgroup in Gal(L/K) generated by
Gal(L/Ki ) for all i.
(4) For σ ∈ Gal(L/K), we have Gal(L/σ(M )) = σ · Gal(L/M )σ −1 .
(5) If M/K is a Galois extension inside L, then Gal(L/M ) is a normal closed
subgroup and Gal(L/K)/Gal(L/M ) ∼ = Gal(M/K) induced by σ → σ|M is
an isomorphism of topological groups.

Proof. Let M be the set of all intermediate fields of L/K and let H be the set
of all closed subgroups of Gal(L/K). For any M ∈ M, Gal(L/M ) is a closed
subgroup of Gal(L/K) by Corollary 4.43; hence, M → Gal(L/M ) defines a
map M → H. We define a reverse map H → M by H → LH .
We first prove that Gal(L/LH ) = H. Since Gal(L/LH ) ⊂ Gal(L/K)
is the collection of all automorphisms of L fixing LH , we confirm that
H ⊂ Gal(L/LH ). Conversely, for each finite Galois extension M/LH inside
L, H acts on M nontrivially if M = LH , and the image under σ → σ|M

in Gal(M/LH ) is a subgroup H  of Gal(M/LH ) and LH = M H . By Theo-
rem 4.38 (1), H  = Gal(M/LH ). In other words, for each σ ∈ Gal(L/LH ),
we find hM ∈ H such that hM |M = σ|M . We consider the infinite set
Σ = {hM }M ⊂ H with M running through all finite Galois extensions M/LH .
Since H is a closed subgroup of a compact group Gal(L/K), H itself is com-
pact. Then Σ has a unique accumulation point h. Then for each finite Galois
extension M/LH , σ|M = h|M . Since L = M M for finite Galois extensions
of M/LH , we find that h = σ and H = Gal(L/LH ).
We now prove LGal(L/M) = M . By Corollary 4.43, H = Gal(L/M ) ∈ H.
By definition, M ⊂ LH . Supposing that LH = M , we try to get a con-
tradiction. Pick ξ ∈ LH − M . Then M [ξ]/M is a finite extension. Thus,
M [ξ]gal ⊂ L because L/K is normal. Since ξ ∈ M , Gal(M [ξ]gal /M ) = {1}.
Pick σ ∈ Gal(M [ξ]gal /M ) with σ(ξ) = ξ. Then by Lemma 4.39, we find
τ ∈ Gal(L/M ) = H such that τ (ξ) = σ(ξ) = ξ. This is wrong since σ(ξ)
has to be ξ because ξ ∈ LH . Thus, we find that LGal(L/M) = M , and the
correspondence is one-to-one and onto.
For an open subgroup H, Gal(L/K)/H is discrete and compact; thus, it
is finite [see Exercise 4.47 (4)]. Since H is the kernel of the continuous map
Gal(L/K)  Gal(L/K)/H, H is closed. By H = Gal(L/LH ), we see from
Lemma 4.39 and Corollary 4.40 that Gal(L/K)/H = HomK (LH , L), and
hence LH /K is a finite extension by Corollary 4.40. This shows (1).
Assertion (2) follows from the fact that σ ∈ Gal(L/K) is the identity on
every Ki if and only if σ is the identity on the composite of all Ki [Exer-
cise 4.47 (2)].
Let Gal(L/ ∩i∈I Ki ) = H  . Then, by definition, H  is a closed subgroup
containing all Hi = Gal(L/Ki ), and it contains the closure H of the subgroup
 4.2 Fundamental Groups 179

generated by Hi for all i. Since H is

5a closed subgroup (so in H) containing Hi ,
we see LH ⊂ Ki and hence LH ⊂ i∈I Ki . Thus, H ⊃ H  = Gal(L/ ∩i∈I Ki ).
This shows H = H  .
Assertion (4) is obvious from the definition of the Galois group, and the
last assertion follows from Lemma 4.39.

4.2.2 Automorphism Group of a Field

We study Aut(L/K) for an arbitrary extension L/K of fields. Such a general-

ization of Galois’ theory was given in [IAT] 6.3. An intermediate extension M
of L/K is called finite type over K if there are finitely many elements x1 , . . . , xn
in M such that M is the quotient field of the ring K[x1 , . . . , xn ] ⊂ M . We
define a fundamental system U of open neighborhoods of 1 on Aut(L/K) by

U = {H = Aut(L/M )|M/K is of finite type}. (4.2.2)

Since a composite of two intermediate fields of finite type is again of finite

type, U satisfies the axiom of the fundamental system of neighborhoods [see
the proof of Lemma 4.41 and Exercise 4.47 (3)]. Then define a system of
neighborhoods of σ ∈ Aut(L/K) by σU ∪ Uσ. This topology gives a topological
group structure on Aut(L/K). Let H be the set of all compact subgroups of
Aut(L/K), and let M be the set of all intermediate fields M in L/K such
that L/M is a Galois extension. Then we have the following:
Proposition 4.45 (Jacobson) We have a canonical bijective correspon-
dence M ∼
= H given by M → Gal(L/M ) and H → LH .

Proof. Pick a compact subgroup H of Aut(L/K). Then for each ξ ∈ L, the

topological group Aut(L/K(ξ)) is an open subgroup of Aut(L/K). Thus, H  =
H ∩ Gal(L/K(ξ)) is an open subgroup of H. In particular, H/H  is compact
and discrete, and so it is finite [Exercise 4.47 (4)]. Since the polynomial f (X) =

h∈H/H  (X −h(ξ)) has coefficients in L , ξ is algebraic over L . Since h(ξ) =
H H

   
h (ξ) ⇔ hH = h H , the roots of f (X) are all distinct, and so LH (ξ)/LH is a
separable extension. Since h(ξ) ∈ L for all h ∈ H, all the roots of f (X) are in
L. The Galoisclosure M of LH (ξ) over LH is a Galois extension of LH inside
L. Since L = ξ∈L LH (ξ), we find that L/LH is a Galois extension. Then by
Theorem 4.44, we find that H = Gal(L/LH ). Starting from M ∈ M, we find
that Gal(L/M ) ∈ H and M = LGal(L/M) by Theorem 4.44.

A field extension L/K is of finite type if L is generated over K by finitely

many elements (as a field). Let Ho be the set of all open compact subgroups
of Aut(L/K) and Mo be the subset of M made up of fields M that are of
finite type over K.
Corollary 4.46 If Mo is nonempty, then Aut(L/K) is locally compact, and
the one-to-one onto correspondence in Proposition 4.45 induces Mo ∼
= Ho .
180 4 Review of Scheme Theory

Proof. If Mo is nonempty, pick M ∈ Mo . Then the identity of Aut(L/K)

has an open neighborhood Gal(L/M ), which is also compact by Proposi-
tion 4.42. Translating this neighborhood to any point σ on Aut(L/K) through
multiplication by σ, every point has an open-compact neighborhood, and so
Aut(L/K) is locally compact. We need to show that LH /K is of finite type
over K if H ∈ Ho . Consider F = M LH . Then L/F is a Galois extension;
hence, H  = Gal(L/F ) is a compact subgroup of Gal(L/M ). Since F/M is
a finite extension, F is of finite type over M and hence over K. Thus, the
subfield LH of a field F is of finite type over K.

Exercise 4.47 1. Prove Corollary 4.40.

2. Give a detailed proof of assertions (2) and (4) of Theorem 4.44.
3. Prove that the Krull topology on Aut(L/K) given by (4.2.2) is well defined.
4. Prove that a compact and discrete set is a finite set.

4.2.3 Galois Theory in Categorical Setting

Following closely the exposition in [PAF] Sect. 4.4, we give a short description
of how one can axiomatize Galois theory (the idea is due to Grothendieck,
and the main reference is [SGA] V.4). This subsection interprets the result in
Sect. 4.2.1 in terms of category theory.
We recall some terminology from category theory. Let C be a category.
f
A morphism X − → Y in this category is called an epimorphism if, for any
g
third object Z and morphisms Y − → Z, g ◦ f = h ◦ f ⇔ g = h (so f is a
h
right unit). In other words, for any other object Z in C, the pullback map
f∗
HomC (Y, Z) −→ HomC (X, Z) is injective if f is an epimorphism. Similarly, a
f
morphism X − → Y in this category is called a monomorphism if, for any third
g
object Z and morphisms Z −→ X, f ◦ g = f ◦ h ⇔ g = h (so f is a left unit). In
h
many categories, for example, SET S and AB, monomorphisms are injections,
and epimorphisms are surjections, but, for example, in the abelian category
of sheaves, say, S(X) and S(Xτ ), an epimorphism may not be a surjection of
sections of sheaves.
Recall that a covariant (resp., contravariant) functor F : C → SET S is
called representable if there is an object F in C such that we have a system
of functorial bijections φX : F (X) → HomC (F , X) [resp., φX : F (X) →
HomC (X, F )]. Here the word “functorial” means that f∗ ◦ φX = φY ◦ F (f )
in the covariant case and f ∗ ◦ φY = φX ◦ F (f ) in the contravariant case for
f
any morphism X − → Y in C, where f∗ (g) = f ◦ g for g ∈ HomC (F , X) and
f ∗ (h) = h ◦ f for h ∈ HomC (Y, F ). The object in C representing a functor is
unique up to isomorphisms (a characterization by a universal property; see
Lemma 4.17).
If a covariant functor F0 sending every object in C to a singleton {0}
is representable in C, the object representing the functor is called an initial
 4.2 Fundamental Groups 181

object in C. Similarly, if a contravariant functor F 0 sending every object in C

to a singleton {0} is representable in C, the object representing the functor is
called a final object in C.
If the covariant functor T → HomC (X, T ) × HomC (Y, T ) for two given
objects X, Y of C is representable by an object of C, the object is written as
X ⊕ Y and is called the direct sum, and we have inclusions iX : X → X ⊕ Y
and iY : Y → X ⊕ Y such that HomC (X ⊕ Y, T ) ∼ = HomC (X, T )× HomC (Y, T )
is given by φ → (φ ◦ iX , φ ◦ iY ) (see [MFG] Sect. 4.4). If the contravariant
functor T → HomC (T, X) × HomC (T, Y ) for two given objects X, Y of C is
representable by an object of C, the object is written as X × Y and is called a
direct product, and we have projections pX : X × Y → X and pY : X × Y → Y
such that the isomorphism HomC (T, X × Y ) ∼ = HomC (T, X) × HomC (T, Y ) is
given by φ → (pX ◦ φ, pY ◦ φ) (see [MFG] Sect. 4.4).
f
For a given object S in C, we write C/S for the category of arrows X −
→ S.
f g
Morphisms from X − → S into Y −→ S are given by morphisms h : X → Y with
g ◦ h = f . If we apply the above construction to C/S , the direct product in C/S
(if it exists) is the fibered product X ×S Y of X and Y over S (see (4.1.4)). So
in this case, the contravariant functor T → HomC/S (T, X) × HomC/S (T, Y ) is
representable by X ×S Y in C/S . If C = SET S, we see
  
X ×S Y = (x, y) ∈ X × Y f (x) = g(y) .
Dualizing the above construction, for an object S of C, we consider a
f f g
category C S whose objects are arrows S −→ X and φ ∈ Hom(S − → X, S − →Y)
is a morphism φ : X → Y with φ ◦ f = g. Then X ⊕S Y in C S if it exists
represents the covariant functor T → HomC S (X, T )×HomC S (Y, T ). The object
X ⊕S Y is called the fibered sum or push-out or contracted product of X and
Y under S. If C = SET S, we see easily that X ⊕S Y is the quotient of the
disjoint union X  Y under the relation that x ∼ y ⇔ x = f (s) and y = g(s)
(see [MFG] Sect. 4.2.1).
f
An epimorphism X − → Y in C is called a strict epimorphism if, for any
other object Z of C,
  
Im(f ∗ : HomC (Y, Z) → HomC (X, Z)) = g ∈ HomC (X, Z)p∗1 g = p∗2 g ,
where pj : X ×Y X → X are the two projections. If this is the case, we
p1 ,p2 f
call the following sequence exact: X ×Y X ⇒ X − → Y . The notion of
strict epimorphisms is stronger than that of epimorphisms. For example,
i : Spec(Q) → Spec(Z) is an epimorphism in SCH (because it is dominant).
Since Q ⊗Z Q = Q, if i were a strict epimorphism, the empty set Homalg (Q, Z)
would have to be identical to the singleton Homalg (Q, Q). This is a contra-
diction, and hence i is not a strict epimorphism. A faithfully flat morphism
X → Y of finite type is a strict epimorphism (see [ECH] Theorem I.2.17) in
the category of schemes. In the category SET S, the notion of strict epimor-
phisms and that of epimorphisms coincide and are equivalent to surjectivity.
182 4 Review of Scheme Theory

Let G ⊂ AutC (X) be a finite subgroup for an object X of C. Write

f
HomC (X, T )G for the set of morphisms X − → T with f ◦ g = f for all g ∈ G.
If the covariant functor T → HomC (X, T )G is representable by an object
Y of C with a unique morphism π : X → Y inducing π ∗ : HomC (Y, T ) ∼ =
HomC (X, T )G , we call Y the categorical quotient of X by G and the mor-
phism π : X → Y the quotient morphism (see [GME] Sect. 1.8.2).
Here is an example of C with fibered products and fibered sums. We start
with a profinite compact group Π. A typical example for Π is the Galois group
Gal(K/k) of a (possibly infinite) Galois extension K/k. We denote C(Π) for
the category of finite sets on which Π acts continuously (from the left). Thus,
for each object X in C(Π), the stabilizer in Π of each point x ∈ X is an open
subgroup of Π. For X, Y in C(Π), a map f : X → Y is a morphism of C(Π)
if f (π(x)) = π(f (x)) for all x ∈ X and π ∈ Π. The collection of all such maps
is written as HomΠ (X, Y ).
Let 0 be the set of a single point on which Π acts trivially. Then
HomΠ (X, 0) is made of one map taking everything in X to 0. In other
words, 0 is the final object. The empty set ∅ is considered to be an object
in C(Π), which gives an initial object in C(Π). Since C(Π) is a subcategory
f g
of SET S, the
 fibered product
 X ×S Y for X −→ S and Y − → S is given by
X ×S Y = (x, y) ∈ X × Y f (x) = g(y) with two projections pX and pY in-
f
duced by two projections X ×Y onto X and Y . The fibered sum of S − → X and
g
S−→ Y is given by the set-theoretic fibered sum X ⊕S Y already described,
and in particular, the direct sum is the fibered sum for an initial object S
and is X  Y with two obvious inclusions iX and iY . If G ⊂ AutC(Π) (X) is a
finite group, the set-theoretic quotient X/G gives the categorical quotient in
f
C(Π). If X −→ Y is a morphism in C(Π), it factors as X  Im(f ) → Y . Here
p : X  Im(f ) is a surjection by definition and hence is a strict epimorphism,
and i : Im(f ) → Y is a monomorphism inducing a direct sum decomposi-
tion Y = (Y − Im(f ))  Im(f ). In summary, we proved the following three
properties for C = C(Π).
(C1) C has a final object and a fibered product of any two morphisms X → S
and Y → S in C over S.
(C2) C has an initial object and a direct sum of any two objects in C. For each
object X of C and each finite subgroup G of AutC (X), the categorical
quotient X/G exists.
f f f 
(C3) Each morphism X − → Y in C factors as X −→ X  −−→ Y so that f  is a
strict epimorphism and f  is a monomorphism.
A category C satisfying the three conditions (C1–3) is called a Galois category.
A covariant functor F : C → C  is called left exact if it takes monomorphisms of
C to monomorphisms of C  and F (X ×S Y ) = F (X) ×F (S) F (Y ). We note that
  
F (X) ×F (S) F (Y ) = (x, y) ∈ F (X) × F (Y )F (f )(x) = F (g)(y) for X −
f
→S
g
→ S if C  = SET S. Similarly, a covariant functor F : C → C  is called
and Y −
 4.2 Fundamental Groups 183

right exact if it takes epimorphisms of C to epimorphisms of C  and commutes

with fibered sums. A left exact covariant functor F : C → C  is called exact if it
preserves monomorphisms, epimorphisms, and exact sequences. The inclusion
functor F : C(Π) → SET S obviously satisfies the following three conditions:
(f1) F is left exact and has values in the full subcategory of finite sets in
SET S.
(f2) F (X ⊕Y ) = F (X)F (Y ) for objects X, Y in C; F (f ) is a surjection if F :
π
X → Y is a strict epimorphism; and if X −→ Y is the categorical quotient
F (π)
in C by a finite group G ⊂ AutC (X), F (X) −−−→ F (Y ) is a categorical
quotient in SET S by the same group G sitting inside Aut(F (X)), which
is just a set-theoretic quotient.
f
(f3) A morphism X − → Y in C is an isomorphism if F (f ) : F (X) → F (Y ) is
an isomorphism.
For a Galois category C, a covariant functor F : C → SET S satisfying the
three conditions (f1-3) is called a fundamental functor.
We quote the following theorem of Grothendieck from [SGA] V.4.
Theorem 4.48 If a pair (C, F ) of a category C and a covariant functor
F : C → SET S satisfies the six conditions (C1–3) and (f1–3), there exists
a unique profinite group Π (up to isomorphisms) such that C is equivalent to
the category C(Π).
The group Π is called the fundamental group of (C, F ) and is sometimes
written as π1 (C, F ). We refer to [SGA] V.4 for the proof. We call an object X
in C connected if it is not a direct sum of two noninitial objects. Here we list
steps of the proof and give a brief description of each step.
1. A morphism f ∈ HomC (X, Y ) is a monomorphism if and only if F (f ) is
an injection.
In fact, pX : X ×Y X → X is an isomorphism if and only if f : X → Y is
a monomorphism. Indeed, if h, g ∈ HomC (Z, X) satisfy f ◦ g = f ◦ h = f  ,
regarding Z as an object in C/Y by f  , we have g×Y h ∈ HomC (Z, X ×Y X).
Thus, f , being a monomorphism, is equivalent to the fact that the two
functors Z → HomC (Z, X) and Z → HomC (Z, X ×Y X) are isomorphic.
This implies by the uniqueness of the object representing a functor (see
Lemma 4.17) the above statement that X ×Y X ∼ = X. Then by (C1), (f1),
and (f3) combined, we conclude the assertion.
f1 f2
2. A sequence X1 −→ X2 −→ X3 → · · · → Xj → X of monomorphisms fj
for an object X in C stabilizes after the finite steps; that is, for sufficiently
large j, fj are all isomorphisms.
This assertion is obvious in the category of finite sets. Since F preserves
monomorphisms and brings C into the category of finite sets, it follows by
(f3) from the result for the category of finite sets.
184 4 Review of Scheme Theory

3. There exist a connected partially ordered set I and a projective system

{Pi , πij : Pi → Pj (i > j)}i∈I in C such that
a) For each object X in C, there exists i0 ∈ I such that we have a unique
morphism φi : Pi → X for each i0 < i ∈ I compatible with the
projective system.
b) There exist a universal element ϕ = limi ϕi ∈ limi∈I F (Pi ) and an
←− ←−
isomorphism ιX : F (X) ∼ = lim HomC (Pi , X) induced by ιX (f ) =
−→i∈I
limi F (φi )(ϕi ).
←−
A partially ordered set I is connected if. for any pair of elements (i0 , j)
in I, we can find a finite sequence i0 , i1 , · · · , im = j such that ik > ik+1
or ik < ik+1 for k = 0, . . . , m − 1. We hereafter write Hom(P, X) for
limi∈I HomC (Pi , X), and consider P = limi∈I Pi in the procategory of C.
−→ ←−
The object P is called the fundamental pro-object of C with respect to the
fundamental functor F .
4. Pi can be chosen so that
a) Pi for all i is connected;
b) Pi is not an initial object for all i;
c) πij is an epimorphism for all i > j.
For an axiomatic proof of (3) and (4) that is based on assertions (1) and
(2) besides the axioms (C1–3) and (f1–3), see [FGA] Exposé 195.
We describe what is going on via examples. Suppose that C is the oppo-
site category of the category of separable finite-dimensional semisimple
commutative algebras over a given field k. In other words, C is made of
Spec(K) for separable semisimple extensions K/k with dimk K < ∞. Let
Ω (resp., Ω sep ) be an algebraic (resp., separable) closure of k [Spec(Ω sep )
is a fundamental pro-object]. Then F : Spec(K) → Homk (K, Ω sep ) =
HomC (Spec(Ω sep ), Spec(K)) gives the covariant functor. One can easily
check that (C, F ) is a Galois category. In this case, we may take I to be
the set of all finite Galois extensions in the fixed algebraically closed field
Ω containing k. The order of I is induced by the inclusion of two fields.
Let C be the full subcategory of Set made up of finite étale coverings of
an irreducible variety S of finite type over a field k. Fix a geometric point
s ∈ S(Ω) and take F (X) = HomSCH/S (s, X). We often write this category
as ET/S ⊂ Set . In this case, I is the category of all étale irreducible Galois
coverings with ordering X → Y on I given by S-morphisms. For each
X ∈ I, its function field is a finite separable extension of the function field
of S. Since the function field determines X over S (because epimorphisms
in the category of schemes are dominant morphisms), the category I is
actually a set.
5. If X is not an initial object and Y is connected, any morphism f : X → Y
in C is a strict epimorphism.
 4.2 Fundamental Groups 185

In the above example of the two categories (of semisimple separable finite-
dimensional commutative algebras over k and of étale coverings over S),
this assertion is obvious. However, this is just a consequence of axioms
(C3) and (f2–3). An axiomatic proof is in [SGA] V.4.e.
6. The following conditions are equivalent.
ιPi
a) The natural injection HomC (Pi , Pi ) → Hom(P, Pi ) −−→ F (Pi ) is sur-
jective.
b) Aut(Pi ) acts on F (Pi ) transitively.
c) Aut(Pi ) acts on F (Pi ) simply transitively.
We say that Pi is of Galois type if one of the above equivalent properties
is satisfied by Pi .
This is again obvious for our two examples in item 4 of C, because End(Pi )
is the monoid of field endomorphisms of a finite extension over a given
base field k. In general, we apply the functor F and prove the fact in the
image of F by using the previous assertions (1), (4), and (5).
7. Every object X in C is covered by an object Pi of Galois type so that the
unique map P → X in 3.a)factors through Pi .
8. Let I gal be the subset of I made of all indices i with Pi of Galois type.
Then we have Hom(P, P ) = Aut(P ) = limi∈I gal AutC (Pi ), which is set-
←−
theoretically in bijection with F (P ) = limi F (Pi ). We set Π = Aut(P ).
←−
9. Define a functor G : C(Π) → C so that

HomC (G(Z), ?) ∼
= HomΠ (Z, Hom(P, ?))

as functors with variable X in C.

For each connected X in C(Π), the group Π acts transitively on X by
its connectedness; hence, X ∼ = Π/H for a stabilizer of a point x ∈ X.
Since H acts faithfully on P , for sufficiently large j in I gal , if i > j, πij
induces an isomorphism Pi /H ∼ = Pj /H of the categorical quotients, which
gives P/H (independently of i > j). We set G(X) = P/H. Here the
existence of the categorical quotients Pi /H in C is guaranteed
 by (C2). If
X is not connected, we can write X uniquely
) as X = Z Z for connected
components Z. Then we define G(X) = Z G(Z), which gives the inverse
G of F . See [SGA] V.4.h for more details of the argument.
In our example of Galois extensions, one can check that Spec(K)/H =
Spec(K H ) gives the categorical quotient of Spec(K) by a finite group
H ⊂ Gal(K/k). For the category of étale coverings of a base scheme S, the
existence of categorical quotients is explained in [GME] Proposition 8.4.
10. The two functors F and G give the equivalence of categories.
In our two examples in item 4, this point is obvious.
186 4 Review of Scheme Theory

In the first example of item 4 (that is the example of finite extensions K/k
inside Ω sep ), we write π1 (Spec(k), s) for π1 (C, F ). Then the following lemma
is clear from the above steps:
Lemma 4.49 Let k be a field with separable closure Ω sep whose algebraic
closure we denote by Ω; thus, s = Spec(Ω) → Spec(k) is a geometric point of
Spec(k). Then we have π1 (Spec(k), s) = Gal(Ω sep /k).
We now quote two more propositions from [SGA] V Propositions 5.5–6.
Proposition 4.50 Let {Qi }i∈I be a pro-object in C = C(Π) (i.e., a projective
system of objects in C). Suppose that Qi is not an initial object for any i and
that Qi is connected for all i. Define a covariant functor G : C → SET S by
G(X) = HomC (Q, X). Then Q is isomorphic to Π/H for a closed subgroup
H of Π, and the functor G is isomorphic to the functor E → E H for the
fixed-point subset E H of E under H.
The subgroup H is given by the stabilizer of one point q ∈ Q. Since Qi is
connected, the action of Π is transitive, and Q ∼
= Π/H via πq ↔ πH.
Proposition 4.51 Let (C, F, P ) be as above (a Galois category, a fundamen-
tal functor, and the fundamental pro-object with respect to F ). Let P  =
limj∈J Pj be a pro-object in the procategory of C, and define F  : C → SET S
←−
by F  (X) = Hom(P  , X) = limj∈J HomC (Pj , X). Then the following three
−→
conditions are equivalent:
1. P  ∼
= P and also F  ∼
= F;
2. P is fundamental and also F  is fundamental;


3. F  brings direct sums to direct sums, and F  (X) = ∅ if X is not an initial

object.
We may identify C with C(Π). For C(Π), the fundamental pro-object P is
isomorphic to Π as a profinite set with continuous Π-action. Thus, if P  is
another fundamental pro-object, we find the stabilizer of a single point p of
P  has to be trivial. Since P  is connected, the action of Π is transitive;
hence, π → πp gives an isomorphism Π ∼ = P ∼
= Π  . This basically shows the
equivalence as above.
Remark 4.52 If C is the category of étale coverings of a connected variety
S of finite type over a field k and F (X) = Fs (X) = HomSCH/S (s, X) for
a geometric point s of S(Ω), we write the fundamental group for (C, F ) as
π1 (S, s). If one changes a point s to another geometric point t, Ft is still
a fundamental functor (see [SGA] V.7); hence, we have an isomorphism σ :
Ft ∼= Fs , which induces an isomorphism again denoted by σ of the fundamental
pro-objects Pt ∼ = Ps associated with Ft and Fs , respectively. Then π1 (S, t) ∼
=
π1 (S, s) by τ → στ σ −1 . We call an isomorphism σ : Ft ∼= Fs a path from s
to t.
 4.2 Fundamental Groups 187

Remark 4.53 Here is a slight generalization of Lemma 4.49. Suppose that

S is reduced and irreducible. If we choose t to be the generic point η of S, a
connected étale Galois covering X → S gives an irreducible Galois covering
of S; hence, it is determined by its function field k(X) as a Galois extension
of k(η) = k(S). Thus, π1 (S, η) is canonically isomorphic to Gal(k(P )/k(S))
for a fundamental pro-object P in ET/S .

4.2.4 Algebraization of Fundamental Groups

Let X be a locally Noetherian connected scheme. We fix a geometric point x in

X(Ω). Then the category ET/X of étale faithfully flat coverings of X and the
fundamental functor Fx : ET/X → SET S given by Fx (Y ) = HomSCH/X (x, Y )
supply us with a Galois category and give the profinite group π1 (X, x) so that
Fx gives the identification of ET/X with C(π1 (X, x)). The group π1 (X, x) is
called the algebraic fundamental group of X with base point x. We briefly
describe functorial properties of the algebraic fundamental group.
When X is a smooth variety over C, we can think of the topological fun-
damental group π1top (X, x) for x ∈ X(C) defined as the homotopy classes
of paths starting from x ending up at x. Then, taking the universal cover
p : U → X, any étale covering Y of X is canonically isomorphic to U/Γ
for a subgroup Γ = π1 (Y, y) [for a point y ∈ Y (C) over x] of finite index in
π1top (X, x) (see Sect. 2.3.3). Then Fx (Y ) ∼ top
= π1 (X, x)/Γ , and thus we get
π1 (X, x) ∼
= lim π top (X, x)/Γ = π
1top (X, x), (4.2.3)
←− 1
Γ

where Γ runs over all normal subgroups of finite index in π1top (X, x); in other
words, the algebraic fundamental group π1 (X, x) is the profinite completion
of the topological fundamental group π1top (X, x). If we pick another point
x ∈ X(C) and choose a path σ from x to x , we find π1top (X, x) ∼
= π1 (X, x )
top

by τ → στ σ , and σ induces a unique isomorphism of functors Fx ∼

−1
= Fx .
For a morphism f : X → Y , the pullback f ∗ T = X ×Y T of an étale
covering T/Y is an étale covering of X, because a pullback of a faithful flat
morphism is faithfully flat (see [ECH] Corollary I.3.6). If X and Y are con-
nected, obviously we have Fx ◦ f ∗ ∼ = Ff (x) for any geometric point x ∈ X(Ω),
because an étale covering of a connected scheme X is determined by its fiber
[with the action of π1 (X, x)] at any given geometric point x ([ECH] I.3.12 and
[SGA] I.5.5). Then f ∗ is an exact functor from ET/Y into ET/X .
Suppose now that X and Y are connected locally Noetherian. Then
Fx ◦ f ∗ gives a covariant functor from ET/Y → SET S. By definition,
π1 (X, x) = Aut(Fx ), and each σ ∈ π1 (X, x) induces an automorphism of
Fx ◦ f ∗ ∼= Ff (x) . Thus, Aut(Fx ◦ f ∗ ) = Aut(Ff (x) ) = π1 (Y, f (x)), and we
have a homomorphism of profinite groups, π(f ) : π1 (X, x) → π1 (Y, f (x)). In
other words, the association (X, x) → π1 (X, x) is a covariant functor from the
category of pointed schemes into the category of profinite groups.
188 4 Review of Scheme Theory
f
Using this, we compare fundamental groups of the fibers of X − → Y and
those of X and Y . We always suppose that X and Y are connected locally
Noetherian and that f is proper, surjective, and separable with f∗ (OX ) = OY
so that each geometric fiber of f is connected by Theorem 5.7 (see also [ALG]
III.11.3 and [SGA] X.2). A scheme over a field k is called separable if, for any
field extension K/k, its base change to K is a reduced scheme (no nontrivial
f
nilpotents in the structure sheaf). A morphism X − → Y is called separable if
f is flat and the fiber Xy = X ⊗Y Spec(k(y)) is separable for all points y with
residue field k(y) (see [SGA] X.1).
We choose a point y in the image of f in Y and a geometric point y over y
so that its field k(y) is an algebraic closure of k(y). Take a point x in X with
f (x) = y and a geometric point x over x so that k(x) is an algebraic closure
of k(x) and f (x) = y. Then we take a geometric point a ∈ X y = X ⊗k(y) k(y).
We write i : X y → X for the inclusion morphism. By the functoriality of π1 ,
we have the following sequence of profinite groups:
i∗ f∗
π1 (X y , a) −→ π1 (X, x) −→ π1 (Y, y) → 1, (4.2.4)

f∗ i∗
which is induced by the sequence of functors ET/Y −→ ET/X −→ ET/X y .
Theorem 4.54 Suppose that X and Y are connected locally Noetherian and
that f is proper, surjective, and separable with f∗ (OX ) = OY . Then the
sequence (4.2.4) is an exact sequence of profinite groups.
Here is a sketch of the proof (see [SGA] X.1.3 for more details).
g
Proof. If Y  −
→ Y is a connected étale finite covering, then f ∗ Y  /X is a finite
étale covering and has to be connected because f∗ (OX ) = OY . This shows
that Fx (f ∗ Y ) = Fy (Y ), and hence f ∗ induces a surjection of the universal
pro-object of ET/X onto that of ET/Y . Since the universal pro-object is in
f∗
bijection with the fundamental group, we find that π1 (X, x) −→ π1 (Y, y) is a
surjection.
Since the fiber g −1 (y) of Y  over y is a finite set of closed points, i∗ ◦ f ∗ (Y  )
is a disjoint union of X y indexed by points of g −1 (y). Since X y is the final
object of ET/X y , we find that Im(i∗ ) ⊂ Ker(f∗ ).
To prove the reverse inclusion, Im(i∗ ) ⊃ Ker(f∗ ), we need to show that
h
for any finite étale Galois covering X  −→ X, we have an étale Galois covering

Y  /Y so that X  ∼ = Y  ×Y X if and only if X y /X y has a section (i.e., a
disjoint union of copies of X y ). The only nontrivial point is the “if” part. By
the properness of f and the finiteness of h, A = (f ◦h)∗ (OX  ) is a sheaf of OY -
algebras finite over OY (see Lemma 5.5 and also [EGA] III.3.2.1). Let Y  be the
relative spectrum SpecY (A) defined in Sect. 4.1.6. Since f∗ (OX ) = OY , f is a
surjection onto the topological space of Y . By the separability of f , Yy /y is flat
for all y ∈ Y , and hence Y  /Y is flat (by the fiber-by-fiber criterion of flatness;
 4.3 Group Schemes 189

see [EGA] IV.11.3.11). Again by the separability of f , ΩYy /y = 0 for all y ∈ Y ,

and basically by Corollary 4.30, we have ΩY  /Y ⊗OY  OYy = ΩYy /y = 0 for
all y and ΩY  /Y = 0. Hence, Y  is étale at all y ∈ Y by Lemma 4.32. Thus,
Y  /Y is an étale covering. Then the assertion is plain.

Applying the above proposition to a proper separable, geometrically connected

morphism X → Spec(k) for a field k with separable closure Ω sep inside an
algebraic closure Ω, Lemma 4.49 tell us that for y : Spec(Ω) → Spec(k) with
f (x) = y
Corollary 4.55 Let the notation and assumption be as above. We have the
following exact sequence:
i ∗ f∗
π1 (X y , a) −→ π1 (X, x) −→ Gal(Ω sep /k) → 1.

By Hensel’s lemma, if A is a Henselian local ring with residue field κ, the

category of finite étale algebras over κ is equivalent to that over A by taking
fibers over κ (see [ECH] I.4.2 and I.4.4). We have the following generalization
of this fact to proper smooth schemes by A. Grothendieck and M. Artin:
Theorem 4.56 Let A be a Henselian local ring and X/A be a smooth proper
scheme with special fiber X0/κ . Then we have π1 (X, x) ∼ = π1 (X0 , x0 ) canoni-
cally, where x0 is a geometric point in the special fiber, and x is the geometric
point of X whose schematic closure contains the image of x0 .
See [ECH] Remark I.4.6 for an indication of references containing the proof.

4.3 Group Schemes

If a scheme G/B as a functor induces a covariant functor from ALG/B into
the category GP of groups, G is called a group scheme. If it has values in
abelian groups AB, we call it a commutative group scheme. We present here
a functorial viewpoint of group schemes. A main reference is [RAG].

4.3.1 Affine Algebraic Groups

We start with examples. Let G be an affine scheme over a ring B. Thus,

G is a covariant functor from B-algebras ALG/B to SET S. If the functor
R → G(R) for all B-algebras R factors through the subcategory GP of groups
in SET S, [i.e., G(R) is a group and φ∗ : G(R) → G(R ) for any B-algebra
homomorphism φ : R → R is a group homomorphism], G is called an affine
group scheme or an affine algebraic group defined over B. The group functor
μN sending each B-algebra R to its N th root of unity μN (R) is given by SA
for A = B[X]/((1+X)N −1)−1) and is an example of finite flat (equivalently,
locally free of finite rank) affine group schemes.
190 4 Review of Scheme Theory

Exercise 4.57 Prove that μN (R) = HomALG/B (B[X]/((1+X)N −1)−1), R)

is in bijection to {ζ ∈ R× |ζ N = 1} by sending φ : B[X]/((1 + X)N − 1) − 1) →
R to φ(X) = ζ.
Similarly, if an affine scheme R/B is a covariant functor from the category of
B-algebras into the category of rings, R is called an affine ring scheme. For
two affine algebraic group G, G defined over B, we define

HomB-alg gp (G, G ) = HomGSCH/B (G, G )

  
:= φ ∈ HomSCH/B (G, G )φR is a group homomorphism for all R .
(4.3.1)

Example 4.58
1. Let A = B[X1 , . . . , Xn ]. Then Gna (R) := SA (R) = Rn (as already
remarked), which is an additive group. Since

φ∗ (r1 , . . . , rn ) = (φ(r1 ), . . . , φ(rn ))

for each algebra homomorphism φ : R → R , φ∗ is a homomorphism of

additive groups/rings. Thus, Gna is an additive group/ring scheme.
2. More generally, we can think of C = B[Xij ] for n2 variables. Then
SC (R) = Mn (R), and SC is not just a group scheme but is a ring scheme.
This ring scheme is written often as Mn . As additive group schemes (ig-
2
noring ring structure), Mn is isomorphic to Gna .
3. Consider A = B[t, t−1 ]. Then SA (R) = HomALG/B (A, R) = R× by send-
ing φ ∈ SA (R) to φ(t) ∈ R. Thus, this is a group scheme, denoted by Gm
and called the multiplicative group. Note that if φ : Gm → Gm is a scheme
morphism, then φ∗ (t) = b · tn for b ∈ B × as B[t, t−1 ]× = B × × tZ . If, fur-
ther, φ induces a group homomorphism Gm → Gm , the constant b has to
be 1. Thus, HomGSCH/B (Gm , Gm ) = Z by φ → n if φ∗ (t) = tn . Consider
the group algebra B[Z] of the additive group Z. Then B[t, t−1 ] ∼ = B[Z] by
tn ↔ [n] ∈ B[Z], so Gm = Spec(B[EndGSCH/B (Gm )]).
4. Let L be a free Z-module of rank n with basis e1 , . . . , en . Consider the
functor R → R× ⊗Z L, where R× is considered to be an abelian group
and R× ⊗Z L is a usual tensor product of two abelian groups.  Write this
functor as Gm ⊗Z L. Then R× ⊗Z L ∼ = (R× )n by sending i ai ⊗ ei to
(a1 , . . . , an ). Thus, we have Gm ⊗Z L ∼
= Gnm . Since EndGSCH/B (Gm ) = Z,
∼
we have L = HomZ (L, Z) = HomGSCH/B (Gm ⊗Z L, Gm ) =: X ∗ (L) (the
∗
∗
character group of Gm ⊗ L) by sending t ⊗ # to t () for #∗ ∈ L∗ . In other
words, we have Gm ⊗Z L = Spec(Z[L∗ ]) for the group algebra Z[L∗ ] of
the additive group L∗ . Put X∗ (Gm ⊗Z L) = HomGSCH/B (Gm , Gm ⊗Z L).
We call it the cocharacter group of Gm ⊗Z L. We have a pairing (·, ·) :
X∗ (Gm ⊗Z L) × X ∗ (Gm ⊗Z L) → EndGSCH/B (Gm ) = Z by (φ, χ) = χ ◦ φ.
Clearly, this pairing is perfect. The group of the form Gm ⊗Z L is often
called a B-split torus.
 4.3 Group Schemes 191

1
5. Consider the ring D = B[Xij , det(X) ] for n2 variables Xij and the vari-
able matrix X = (Xij ). Then SD (R) = GLn (R) and SD is a group
scheme under matrix multiplication, which is a subscheme of SC because
GLn (R) ⊂ Mn (R) for all R. This group scheme SD is written as GL(n).
In particular, SB[t,t−1 ] = GL(1) is equal to Gm .
6. For a given B-module X free of rank n, we define XR = X ⊗B R (which
is R-free of the same rank n) and
  
GLX (R) = α ∈ EndR (XR )there exists α−1 ∈ EndR (XR ) .

Then GLX is isomorphic to GL(n)/B by choosing a basis of X; so GLX is

an affine group scheme defined over a ring B. We can generalize this to a
locally free B-module X, but if X is not free, it is slightly more demanding
to prove that GLX is an affine scheme.
7. We can then think of E = B[Xij ]/(det(X) − 1). Then

SE (R) = {x ∈ GLn (R)| det(x) = 1}.

This closed subscheme of GL(n) is written as SL(n) and is a group scheme

(under matrix multiplication) defined over B.
8. Let X is a free B-module of finite rank. We fix a nondegenerate bilinear
form S : X × X → B. Then we consider

G(R) = {α ∈ GLX (R)|SR (xα, yα) = SR (x, y) for all x, y ∈ XR } ,

where SR (r ⊗ x, s ⊗ y) = rsS(x, y) for r, s ∈ R and x, y ∈ X.

To see that this G is an affine algebraic group defined over B, we fix a base
x1 , . . . , xn of X over B and define a matrix S by S = (S(xi , xj )) ∈ Mn (B).
Then every (ij) entry sij (X) of the matrix XS · t X − S (X = (Xij )) is
a quadratic polynomial with coefficients in B. Then we consider L =
B[Xij , det(X)−1 ]/(sij (X)). By definition,
  
SL (R) = α ∈ GLX (R)αS t α = S ∼ = G(R).

We find αS t α = S ⇒ S = α−1 S · t α−1 ; so the inverse exists, and G is an

affine algebraic group. If X = B n and S(x, y) = xS t y for a nondegener-
ate symmetric matrix S, G as above is written as OS/B and is called the
orthogonal group of S. If X = Y × Y and S is nondegenerate and skew
symmetric of the form S((y, y  ), (z, z  )) = T (y, z  ) − T (z, y  ) for a sym-
metric bilinear form T : Y × Y → B, we write G = SpT /B . In particular,
 
if S(x, y) = x 10n −10 n t y, the group G is written as Spn/B and is called
the symplectic group of genus n.
9. We consider a quadratic polynomial f (T ) = T 2 + aT + b ∈ Z[T ]. Then
define Sf (R) = Ga (R)[T ]/(f (T )). As a scheme, Sf ∼ = G2a , but its value is a

ring all the time. If φ : R → R is an algebra homomorphism, φ∗ (r +sT ) =
φ(r) + φ(s)T , and so it is a ring homomorphism of Sf (R) = R[T ]/(f (T ))
192 4 Review of Scheme Theory

into Sf (R ) = R [T ]/(f (T )). Thus, S√

f is a ring scheme, and writing O
for the order of the quadratic field Q[ a2 − 4b] generated by the root of
f (T ), we have Sf (R) ∼= R ⊗Z O.
10. Since any given number field F is generated by one element, we know
F = Q[T ]/(f (T )) for an irreducible monic polynomial f (T ). For any Q-
algebra R, define Sf (R) = R[T ]/(f (T )). Then, in the same way as above,
Sf is a ring scheme defined over Q such that Sf (R) = F ⊗Q R.
11. Let G be an affine algebraic group defined over a number field F . Then we
define a new functor G defined over Q-algebras R by G (R) = G(Sf (R)) =
G(F ⊗Q R). We can prove that G is an affine group scheme defined over
Q, which we write as G = ResF/Q G [see Exercise 4.59 (3)].
12. Assume that f is a quadratic polynomial in Q[T ]. Then Sf (Q) = F
is a quadratic extension with Gal(F/Q) = {1, σ}. Let X be a finite-
dimensional vector space over Q, and let Gal(F/Q) act on XF = F ⊗Q X
through F . Suppose we have a Hermitian form H : XF × XF → F such
that H(x, y) = σ(H(y, x)). Then for a Q-algebra R,
  
UH (R) = α ∈ GLX (Sf (R))HSf (R) (xα, yα) = HSf (R) (x, y)
is an affine algebraic group, which is called the unitary group of H. Note
that UH is defined over Q (not over F ).
Exercise 4.59
1. Prove that if φ ∈ HomGSCH/B (Gm , Gm ) =: End(Gm ), the corresponding
algebra homomorphism φ∗ : B[t, t−1 ] → B[t, t−1 ] satisfies φ(t) = tn for an
integer n [so End(Gm ) ∼
= Z].
2. Let F be a number field with the integer ring O. Is there any affine ring
scheme S defined over Z such that S(R) = O ⊗Z R?
3. Let S : X × X → B be a bilinear form for a B-free module X of finite
rank n, and suppose that X ∼ = HomB (X, B) by S. Prove that the matrix
of S is in GLn (B) for any choice of basis of X over B.
4. For an affine algebraic group G over a number field F (that is, a finite
extension of Q), prove that ResF/Q G is an affine algebraic group defined
over Q.
5. Show that the unitary group UH over Q as above is an affine algebraic
group.
More generally than the above Exercise 4.59 (4), we start with an affine group
scheme H over a ring R . For a subalgebra R of R , if the covariant functor
C → H(C ⊗R R ) defined on the category of R-algebras is isomorphic to a
 
scheme H/R , we write H/R = ResR /R H and call it the Weil restriction of

H with respect to R /R (this is not changing the base ring of H/R to the
subalgebra R).
Theorem 4.60 Let the notation and the assumption be as above. If R /R is
locally R-free of finite rank, the group functor ResR /R H is an affine group
scheme over R.
 4.3 Group Schemes 193

For a proof, see [NMD] 7.6, Theorem 4.

4.3.2 Basic Diagrams

The group structure of a group scheme gives rise to morphisms of schemes by

Lemma 4.17; for example, the group multiplication induces the multiplication
morphism m : G × G → G and the existence of identity can be formulated
to be the existence of a closed immersion Spec(B) → G, which satisfies the
group law. For example, associativity is equivalent to the commutativity of
the following diagram:
(x,y,z) →(xy,z)
G ×SB G ×SB G −−−−−−−−−−→ G ×SB G
⏐ ⏐
⏐
(x,y,z) →(x,yz).
⏐m
.
G × SB G −−−−→ G.
m

If G = SA is affine, the dual of this commutative diagram is

m⊗id
A ⊗B A ⊗B A ←−−−− A ⊗B A
7 7
⏐
id ⊗m⏐
⏐m
 ⏐
A ⊗B A ←−−−− A.
m

The B-algebra homomorphism m is called comultiplication. Similarly, the

identity eR of the group G(R) induces the functor morphism

eR : SB (R) = {the structure morphism ιR : B → R}  ιR → eR ∈ G(R).

If G = SA is affine, the dual B-algebra homomorphism e : A → B is called the

co-identity. The group inverse map i : G(R) → G(R) induces an involution i
of OG (or A if G = SA ) called the co-inverse. These maps make the following
diagram commutative:
e e
A −−−−→ B A −−−−→ B
⏐ ⏐ ⏐ ⏐
⏐
m.
⏐ιA ⏐ ⏐ιA
. and m. .
A ⊗B A −−−−→ A, A ⊗B A −−−−→ B ⊗B A = A,
idA ⊗i e⊗idA

A B-algebra A with comultiplication, co-inverse, and co-identity (satisfying

the above commutative diagrams) is called a B-bialgebra (or Hopf B-algebra).
Once we take a dual A∗ = HomB (A, B), A∗ is also a bialgebra under the dual
maps, as long as A is locally free of finite rank over B. The bialgebra A∗ is
called the dual B-bialgebra of a B-bialgebra A. We write BIALG/B for the
category of B-bialgebras whose morphisms are B-algebra homomorphisms
194 4 Review of Scheme Theory

compatible with comultiplication, co-inverse, and co-identity. The category

of group schemes GSCH/B is a subcategory of SCH/B ⊂ CB made up of
B-schemes having values in the category of groups, whose morphisms are
B-scheme morphisms preserving the group structure. The association A →
SA induces a contravariant functor of BIALG/B into GSCH/B , which gives
rise to an (anti-)equivalence of categories between BIALG/B and the full
subcategory of affine group schemes in GSCH/B .
Exercise 4.61 Consider Gm = Spec(B[t, t−1 ]). Let

m ∈ HomALG/B (B[t, t−1 ], B[t, t−1 ] ⊗B B[t, t−1 ])

with m(t) = t⊗ t. Show that the corresponding morphism m : Gm × Gm → Gm

is given by m(a, b) = ab for a, b ∈ Gm (R) = R× .

4.3.3 Functorial Representations

Consider a group scheme G/B . We have a notion of a module over a given

group. We generalize this to a notion of an action of a group scheme on a
functor having values in M OD/B . We give only a brief outline of the theory
(see [RAG] I.2) for general theory). For any B-module M , we define a group
functor M from ALG/B into M OD/B by M (R) = M ⊗B R. Let G/B be a
group scheme. A B-module M is called a functorial G-module or schematic
G-module if we have a functorial action G(R) × M (R) → M (R) that is
R-linear. This means that we have a morphism of covariant functors G×M →
M such that for each R ∈ ALG/B , the induced map G(R) × M (R) → M (R)
is an action of the group G(R) on the R-module M (R). In particular, if G =
Spec(A) for an B-bialgebra A, G(A) = HomS (G, G) acts on M (A) = M ⊗B A.
Thus, idG ∈ G(A) acts on M (A) [here idG is not the identity eA of the group
G(A) but the identity map in HomS (G, G) = G(A)].
id
Define a map Δ : M → M ⊗B A −−→ G
M (A) by Δ(μ) = idG (μ⊗1) (μ ∈ M ),
where 1 is the identity element of the ring A. Then we claim that Δ determines
the G-module structure on M . In fact, for g ∈ G(R) = HomALG/B (A, R), we
have G(g)(idG ) = g and a commutative diagram:

(idG , μ ⊗ 1) ∈ ⏐ × M (A)
G(A) −→ M
⏐ (A)
¯
↓ .G(g) × (idM ⊗g) .idM ⊗g
(g, μ ⊗ 1) ∈ G(R) × M (R) −→ M (R).

We see that g(μ ⊗ 1) = (idM ⊗g) ◦ idG (μ ⊗ 1) = (idM ⊗g) ◦ Δ(μ), and Δ
actually determines the destination of μ ⊗ 1 under g. By the associativity of
the action, for the multiplication m : G×S G → G and the identity e : SB → G
[sending SB (R) = {ιR } to the identity eR of the group G(R)], we get

(Δ ⊗ idA ) ◦ Δ = (idM ⊗m) ◦ Δ and (idM ⊗e) ◦ Δ = idM .

 4.3 Group Schemes 195

−1
Example 4.62  Suppose G = Gm = Spec(B[t, t ]) for a variable t. Then we
have Δ(μ) = n∈Z pn (μ)tn , where pn ∈ EndB (M ). Then we see from e(t) = 1
and m(t) = t ⊗ t that

idM = (idM ⊗e) ◦ Δ = pn and
n
 
pk ◦ pj t ⊗ t = (Δ ⊗ idA ) ◦ Δ = (idM ⊗m) ◦ Δ =
k j
p n tn ⊗ tn .
k,j∈Z n

This implies pk ◦ pj = δk,j pj for Kronecker’s δ. Writing Mn = pn (M ), we have

M = ⊕k∈Z Mk . It is easy to see that
  
Mk (R) = x ∈ M (R)g(x) = g k x for all g ∈ Gm (R) ,

and we have
:
If G = Gm and M is a G-module, then M = Mk . (4.3.2)
k∈Z

A group scheme G/B is called diagonalizable if any functorial G-module is a

direct sum of eigenspaces under the action of G. In particular, Gm and Gnm
are diagonalizable.

4.3.4 Duality of Hopf Algebras

A finite flat group scheme f : G → S over S is sometimes called a locally free

group scheme since G = SpecS (f∗ OG ) with locally free OS -module f∗ OG of
finite rank. Let G/B be a locally free commutative group scheme. By definition,
G = Spec(A) for a B-bialgebra A. We suppose that G has constant rank N
[that is, the rank rankB OG = N is independent of the connected component
of Spec(B)]. We have the following correspondence of morphisms:

Morphisms of S-schemes Homomorphisms of B-algebras

m : G ×S G → G (multiplication) m : A → A ⊗B A
i : G → G (inverse) i:A→A
e : S → G (identity) e:A→B

Let A∗ = HomB (A, B) be the B-linear dual of A. Then A∗ is a free B-

module of rank N . Using the morphisms of B-algebras in the left column of
the above table, we define the product

m∗ : A∗ ⊗B A∗ → A∗ by (φ, η) → φ · η = (φ ⊗B η) ◦ m.

Recall the commutative diagrams defining (commutative) bialgebras:

196 4 Review of Scheme Theory

1. The commutativity of comultiplication m:

m
A −−−−→ A ⊗B A
⏐ ⏐
⏐
m.
⏐m⊗id
. A

A ⊗B A −−−−−→ A ⊗B A ⊗B A
idA ⊗m

implies the associativity:

(φ · η) · ξ = (φ ⊗ η ⊗ ξ) ◦ (m ⊗ idA ) ◦ m
= (φ ⊗ η ⊗ ξ) ◦ (idA ⊗m) ◦ m = φ · (η · ξ)

for φ, η, ξ ∈ A∗ .
2. The commutativity defining co-inverse e:
m
A −−−−→ A ⊗B A
⏐ ⏐
⏐
.
⏐e⊗id
. A

A A
implies the existence of the identity:

e · φ = (e ⊗ φ) ◦ m = φ ◦ (e ⊗ idA ) ◦ m = φ ◦ idA = φ.

3. The commutativity of the following diagram:

m
A −−−−→ A ⊗B A
⏐ ⏐
⏐
m.
⏐sw
.
A ⊗B A A ⊗B A
implies the commutativity:

φ · η = (φ ⊗ η) ◦ m = (η ⊗ φ) ◦ m = η · φ,

where idA : A → A is the identity map of the set A and sw : A⊗B A → A⊗B A
is switching the coordinates: sw(a ⊗ b) = b ⊗ a. We can check the distributive
law for A∗ as follows:

(φ + η) · ξ = ((φ + η) ⊗ ξ) ◦ m = (φ ⊗ ξ + η ⊗ ξ) ◦ m = φ · ξ + η · ξ.

Therefore, A∗ becomes a commutative B-algebra.

We now see what kind of morphism the multiplication μ : A ⊗B A →
A induces on A∗ . The commutativity of the left diagram in the following
diagrams implies the commutativity of the right:
 4.3 Group Schemes 197

A ⊗ A ⊗ A −−−−→ A ⊗ A μ∗
μ⊗idA A∗ −−−−→ A∗ ⊗ A∗
⏐ ⏐ ⏐ ⏐
⏐
idA ⊗μ.
⏐μ ⏐ ⏐μ∗ ⊗id ∗
. ⇒ μ∗ . . A

A⊗A −−−−→ A, A∗ ⊗ A∗ −−−−−−→ A∗ ⊗ A∗ ⊗ A∗ .

μ ∗
idA∗ ⊗μ

∗
Writing G = SA∗ , the above commutative diagram implies the associativity
of multiplication m∗ induced by μ∗ . Recall that ιA : B → A denotes the
structure B-algebra homomorphism. We see easily again that ι induces the
identity e∗ ∈ G∗ . and that i∗ = (i)∗ gives the inverse of G∗ . Thus, the affine
scheme G∗ is a locally free commutative group scheme of constant rank N . By
definition, (G∗ )∗ ∼
= G canonically. The group scheme G∗ is called the Cartier
dual of G. The association A → A∗ is a contravariant involutive functor from
locally free B-bialgebras into itself, and at the same time, G → G∗ is a
contravariant involutive functor from locally free group schemes over B into
itself.

4.3.5 Duality of Finite Flat Groups

We define the category of group schemes GSCH/S over a scheme S as

a full subcategory of CT F (SCH/S , GP ) made of group schemes over S.
Thus, for two group schemes G, F : SCH/S → GP , we are going to write
HomGSCH/S (G, F ) for the set of morphisms of two contravariant functors
preserving the group structure. We now extend the definition of the duality to
locally free group schemes:
Theorem 4.63 If G/S is a locally free commutative group scheme of rank N ,
the functor G∗ : SCH/S → AB given by

X → HomGSCH/X (G ×S X, Gm ×S X)

is representable by (i.e., isomorphic to) a locally free group scheme G∗/S of

rank N , which is called the Cartier dual of G. The correspondence G → G∗
is an antiequivalence of the category of locally free groups schemes over S.
Here antiequivalence means that it gives the equivalence of the source cate-
gory to the opposite category of the target category. The opposite category
C ◦ of C is obtained by reversing the direction of arrows, that is, we define
HomC ◦ (X, Y ) := HomC (Y, X) without changing objects. As is clear from the
proof, this duality is induced locally by the duality of bialgebras discussed in
the previous subsection.
Proof. We follow Mumford’s proof in [ABV] III.14. Since G∗ is local, we may
assume that S = Spec(B), G = Spec(A) for an B-bialgebra A, where A is B-
free of rank N . We show that G∗ is isomorphic to G∗ = SA∗ . We have for any
B-algebra R: HomALG/B (A∗ , R) ∼= HomALG/R (A∗ ⊗B R, R) via φ ↔ φ ⊗ idR
for the identity map idR : R → R. Then we see
198 4 Review of Scheme Theory

SA∗ (R) = HomALG/B (A∗ , R) ∼

= HomALG/R (A∗ ⊗B R, R)
∼
= HomALG/R (HomR (A ⊗B R, R), R) (A∗ ⊗ R ∼ = (A ⊗ R)∗ ⇐ A is B-free)
∼
= HomALG/R ((A ⊗B R)∗ , R)
  
= f ∈ HomR ((A ⊗B R)∗ , R)f (φ · η) = f (φ)f (η), f (e) = 1
  
∼
= ξ ∈ A ⊗B R(φ ⊗ η)(m(ξ)) = φ(ξ)η(ξ) = (φ ⊗ η)(ξ ⊗ ξ), e(ξ) = 1
  
= ξ ∈ A ⊗B Re(ξ) = 1 and m(ξ) = ξ ⊗ ξ =: Ξ,

where φ and η run over all elements in (A ⊗B R)∗ . We write Ξ for the last
set of ξ in the above formula. Here the second identity from the last follows
from the fact

(A ⊗B R)∗ ⊗R (A ⊗B R)∗ ∼
= (A ⊗B A ⊗B R)∗ .

If ξ ∈ Ξ, then

m(ξ) = ξ ⊗ ξ ⇒ ξ · i(ξ) = m((1A ⊗ i)(m(ξ))) = e(ξ) = 1 ⇒ ξ ∈ (A ⊗B R)× .

This shows
  
SA∗ (R) = ξ ∈ (A ⊗B R)× e(ξ) = 1 and m(ξ) = ξ ⊗ ξ .

We now compute HomGSCH/R (G/R , Gm/R ) and show that this is isomorphic
to the above set: Note that the comultiplication m0 , the co-inverse i0 , and the
co-identity e0 of Gm/R = Spec(R[t, t−1 ]) are given by m0 (t) = t ⊗ t, e0 (t) = 1,
and i0 (t) = t−1 . Then we see

HomGSCH/R (G/R , Gm/R ) = HomBIALG/R (R[t, t−1 ], A ⊗B R) ⊂ (A ⊗B R)×

by λ → λ(t). Computing the image of λ ∈ HomBIALG/R (R[t, t−1 ], A ⊗B R) in

(A ⊗B R)× and writing ξ = λ(t), we get

e(ξ) = e(λ(t)) = λ(e0 (t)) = 1,

ξ ⊗ ξ = λ(t) ⊗ λ(t) = λ ⊗ λ(m0 (t)) = m(λ(t)) = m(ξ),

which shows the assertion.

Exercise 4.64 Let the notation and assumption be as in the theorem. Prove
(Z/N Z)∗ = μN and μ∗N = Z/N Z.
)
Here (Z/N Z) = Spec( n∈Z/N Z B); so, for a B-scheme X, writing π0 (X)
for the set of connected components of the topological space of X, we have
(Z/N Z)(X) = (Z/N Z)π0 (X) , which is a locally free group.
 4.3 Group Schemes 199

4.3.6 Abelian Schemes

Up to now, we have studied affine group schemes (except for elliptic curves). A
group scheme A/S is called an abelian scheme over a base B-scheme S if A → S
is smooth, proper, and geometrically connected. Here the phrase geometrically
connected means that the fiber Ak = A ×S,φ Sk over φ : Spec(k) → S for any
algebraically closed field k over B is connected (i.e., irreducible). Since A is
proper and geometrically connected, it cannot be affine unless A = S.
Lemma 4.65 If A/S is an abelian scheme, then A as a group functor has
values in the category of abelian groups.
We give a sketch of a proof (see [ABV] Sect. 4 for details).

Proof. For simplicity, we assume that S = Spec(k) for a field k. Then we con-
sider the stalk OA,e at the group identity e. Consider OA,e and Mn = OA,e /mne
a schematic representation of A on which x ∈ A(R) acts by conjugation (as
y → xyx−1 preserves the identity e, hence induces an action on the stalk).
Thus, we have a morphism of functors A(R) → EndR (Mn ⊗B R). Since
R → EndR (Mn ⊗B R) is an affine ring scheme Spec(Cn ), we get a mor-
phism of schemes A → SCn . Since A is proper and geometrically connected,
the image of this morphism is a point (as there is no proper geometrically
connected subscheme inside an affine scheme except for a maximal point).
Since e induces the identity of SCn , we find that the entire A fixes Mn for
all n, and hence fixes the stalk OA,e . Since A is smooth and geometrically
connected, A is irreducible; hence, OA (U ) → OA,e if U is an open subscheme
containing e, and the conjugation has to be trivial on A. Thus, A has values
in abelian groups. The above proof works over any local ring B and hence
over any scheme, as schemes are local ringed spaces.

Lemma 4.66 Let A/S be an abelian scheme. Then multiplication by an inte-

ger N > 0: x → N x induces a finite flat morphism N : A → A.
Here is a brief outline of a proof.

Proof. When S = Spec(k) for an algebraically closed field k, the finiteness of

A[N ] = Ker(N : A → A) follows from the properness of abelian schemes (see
Corollary 5.10 in the text and [ABV] Sect. 6). In general, by the finiteness
of A[N ](k), N : A → A is quasi-finite. Since A is proper, N : A → A is
proper; hence, N is finite (see Corollary 5.10). If k is a field, N induces an
endomorphism N of the function field k(A), hence, k(A)/N (k(A)) is a finite
extension of fields, and so N is generically flat. The nonflat locus of N is
therefore a proper closed subset F (see Proposition 5.3). Since A(k) acts
transitively on A(k) (by an automorphism of the scheme A/k ) for an algebraic
closure k/k, this proper closed set has to be empty. Thus, N : A → A/k is
flat. In general, by the above argument, fiber by fiber, N : A → A is flat, and
hence N : A → A is flat (see [GME] Theorem 1.9.7 and [EGA] IV.11.3.11).
200 4 Review of Scheme Theory

4.3.7 Barsotti–Tate Groups

For a prime p, the notion of a Barsotti–Tate group is technically important

in many aspects of arithmetic algebraic geometry, in particular, in the clas-
sification problem of abelian schemes, as we can often reduce the study of
abelian schemes to that of affine finite flat group schemes via the Barsotti–
Tate groups.
Let G : ALG/B → AB be a covariant functor into the category AB of
abelian groups. If we regard G as a functor from the category of affine B-
schemes, it is contravariant. Suppose that, for any faithfully flat extension of
finite presentation ι : R → R1 of B-algebras (such an extension is called an
fppf extension),
1. The group G(R) injects into G(R1 ); that is, G(ι) : G(R) → G(R1 ) is
injective.
2. Let R2 = R1 ⊗R R1 and R3 = R1 ⊗R R1 ⊗R R1 . Write ιi : R1 → R2
(i = 1, 2) for the two natural inclusions [with ι1 (r) = r⊗1 and ι2 (r) = 1⊗r]
and ιij : R2 → R3 for the three natural inclusions [i.e., ι12 (r ⊗ s) =
r ⊗ s ⊗ 1, and so on]. If x ∈ G(R1 ) satisfies y = G(ι1 )(x) = G(ι2 )(x) and
G(ι12 )(y) = G(ι23 )(y) = G(ι13 )(y), then x is in the image of G(R) under
G(ι).
In short, the above two conditions are equivalent to requiring that for any
fppf covering {Ui }i∈I of U in SCH/B , the following (now familiar) sequence
is exact:  
0 → G(U ) → G(Ui ) → G(Ui ×U Uj ).
i∈I i,j∈I

Thus, G is an abelian sheaf on SCH/B under the f ppf -topology (so we call
it an abelian f ppf -sheaf). As before, we denote by S(Bf ppf ) the category
of abelian fppf sheaves over B. More generally, for a general scheme S, we
call an object in S(Sf ppf ) an abelian fppf sheaf over S. As we remarked in
Sect. 4.1.10, the category S(Sf ppf ) is an abelian category.
Since a finite flat group scheme G over B is affine represented by a B-
bialgebra A finite flat over B, A is finitely presented faithfully flat; thus, G
gives rise to an object in S(Bf ppf ). Thus, the category F F G/B of finite flat
group schemes is a full subcategory of S(Bf ppf ). If H is a finite flat subgroup
scheme of a flat group scheme (giving rise to an fppf abelian sheaf), the
quotient G/H originally in S(Bf ppf ) is actually represented by a flat group
scheme (see, for example, [GME] Proposition 1.12.2). The multiplication of
H induces a functorial representation of H on OG and, therefore, we have
a sheaf of rings OG H
made up of H-invariant sections. If G is finite flat, we
indeed have SpecB (OG H
) = G/H. Though any morphism f : G → G in
F F G/B may not have cokernel in F F G/B , if f is a closed immersion, we have
the quotient Coker(f ) in F F G/B . If f is an epimorphism in S(Bf ppf ), we
have Ker(f ) ∈ F F G/B (see [GME] Lemma 1.12.1). In short, F F G/B is an
exact category (but may not be an abelian category).
 4.3 Group Schemes 201

Here is a definition of p-divisibility for fppf sheaves (which is weaker than

Tate’s notion of p-divisible groups). We call an abelian fppf sheaf G a p-
divisible fppf sheaf if, for any x ∈ G(R), there exists an fppf extension R1 of
R and a point y ∈ G(R1 ) such that x = py.
We call a p-divisible fppf sheaf G/B a p-divisible group or a Barsotti–Tate
group if
(i) G = limn G[pn ] for G[pn ] = Ker(pn : G → G);
−→
(ii) G[pn ]/B is finite flat group schemes over B with closed immersions
G[pn ] → G[pm ] for m > n;
(iii) the multiplication [pm−n ] : G[pm ] → G[pn ] is an epimorphism in the
category of finite flat group schemes.
Lemma 4.67 Let G/B be a smooth, geometrically connected group scheme of
finite dimension with x → px inducing a finite  morphism G → G. Then G is
a p-divisible abelian fppf sheaf, and G[p∞ ] = n G[pn ] for G[pn ] given by the
kernel Ker(pn : G → G) is a Barsotti–Tate group.

Proof. Write f : G → G for the multiplication by p. For any point s ∈ S(K)

for a field K, the fiber Gs/K is a connected group scheme. Thus, as in the
proof of Lemma 4.66, f : Gs → Gs is generically flat; so the nonflat locus
Gnfl
s of f is a proper closed subset of Gs (see Sect. 5.1.1). Since Gs (K) is a
group (for an algebraic closure K/K), Gs (K) acts transitively on Gs (K), and
so Gnfl
s has to be empty. Thus, f is flat on each fiber Gs . By the flatness
criterion fiber by fiber (cf. [EGA] IV.11.3.11), f : G → G is flat. Since G
is geometrically connected, f is dominant; hence, f and multiplication by
pn given by f n are finite faithfully flat of finite presentation, proving the
first assertion. Thus, G[pn ] = G ×G,[pn ],e SB is finite flat over SB , as the
pullback of a finite flat morphism is finite flat (cf. [ALG] III.9.2). By definition,
G[pn ] → G[pm ] for m > n is a closed immersion. Since G is an fppf abelian
sheaf, [pm−n ] : G[pm ] → G[pn ] is an epimorphism in the category of fppf
abelian sheaves; hence, it is an epimorphism in the category of finite flat
group schemes. Thus, G[p∞ ] is a Barsotti–Tate group.

 then R →
By Lemmas 4.67 and 4.66 combined, if A/S is an abelian scheme,
A(R) = HomCB (SR , A) is an fppf abelian sheaf, and A[p∞ ] = n A[pn ] for
 : A → A) is a Barsotti–Tate p-divisible group. In the same
A[pn ] = Ker(p n

way, μp∞ = n Gm [pn ] is a Barsotti–Tate group (over any base, as Gm/Z is

smooth).

4.3.8 Connected–étale Exact Sequence

For a given locally free group scheme G/S over a connected scheme S, intu-
itively, we expect that the connected component G◦ would be a locally free
group scheme with étale quotient G/G◦ . This is not generally true, but we
can prove the following fact:
202 4 Review of Scheme Theory

Proposition 4.68 For a locally free group scheme G/S of finite rank over
S = Spec(A) for a Henselian local ring A, we have a canonical exact sequence
of locally free group schemes:

0 → G◦ → G → Get → 0,

where G◦ is connected and Get is étale.

Proof. Since G → S is finite, it is affine; hence, G = Spec(A) for a sheaf A of

bialgebras finite flat over A. Since ET/S is a Galois category (see Sect. 4.2.3),
for any two étale A-subalgebras A , A ⊂ A, the composite A ·A is still étale
over A. Thus, there exists a unique maximal étale O-subalgebra Aet ⊂ A.
Consider the comultiplication m∗ : A → A ⊗A A.
If E ⊂ A ⊗A A is an étale algebra over A, then E · (1 ⊗ Aet ) ⊂ A ⊗A A
is étale over Aet . Thus, by replacing E by E · (Aet ⊗A Aet ) ⊂ A ⊗A A, we
may assume that E ⊃ Aet ⊗A Aet . Writing (A ⊗A A)et for the maximal étale
extension of A inside A ⊗A A, we thus have

(A ⊗A A)et ⊃ E ⊃ Aet ⊗A Aet .

For the moment, assume that S = Spec(k) for a field k. Then Aet /k is the
maximal separable extension of k inside A. Thus, Aet ⊗k Aet is the maximal
separable extension of k inside A ⊗k A (cf. [TCF] II.2.5.3), and

(A ⊗k A)et = E = Aet ⊗k Aet .

Taking the unique closed point x ∈ S and looking into stalks at x, we thus
have

(Ax ⊗A Ax )et = Ex = Aet

x ⊗A Ax ⇒ (A ⊗k A) = E = A ⊗k A
et et et et

as ETOS,x ∼ = ET/k(x) by Theorem 4.56. Since an injective A-algebra homomor-

phism from an étale extension of A into an A-algebra brings it into an étale
extension of A, we find that m∗ sends Aet into Aet ⊗A Aet . Similarly, a
co-inverse sends Aet into Aet . In short, Aet is an A-bialgebra. Let Get =
Spec(Aet ); thus, we have a morphism of finite flat group schemes π : G → Get .
We define Ker(π) = G◦ and call it the connected component of G. Since A
is local ring, over the separable closure k(x) of the residue field k(x), G◦ has
only one physical point; hence, G◦ (k(x)) = {0E }. Therefore, G◦ is indeed
connected, and G◦ = Spec(A◦ ) for the maximal local residue ring A◦  A
of A through which the identity section S → G factors. In particular, A◦ is
finite flat over OS .  
 
If G is a Barsotti–Tate group over A, G◦ := G[pn ]◦ and Get := G[pn ]et
are obviously Barsotti–Tate groups, as connectedness and étaleness are kept
under the inclusion maps and also multiplication by p.
 4.3 Group Schemes 203

Corollary 4.69 For a Barsotti–Tate group G/S over S = Spec(A) with a

Henselian local ring A, we have a canonical exact sequence of Barsotti–Tate
groups:
0 → G◦ → G → Get → 0,
where G◦ is connected and Get is étale.

4.3.9 Ordinary Barsotti–Tate Group

Let S be a scheme over which the fixed prime p is p-adically nilpotent.

Lemma 4.70 A locally free group scheme G/S of a finite p-power rank is
étale if and only if after base change to an étale finite extension, it is a direct
sum of the finitely many constant group schemes of p-power order.
See [GME] Lemma 1.12.5 for a proof.
A morphism of schemes f : S  → S (for S with p-adically nilpotent p) is
called quasi-compact if f −1 (U ) = S  ×S U for any open affine quasi-compact
subscheme U ⊂ S is quasi-compact. A Barsotti–Tate group G over a scheme S
is called ordinary if there exists a faithfully flat quasi-compact covering S  → S
such that G/S  = G ×S S  fits into the exact sequence of Barsotti–Tate group
of the following type:

0 → μsp∞ → G/S  → (Qp /Zp )r → 0,


where Qp /Zp = n p−n Z/Z for the étale group scheme p−n Z/Z over S  . The
integer r is called the p-rank of G and written as r(G) := r.
For the moment, we assume that S  is connected. Since S  /S is faithfully
flat, S  → S is a surjection of the topological space (the going up/down
theorem of ring theory); thus, S is connected. The topological space of μpn is
connected (as S is connected and on S, p is not invertible). If we write Gmult
/S 
for the image of μrp∞ in G, Gmult
/S  is the maximal connected subgroup over each
connected component of S  of G/S  . Thus, defining Gmult/S by the maximal
 ∼
connected subgroup over S, we have Gmult /S × S S = G mult
/S  , canonically. In
other words, we get a canonical extension

0 → Gmult → G → Get → 0

such that Get is the maximal étale quotient and Gmult is the maximal multi-
plicative subgroup.
Lemma 4.71 Suppose that S is a reduced Z(p) -scheme and either that p = 0
all over S or that μp∞ (k(η)) is a finite group of bounded order for all generic
points η of S. If the exact sequence Gmult → G  Get of ordinary Barsotti–
Tate groups splits over S, the splitting is unique.
204 4 Review of Scheme Theory

Proof. We may assume that S is irreducible and that Gmult is nontrivial.

We first assume that S is affine given by Spec(R). Consider the reduced
part Gred , which is a closed subscheme of G. Since the reduced part is uniquely
determined by G, the group structure of G preserves Gred , and hence Gred
is a group. Since Gred [pn ], G[pn ], Gmult [pn ] and Get [pn ] are locally free of
finite rank over S, and so they are affine. Write G? [pn ] = Spec(Rn? ) for a
locally free R-algebra Rn? of finite rank. Then Rnet is the maximal subalgebra
of Rn étale over R. Thus, if R is reduced, Rnet is reduced. In particular, for
the nilradical nil(Rn ), nil(Rn ) ∩ Rnet = 0. Thus, we get an injective R-algebra
homomorphism Rnet → Rnred .
First suppose that p = 0 on S. Since μpn /Fp ∼
n
= Spec(Fp [X]/(X p )) as
schemes, and Gmult [pn ] is isomorphic to μrpn étale locally, Gmult is not reduced
(if Gmult = 0). Thus, Gred [pn ] is a proper subgroup of G[pn ]. Pick a geometric
point Spec(k) → S for an algebraically closed field k. Then Rnet ⊗R k ∼ =
k G [p ](k) as R-algebra, and Gmult [pn ] ×R k ∼
et n n
= Spec(k[T ]/((1 + T )p − 1))r .
Thus, we have
4
G[pn ] ×Spec(R) Spec(k) ∼
n
= Spec(k[T ]/((1 + T )p − 1))r
x∈Get [pn ](k)

as schemes. This shows that Rnet ⊗R k ∼ = Rnred ⊗R k ∼

et n
= k G [p ](k) for any
geometric point of S; hence, Rnet ∼ = Rnred . Thus, Gred [pn ] ⊂ G[pn ] gives a
unique splitting of G[p ]  G [p ]. This shows the uniqueness of the splitting
n et n

G = Gmult ×S Get (cf. [ABV] page 136).

Now assume that p = 0 in S. Since S is irreducible and reduced, it is
integral, and so p is not a zero divisor in R. Choose an integral domain R /R
faithfully flat étale over R so that Get is constant over R and Gmult ∼ = μrp∞
 
over R . Such an R exists by Lemma 4.70 combined with the duality the-
ory of locally free groups (see Sect. 4.3.5). Suppose we have two splittings
G = Get ⊕ Gmult = E ⊕ T for multiplicative Barsotti–Tate groups Gmult
and T and étale Barsotti–Tate groups Get and E. Then consider the com-
posed map i : E → G  Gmult . If the two splittings are not identical,
the morphism i is nontrivial. Write k for the field of fraction of R . Then
k[μp∞ ]/k is an infinite Galois extension, since μp∞ (R) is finite and R /R is
an étale extension. Write Tp X = limn X[pn ](k) for the Tate module of X for
←−
a Barsotti–Tate group over an algebraically closed field k of characteristic 0.
Then the morphism i : Gmult → E induces a morphism of Gal(k[μp∞ ]/k)-
modules i∗ := Tp E → Tp Gmult . Since the Galois action on Tp E is trivial
and it is via the cyclotomic character on Tp Gmult because Gmult ∼ = μrp∞ over

R , we find that i∗ = 0. Since Hom(E/R , G/R ) → Hom(E/R , Gmult
mult
/R ) →
mult
HomGal(k[μp∞ ]/k) (Tp E/k , Tp G/k ) (e.g. [T1] Theorem 4), we find that i = 0,
a contradiction. Thus, the splitting is unique.
In general, if S is not affine, cover S by affine open subschemes Spec(R),
and apply the above argument to G ×S Spec(R). Then the splitting (if it
exists) must be unique.  
 4.4 Completing a Scheme 205

Let T/S and E/S be a multiplicative and an étale Barsotti–Tate group,

respectively. Consider the sheafication

HomZ/pn Z,Sfppf (E[pn ], T [pn ]) (resp., Ext1Z/pn Z,Sfppf (E[pn ], T [pn ]))

of the following presheaf

U → HomZ/pn Z,U (E[pn ]/U , T [pn]/U )

(resp., U → Ext1Z/pn Z,U (E[pn ]/U , T [pn ]/U ))

over the small fppf site Sfppf over S.

Lemma 4.72 Any extension T [pn ] → X  E[pn ] in the category of finite

flat Z/pn Z-modules over S splits over an fppf extension S  /S; thus, we have

Ext1Sfppf (E[pn ], T [pn ]) = 0.

If S is reduced, satisfying the assumption of Lemma 4.71, the splitting X =

E[pn ] ⊕ T [pn ] (if it exists) is canonical.

Proof. The uniqueness follows from the previous lemma. To prove the exis-
tence, first suppose that E[pn ] is constant over R. Since X → E[pn ] is the
epimorphism as abelian fppf R-sheaves, we can find an fppf extension R /R
such that the set-theoretic group homomorphism X(R ) → E[pn ](R ) is sur-
jective. We may assume that Spec(R ) is connected, replacing Spec(R ) by its
connected component. Choosing a basis x1 , . . . , xr of E[pn ](R ) over Z/pn Z,
we can lift xj to a point xj in X(R ). Then we have pn xj = 0 because X(R )
is a Z/pn Z-module. Then the group subscheme generated by x1 , . . . , xr is a
constant scheme over R , splitting X  E[pn ] over R . By extending scalars
to a finite étale extension, we may always make E[pn ] constant, and thus we
can find an fppf extension of R over which a splitting of X  E[pn ] takes
place.

4.4 Completing a Scheme

We now assume that the base ring B is a local noetherian ring complete
under the adic topology of the maximal ideal m = mB . Set Bn = B/mn , and
(∞)
define ALG/B as a full subcategory of ALG/B whose objects are rings killed
by a power of mB (i.e., it is an object of ALG/Bn for sufficiently large n);
(∞) 
thus, heuristically, ALG/B = n>0 ALG/Bn . We also consider the category
 /B of B-algebras complete under the mB -adic topology. Thus, ALG
ALG  /B
is made of projective limits A = limn An for An ∈ ALG/Bn with projection
←−
making the following diagram commutative for all m > n > 0:
206 4 Review of Scheme Theory

Am −−−−→ An
7 7
⏐ ⏐
⏐ ⏐
Bm −−−−−−−→ Bn .
mod m
n


The morphism set HomALG /B (A, A ) is made up of continuous B-algebra
homomorphisms. Since any Bn -algebra is mB -adically complete and any
(∞)
Bn -algebra homomorphism is mB -adically continuous, ALG/B is a full sub-
 /B . Then we put
category of ALG

CB = COF (ALG

 /B , SET S) = COF (ALG(∞) , SET S).
/B

Replacing the category ALG/B by ALG  /B or ALG(∞) , we reconstruct the

/B
theory described in the earlier sections.

4.4.1 Formal Schemes

 /B , we define SA = Spf B (A) as a functor in CB given by
For A ∈ ALG

SA (R) = HomALG
 (A, R). We call SA an affine formal scheme over B.
/B
Since HomALG (A, A ) = limn HomALG/Bn (A/mnB A, A /mnB A ), any func-
 /B ←−
tor F ∈ COF (ALG/B , SET S) extends uniquely to F ∈ CB . So, from time to
(∞)

time, we may identify CB with COF (ALG , SET S). If a is a closed ideal of
(∞)
/B
A, we define A = A/a, and the projection A  A induces an inclusion of func-
tors SA → SA . Such a formal subscheme is called a closed formal subscheme,
and the morphism SA → SA is called a closed immersion. For a subset {fi }i∈I
of A, define a subfunctor U I (R) = {P ∈ SA (R)|  P (fi )R = R} of SA .
i∈I
Then, by Nakayama’s lemma (Lemma 10.8 in the text, [CRT] Theorem 2.2
and Theorem 8.4, or [BCM] II.3.2),
 
P (fi )R = R ⇔ P (fi )R/mB R = R/mB R.
i∈I i∈I

Thus, UI only depends on {fi mod mB A}i∈I , and for this reason, the topolog-
ical space associated with Spf B (A) is given by the space of SpecB1 (A/mB A).
Example 4.73 Formal additive group. Let A = B[X] = B[X1 , . . . , Xn ] for
 lim B/mn [X].
X = (X1 , . . . , Xn ) (the n-variable polynomial ring), and set A=
←−n α
B

Each element Φ(X) ∈ A is a power series Φ(X)  = α aα X (with
αj
coefficients in B) for α = (α1 , . . . , αn ) with X α =  j X j such that Φ
mod mnB ∈ B/mnB [X] for all n > 0; so, writing |α| = j αj , we have

ordB (aα ) = min{n|mnB  aα } → ∞ as |α| → ∞. (∗)

 4.4 Completing a Scheme 207

Then we write SA ∈ CB as G n . Note that G

a/B
n (R) = Rn . Indeed, a con-
a/B
tinuous B-algebra homomorphism φ : A  → R is determined by the value

at X, and for any x ∈ Rn , Φ(x) = limn→∞ |α|<n aα xα converges in mB -
adically complete R, giving rise to a continuous B-algebra homomorphism
with φ(Φ(X)) = Φ(x) [so φ(Xj ) = xj for all j]. Thus, SA(R) ∼ = Rn by sending
 a/B has values actually in the category
φ to (φ(X1 ), . . . , φ(Xn )) ∈ Rn . Since G
of commutative algebras, G a/B is a ring formal scheme and called a formal
additive group over B.

Example 4.74 Let A  = B[[X]] = B[[X1 , . . . , Xn ]] (n-variable formal power

series ring) for X = (X1 , . . . , Xn ). Then B[[X]] is mB -adically complete. Then
we write SB[[X]] ∈ CB as G  n . Note that G
a
 n (R) = J(R)n for the Jacob-
a
son radical J(R) of R [here J(R) is the intersection of all maximal ideals
of R]. By definition, J(R) ⊃ mB R and mB J(R) ⊂ mB R. Thus, R is not
only mB -adically complete but also J(R)-adically complete. A continuous B-
algebra homomorphism φ : A  → R is determined by the value at X, and

for any x ∈ J(R) , Φ(x) = limn→∞ |α|<n aα xα converges in the J(R)-
n

adically complete R, giving rise to a continuous B-algebra homomorphism

with φ(Φ(X)) = Φ(x) [so φ(Xj ) = xj for all j]. Thus, SA(R) ∼ = J(R)n by
sending φ to (φ(X1 ), . . . , φ(Xn )) ∈ J(R)n . The formal scheme G  a is a group
functor; so it is a formal group, which is also called the formal additive group.
 a and G
Exercise 4.75 Explain the difference between G  a.

Almost all definitions of formal schemes are verbatim translations of the cor-
responding ones of schemes, replacing CB by CB . An open formal subfunctor
(resp., closed formal subfunctor) U ⊂ X for X ∈ CB is defined to be a func-
tor such that f −1 (U ) is an open (resp., closed) affine formal scheme for any
morphism f : SA → X in CB . Since morphisms of ALG/B are just B-algebra
(∞)

(∞)
homomorphisms [i.e., ALG/B is a full subcategory of ALG/B ], we can still
apply Lemma 4.18 to the functor X ∈ CB and obtain
Lemma 4.76 If U, U  ⊂ X are open subfunctors of X ∈ CB , then U = U  if
and only if U (k) = U  (k) for all fields k in ALGB/mB .
(∞)
Note here any field in ALG/B actually is an object of ALGB/mB ; so, in the
above statement, we could have replaced ALGB/mB by the (possibly) bigger
(∞)
category ALG/B . This also supports the idea of associating the topological
space Spec(A/mB A) with SA .
Again, an open (formal) covering {Ui }i∈I of a functor X in CB is made

of open subfunctors Ui in CB such that X(k) = i∈I Ui (k) for all fields k
in ALGB/m . A functor X ∈ CB is called local if it satisfies the following
B
208 4 Review of Scheme Theory

set-theoretic exact sequence for any open covering {Yi }i∈I of any object Y in
CB :
 
HomCB (Y, X) → HomCB (Yi , X) ⇒ HomCB (Yi ∩ Yj , X).
i∈I i,j∈I

A formal B-scheme is a local formal functor in CB that has an open covering
made up of affine formal schemes. The structure sheaf OX is sending each
open formal B-subscheme U ⊂ X to HomCB (U, G  a/B ). For each maximal
point, we have completed stalk OX,x ∈ ALG
 /B given by lim OX,x /mnx for
←−n
OX,x = limUx OX (U ) for U running over an open neighborhood under the
−→
order given by inclusion.
Example 4.77 Formal completion along the special fiber. Let X in CB be a
B-scheme with structure morphism ιX : X → SB . Take an integer n > 0, and
consider Xn ∈ CB/mnB given by Xn (R) = X(R) for any B/mnB -algebra R (i.e.,
Xn is the restriction of X to the full subcategory CB/mB n of CB ). Note that,
for B/mn -algebra R,

(X ×SB SB/mn )(R) = {(x, y) ∈ X(R) × SB/mn (R)|ιX (x) = ιB/mn (y)}
= Xn (R/mn R) = Xn (R).

In particular,  SA,n = SA/mn A . Since X is local, its restrictionXn is local.

Since
 X = i∈I SAi for an affine open subscheme SAi , Xn = i∈I SAi ,n =
i∈I S A i /m n A . Thus, the topological local ringed space associated with Xn
i
is the one associated with the special fiber X ×SB SB/mn . We now restrict
(∞)
X to ALG/B , getting X  ∈ CB . Clearly, X(R)
 = limn Xn (R/mn R) =
←−
limn X(R/mn R). The topological space of X  is just the one associated with
←−
X1 ; however, the local ring at the point P ∈ X  is the m-adic completion of
the local ring of X at P (so their ringed space structures are different). The
formal scheme X  is called the formal completion of X along the special fiber
at the maximal point of SB . Note that G a is a formal completion of Ga/B
along its special fiber.
Example 4.78 Formal completion along a maximal point. Take a maximal
point x ∈ X(k) for a B-scheme X. Then the stalk OX,x is a local B-algebra
with maximal ideal mx . We can think of the completion O X,x = lim OX,x /mnx
←−n
and its formal affine scheme X x := Spf B (O
X,x ) whose topological space is
Spec(k). Since we can find an affine open neighborhood U = SA of x, x gives
rise to a B-algebra homomorphism A → OX,x coming from the definition of
stalks. Thus, this map gives rise to a maximal ideal mx ⊂ A with Amx = OX,x .
Thus, Spec(OX,x ) is a subscheme of X, and its formal completion along x is the
formal scheme X x = Spf(O X,x ). The formal group G a is a formal completion
along the identity element 0 of Ga . Since OX,x is a complete local ring with
 4.4 Completing a Scheme 209

x to
residue field k, without losing generality, we can restrict the functor X
the category CL/B of local B-algebras with residue field k complete under the
adic topology of the maximal ideal. The morphism in CL/B is a B-algebra
homomorphism whose pullback of the maximal ideal is maximal in the source
(i.e., local B-algebra homomorphisms).
Example 4.79 Formal multiplicative group. We have already defined the ad-
ditive formal groups G a/B and G a . If we start with the multiplicative group
Gm = Spec(B[t, t−1 ]) for a variable t, we can make a formal completion along
the identity element 1 ∈ Gm (B/mB ) = (B/mB )× . We write G  m for the result-
×
ing formal scheme. For the point 1A ∈ Gm (A) = A , its kernel as a B-algebra
homomorphism contains T := t − 1. Thus, the kernel of 1 is m1 = (T, mB ),
and OGm ,1 = B[t, t−1 ]m1 (the localization at 1). This shows that


OGm ,1 = lim B[t, t−1 ]m1 /mn1 = lim B[T ]/(T n) ∼
= B[[T ]].
← −
n
← −
n

Thus, as a scheme, G  m is isomorphic to G  a , and G m (R) ∼

= J(R) as sets
−1
by sending φ ∈ HomB-alg, cont (B[t, t ], R) to φ(T ) = φ(t) − 1R . Since t is
the variable compatible with group structure of Gm (the multiplication of
the group scheme Gm is induced by the B-algebra homomorphism, sending
t ∈ B[t, t−1 ] to t ⊗ t ∈ B[t, t−1 ] ⊗B B[t, t−1 ]; see Exercise 4.61), we have
 m (R) = 1 + J(R). Since the multiplicative group 1 + J(R) is not always
G
isomorphic to the additive group J(R), G m ∼ G
=  a as formal groups over B.
Similarly, we can take G  m/B , which is a formal completion of Gm/B along its

special fiber. Then Gm (R) = {x ∈ R|x mod mB R ∈ (R/mB R)× }.
Exercise 4.80 Give an example of a local ring R such that the multiplicative
group 1 + J(R) is not isomorphic to the additive group J(R).

4.4.2 Deformation Functors

Assume that B is a local ring with residue field k. Recall the category CL/B of
local complete B-algebras with residue field k (introduced in Definition 4.78).
A covariant functor D ∈ COF (CL/B , SET S) is called a deformation functor
if D(k) is a singleton (i.e., |D(k)| = 1). A deformation functor is representable
if D ∼
= SA over CL/B for an object A in CL/B . Let CL/B be the full sub-
(∞)

category of CL/B whose object is killed by a power of mB . As before, we do

(∞)
not lose generality by restricting a deformation functor to CL/B , though the
(∞)
ring A representing D may not be in CL/B .
For any R-scheme X/R (R ∈ CL/B ), we write X ×R k for the restriction
of X to ALG/k (the special fiber of X). Give oneself a property P of schemes
relative to the base compatible to base change (i.e., if T/S satisfies P relative
to S, then T ×S S  satisfies P relative to S  for all S-schemes S  ). The property
210 4 Review of Scheme Theory

P can be flatness, smoothness, finiteness, or étaleness. Give oneself a group

scheme G/k with property P over k. Consider a functor DG P
: CL/B → SET S
given by
  
DGP
(R) = (G/R , ι)G ∈ GSCH/R satisfies P over R, ι : G ×R k ∼ =G /∼ =.

Here two pairs, (G, ι) and (G  , ι ), are isomorphic if we have an isomorphism

I : G → G  , making the following diagram commutative:
ι
G ×B k −−−−→ G
⏐ ⏐
⏐
.I
⏐
.
ι
G  ×B k −−−−→ G.
P
Obviously, DG is a deformation functor.
Lemma 4.81 Take P = f f l to be the property of G/R being finite flat over
ffl
R, and take G = Z/N Z or μN . Then DG is represented by B.
ffl
Proof. We need to prove that |DG (R)| = 1 for all R in CL/B . Since Z/N Z/R
ffl
always gives a deformation [i.e., an element of DG (R)], we need to prove that
any deformation G/R is isomorphic to Z/N Z/R . Since G/R is finite, it is affine
by Lemma 4.24. Thus, G = SA for a B-algebra A finite flat over R; hence,
A∼ = Rn as an R-module
) because R is a local ring (cf. [CRT] Theorem 7.10).
Since A/mR A ∼ = i∈Z/N Z k, by Hensel’s lemma (cf. [CRT] Theorem 8.3), the
completeness of R tells us that each idempotent ei corresponding to the ith
factor of A/mR A)can be uniquely lifted to an idempotent ei of A ([BCM]

III.4.6); so A = i∈Z/N Z R. Thus, for any R-algebra R in CL/R , SA (π) :
 ∼
SA (R ) = SA (k) as groups by the unique projection π : R  k. Thus, SA
is a constant functor having value Z/N Z all over CL/R ; so G ∼ = Z/N Z/R . If
∗
G = μN , pick G/R ∈ DμN (R). Then the Cartier dual G/R is a deformation
ffl

Z/N Z = Z/N Z/R . Taking the dual back, we find G ∼

in Df f l (R); so G ∗ ∼ = μN/R , as
desired.

4.4.3 Connected Formal Groups

Consider the kernel Gm [N ] of the multiplication [N ] : Gm (R)  q → q N ∈

Gm (R) by an integer N > 1. Since Gm = Spec(B[t, t−1 ]), we have for the
group identity e ∈ Gm [with e(t) = 1]

Gm [N ] = Gm ×Gm ,[N ] e = Spec(B[t, t−1 ] ⊗B[t,t−1 ],t →tN B)

= Spec(B[T ]/((1 + T )N − 1) = μN ,

where T = t − 1. Suppose that B is p-profinite noetherian local ring with

characteristic p residue field. Then B/mnB is a finite ring with p-power order,
 4.4 Completing a Scheme 211

so, for any n > 1, G m (B/mn ) = 1 + J(B/mn ) = 1 + mB /mn is made of a

B B B
p-power root of unity. Thus, G  m (B/mn ) = μpN (B/mn ) for sufficiently large
B B
 m (A) = μpN (A)
N . For any Artinian local ring A over B, by the same token, G
for sufficiently large N .
Write ART/B for the full subcategory of CL/B made up of Artinian local
B-algebras with residue field k = B/mB . Note that
F →F |ALT
COF (CL/B , SET S) −−−−−−−→ COF (ART/B , SET S)

is an equivalence of category, as F (limn R/mnR ) = limn F (R/mnR ). This shows

←− ←−
that G  m and lim μpn induces the same functor on ALT/B . Since G m =
−→ n
pn
Spf(B[[T ]]) and μN = Spf(B[T ]/((1 + T ) − 1), we can also check this fact
n
from the identity B[[T ]] = limn B[T ]/((1 + T )p − 1). In other words, limn μpn
←− −→
over ALT/B is prorepresented by G  m in CB .
A group functor G  in COF (CL/B , AB) is called a connected smooth for-
mal group (or a formal Lie group) if it is a connected smooth formal scheme
with multiplication by p inducing a finite flat morphism G  → G;  so, in

particular, G is an fppf p-divisible abelian sheaf over B. Let LIE/B (resp.,
CBT/B ) be the full subcategory of connected smooth formal groups over B
in COF (CL/B , AB) (resp., of connected Barsotti–Tate groups over B). The
multiplicative group G  m is a prototypical example of objects in LIE/B .
For a free Zp -module L of rank n, similarly to Example 4.58 (4), we can
think of G m ⊗Z L, which sends R to (1 + mR ) ⊗Z L ∼ = (1 + mR )n = G  n (R).
p p m
∼   
Then L = HomLIE/B (Gm , Gm ⊗Zp L) =: X∗ (Gm ⊗ L) canonically. We put
 m ⊗ L) = HomLIE (G
X ∗ (G  m ⊗Z L, G  m ). They are Zp -dual each other
/B p
canonically in the same manner as in Example 4.58 (4). The group of the
form G  m ⊗Z L is called a formal (split) torus. If a formal subscheme Z of a
p

formal torus is a formal subgroup given by G  m ⊗Zp L for a direct summand


L of L, it is called a formal subtorus. Note that multiplication by a prime p
of G a over a field of characteristic p is not finite; so G
 a/B is not an object in
LIE/B , since p is not invertible in B.
A morphism f : G → G in CBT/B is a compatible collection of group
morphisms fn : G[pn ] → G [pn ] of finite flat group schemes; so the following
diagram is commutative:
→
G[pn ] −−−−→ G[pn+1 ]
⏐ ⏐
⏐
fn .
⏐f
. n+1
→
G[pn ] −−−−→ G[pn+1 ].

Since G  in LIE/B is smooth, we have G  = Spf B (B[[X1 , . . . , Xr ]]), where

the identity element 0 is given by Xi → 0 for all i. The multiplication G×  G →
212 4 Review of Scheme Theory

 induces the comultiplication B[[X]] → B[[X]]⊗

G  B B[[X]] = B[[X, Y ]], where
Xi ⊗ 1 is Xi in B[[X, Y ]] and 1 ⊗ Xi = Yi in B[[X, Y ]]. This comultiplication is
determined by the image of Xi , which we write as Φi (X, Y ). We simply write
Φ(X, Y ) = (Φi (X, Y ))i . Then group law requires the following relation:
1. X = Φ(X, 0) = Φ(0, X) (0 gives the identity);
2. Φ(X, Φ(Y, Z)) = Φ(Φ(X, Y ), Z) (associativity);
3. Φ(X, Y ) = Φ(Y, X) (commutativity).
∼
Since G =G  r as formal schemes, we have a set-theoretic identity G(R)
a
 ∼
= mrR .

Thus, G(R) has order |mR | = p for 0 < N ∈ Z if R ∈ ALT/B . In other
r N


words, we have G(R) = G[p 
 N ](R). Thus, G(R)  ∞ ](R) :=
= G[p  n
n G[p ](R)
  
for R ∈ ALT/B . Since p : G → G is finite flat, G[p ] is a finite flat group
n

 ∞ ] is a Barsotti–Tate group over B. Thus, we get the following:

scheme; so G[p
Lemma 4.82 Suppose that B is a p-profinite local ring. Then the functor
 → G[p
G  ∞ ] gives an equivalence of category between LIE/B and CBT/B .

 0/k ∈ LIE/k (k = B/mB ), consider the deformation functor

For G

   ∼  ∼
0 (R) = {(G/R , ι)|G/R ∈ LIE/R , ι : G ×R k = G0/k }/ = .
LIE
DG

By Lemma 4.81, μpn is rigid (i.e., we have only constant deformations over
Artinian B-algebras); so μp∞ is also rigid, and by the equivalence between
LIE/B and CBT/B , the rigidity of μp∞ (Lemma 4.81) tells us that
LIE
Corollary 4.83 The deformation functor DG
 is represented by B.
m

Lemma 4.84 Let G be a commutative formal Lie group over a complete local
ring B with residue field inside F = Fp . Write the group operation additively
as (x, y) → x + y. Then NG : G → G given by x → N x induces multiplication
by N on the tangent space TG/B of the identity 0.

Proof. Assume first that S = Spec(k) for a field k; so G = Spf B (R) for
R := B[[X]] with X = (X1 , . . . , Xr ). Let T = TG/k := Hom((X)/(X)2 , k) =
HomR (ΩG/k (0), k) [the tangent space at the identity 0; so ΩG/k (0) =
ΩG/k ⊗R R/(X)]. Then the addition “+”: G×G → G induces a k-linear binary
operation T ⊕T → T , which we write for the moment as a“+”b. This operation
is associative, commutative (by the associativity/commutativity of the group
structure on G), and k-linear. We claim that on T , “+” and the natural addi-
tion on T coincide up to k-linear automorphism of T . Since G[p] = Ker(pG )
and G share the same tangent space (as G[p] is a closed connected subgroup
of G finite flat over k), we may replace G by G[p]. If r = 1, then T ∼ = k,
and there is a unique k-vector space structure on k up to isomorphism; so the
claim holds. If r > 1, by extending scalars to k = F, we may assume to have an
exact sequence 0 → G1 → G → G2 → 0 with 0 < dim Gi < r as the category
of height-1 commutative group schemes over an algebraically closed field k of
 4.4 Completing a Scheme 213

characteristic p is equivalent to the category of abelian Lie algebras over k

(cf. [ABV] Sects. 11 and 13). Then, by induction on dim G, we get the desired
result. In particular, NG acts on T by multiplication by N . In general, this is
true fiber by fiber [or just by the same argument in the case of S = Spec(k)],
and it is true over a general base S.
Let W be a discrete valuation ring finite flat over Zp inside Qp , and take
B = W . Identify Λ = W [[T ]] with W
n
[t, t−1 ] = limn W [t]/(tp −1) by t = 1+T .
←−
Then the formal completion G  m of the multiplicative group Gm along the
n
identity 1 ∈ Gm (F) is given by Spf(Λ) = limn Spf(W [t]/(tp − 1)) = limn μpn
−→ −→
  
−1   −1
(over ART ). Write G × G = Spf(W [t, t , t , t ]) for the variable t of
/W m m
the left factor and t of the right factor, and let z ∈ Z× m × G
G  m by
pact on
 z z × ∞ z  n
(t, t ) → (t , t ) for z ∈ Zp , where t = (1 + T ) = n=0 n T . We now
z z

prove Lemma 3.30 formulated in a slightly different way. Our formulation

here is more geometric than Lemma 3.30, and we leave to the readers the
verification of equivalence between Lemma 3.30 and the following result.
Lemma 4.85 Let Φ(t, t ) = t d + a1 (t)t d−1 + · · ·+ ad (t) ∈ Λ[t ] with Φ(1, 1) =
0 be an irreducible polynomial over Q = F rac(Λ). Suppose that the integral
closure of Z in J := W [t, t
p
−1 , t , t −1 ]/(Φ(t, t )) is equal to W . If the integral
 m ×G
formal closed subscheme Z = Spf(J) of G  m/W of codimension 1 is stable
under the action of an open subgroup U of Zp , we have Φ(t, t ) = t − tb for
× d

b ∈ Zp with dZp + bZp = Zp for a p-power d.

Proof. Write J := Λ[t ]/(Φ(t, t )). Regard J as embedded in an algebraic clo-
sure Q of Q. Since Qp ∩ J = W in Q, J ⊗W Qp is an integral domain by
[TCF] §3.5. Thus, Spec(J) [and Spec(J ⊗W Qp )] is geometrically irreducible
with dominant projection to the right factor G  m = Spf(Λ). By assumption,
Z⊂G m × G  m is stable under the diagonal action (t, t ) → (ts , t s ) for s ∈ U .
We may assume that U = 1 + pr Zp for r > 0. Since Z is flat of relative di-
mension 1 over W , replacing W by a finite extension if necessary, we find in
Z a W -point (t0 , t0 ) ∈ G  2 (W ) of infinite order. Thus, we have an infinite set
 s s  / 0
 m pr u 
Ξ = (t0 , t 0 )s ∈ U = (t0 t0p u , t 0 t 0 )u ∈ Zp inside Z. By translation,
r

/ r  0
  −1 p u  pr u 
τ : (t, t ) → (tt−1
0 , t t 0 ), τ (Z) contains Ξ0 = (t0 , t 0 ) u ∈ Zp .
Since Z is finite flat over Spf(Λ) with dominant projection to the right
   d−1
5 Gm , by flatness, J is a free module over Λ (with basis 1, t , . . . , t
factor ),
and P ∈Ξ0 (P ∩ Λ)J = 0 [regarding P ∈ Ξ0 as a prime ideal P ∈ Spec(J)]. So
 2 . Then τ (Z) must
τ (Z) is the Zariski closure of the infinite subgroup Ξ0 of G m

be a formal subgroup of Gm of codimension 1, and Z is a coset (t0 , t0 )τ (Z) in
2

m ×G
G  m . Since Z contains the identity 1 of G
m ×G m as Φ(1, 1) = 0, we must
have τ (Z) = Z. Since the left projection π : Z → Spf(Λ) = G  m is finite flat
of degree d, the kernel Ker(π) is a finite flat group scheme over W , which is
214 4 Review of Scheme Theory

therefore a finite flat subgroup of G  2 [pn ] = μpn × μpn for sufficiently large n.
m
Since the Cartier dual of μpn × μpn is the constant group (Z/pn Z) × (Z/pn Z)
(see Exercise 4.64), Ker(π) is isomorphic to μpm × μpm (for some m ≤ n and
m ≤ n). Thus, Z is an extension of G  m by μpm × μ m .
p
By the geometric irreducibility of Z = Spec(J), multiplication by p induces
a dominant morphism on Z → Z, and hence Z[p∞ ] is p-divisible. Since Ker(π)
is finite flat, Z[p∞ ] is a Barsotti–Tate group fitting into an exact sequence
0 → Ker(π) → Z[p∞ ] → μp∞ → 0; so we may assume that m = 0. By
Cartier duality (see Sect. 4.3.5) applied to this sequence, the dual of Z[p∞ ] is
étale, and hence Z[p∞ ] must be isomorphic to μp∞ . Therefore, Z ∼ = lim μ n
−→n p

is a formal multiplicative group, and Z is a formal subtorus of Gm . Writing
2

X ∗ (Gm × G ∼ Z2 for the formal character group of G

 m) = m × G m , we have
p

that Z is the kernel of χ ∈ X ∗ (G m × G  m ). Writing χ(t, t ) = ta t −b , we
 b a 
have Z = {(t, t )|t = t } for a, b ∈ Zp . We may assume that a = upn for

u ∈ Z× 
p by the original form of Φ. Then Z = {(t, t )|t = t } for d = p
b d  n
 −1   
and b = b u . Thus, we have d = d d for an integer d prime to p. Since we
can extract the d th root inside 1 + mΛ for the maximal ideal mΛ of Λ (as
1 + mΛ is p-profinite), the irreducibility of Φ(t, t ) in Q[t ] implies d = d , and
Φ(t, t ) = (t − tb )u(t, t ) for a unit u(t, t ) ∈ W [t, t
−1 , t , t −1 ]. Since Φ(t, t ) is
d

irreducible of degree d = d in Q[t ], u(t, t ) must be a unit in Λ. Since Φ(t, t )

and t − tb are monic with respect to t , we conclude u(t, t ) = 1. This finishes
d

the proof.

Remark 4.86 In the above proof, the two conditions Φ(1, 1) = 0 and geo-
metric irreducibility are both indispensable. If we do not suppose Φ(1, 1) = 0,
for a one-dimensional formal subtorus G ⊂ G m × G  m , a coset (ζ, ζ  )G for

(1, 1) = (ζ, ζ ) ∈ μpm (W ) × μpm (W ) is stable under U = 1 + pm Zp but is not a
formal subgroup. As a special instance of this example, we have the case when
pn
Φ(t, t ) is an irreducible factor Ψ (t ) of t − 1 [and in this case, Z = G m × ζ
  
for a root ζ of Ψ (t ) = 0 in W ; so, actually, Ψ (t, t ) = t − ζ by geometric
irreducibility]. Similarly, if we do not suppose the geometric irreducibility of
Spec(J), Z ⊂ G m ×G  m could be of the form (μpm × μpr ) · G (with m + r > 0),
which is not a formal subtorus but a geometrically reducible formal subgroup.
In the above example of Φ(t, t ) = Ψ (t ), the geometric irreducibility of Spec(J)
forces Φ(t ) = t − 1 (and hence d = 1 and b = 0 under the notation of the
above lemma).

4.4.4 Infinitesimal Splitting Implies Local Splitting

 = lim A/mn is reduced
By Corollary 4.37, if A is an excellent local ring, A
←−n
and faithfully flat over A.
 4.4 Completing a Scheme 215

Lemma 4.87 Let A be an excellent reduced local ring with maximal ideal m.
n
  !
Suppose that pA = 0 or A ⊂ A ⊗Z Q (characteristic 0). Then A ⊗A · · · ⊗A A

is reduced.

Proof. We first deal with A⊗  Let Q

 A A.  (resp., Q) be the total ring of fractions
of A (resp., A). Since A and A are reduced, we have A  ⊗A A → Q ⊗A Q. Since
  
Q is flat over A and A is faithfully flat over A, for any nonzero divisor a ∈ A,
Q is a-torsion-free. Thus, Q
 ⊗A Q is a-torsion-free. Then a( 1 x⊗A y) = x⊗ y =
a
a(x ⊗A a y) implies a x ⊗A y = x ⊗A a1 y; so Q
1 1  ⊗A Q=Q  ⊗Q Q. Thus, we need

to show that Q is separable over Q. In the characteristic-0 case, this is true
for any ring. In the same way as above,
 ⊗A Q
Q  ⊗ · · · ⊗A Q
=Q
 ⊗Q Q
 ⊗ · · · ⊗Q Q,


and the same argument works.

Now, we assume that pA = 0. Since the inclusion A → A  is regular [see
(e2) in Sect. 4.1.11 and [EGA] IV.7.8.3 (v)], the natural map
n
 
n
!   !
A = A ⊗A · · · ⊗A A → A ⊗A · · · ⊗A A


is regular. Indeed, for any prime ideal p ⊂ A and its residue field k(p),
n n
  !   !
(A  ⊗A k  ∼
 ⊗A · · · ⊗A A) = (A ⊗ A k 
) ⊗ k(p) · · · ⊗ k(p) (A ⊗ A k 
)

is regular for any finite extension k  /k(p) if this is true for n = 1. In particular,
A ⊗A · · · ⊗A A
 is reduced. 

Let S = Spec(OS ) be an integral excellent affine scheme of finite type flat

over Z(p) (i.e., OS is an excellent integral domain of finite type flat over Z(p) ).
Let Y → S be a Barsotti–Tate group over S. If there exists a finite field
extension of Qp with integer ring O having a ring embedding O → End(Y/S )
sending the identity to the identity map on Y , we call Y a Barsotti–Tate
O-module. The group Y (resp., a finite flat group scheme) is called ordinary
if it is an extension of an étale Barsotti–Tate group (resp., an étale group
scheme) Yset → Ss by a toric Barsotti–Tate group Ysmult → Ss (resp., a
multiplicative finite flat group scheme) over all closed points s ∈ S, where Ss
is the formal completion of S along s, thus, étale locally over Ss , Y/mult ∼ m(s)
= μp∞
s
S
and Y et ∼
s
/S
= (Qp /Zp )e(s) . We call an ordinary Barsotti–Tate O-module Y/S a
GL(2)-type, if we have rankZp O = e(s) = m(s) for all closed points s of S
[as the Galois representation on its Tate module has values in GL2 (O)]. The
following result is from [Ch1] Proposition 8.4:
216 4 Review of Scheme Theory

Proposition 4.88 Let S = Spec(OS ) be an integral excellent affine scheme of

finite type flat over F for a subfield F of Fp . Let Y/S be an ordinary Barsotti–
Tate O-module of GL(2)-type. Suppose that we have a closed point s0 of S
such that the extension
 mult → Y ×S S → (Y ×S S)
0 → (Y ×S S)  et → 0

splits into Y ×S S = (Y ×S S)
 mult × Y et over the formal completion S of S at
/S
s0 . Then there exists an open neighborhood U of s0 in S such that we have a
decomposition Y = G1 × G2 over U of Barsotti–Tate O-modules that induces
a splitting of 0 → Yu/ 
 → Y ×U Uu → Yu/U  → 0 for all closed points u ∈ U .
mult et
U u u

The splitting in the proposition is unique because OS is reduced. We may

assume G1 gives Yumult as the connected component is uniquely determined in
characteristic p. Though we do not treat the characteristic-0 case, a difficulty
is that even if Gj s exist, G1 may not be universally connected all over U
(so we cannot make descent as in the following proof, which is based on the
uniqueness of the connected component).
Proof. We follow Chai’s proof in [Ch1]. Let S0 = Spec(OS,s0 ) for the stalk
O0 := OS,s0 at s0 , and regard S as an S0 -scheme. We consider the self-product
i
S ×S0 S and S ×S0 S ×S0 S and projections πi : S ×S0 S →S (i = 1, 2) and
i j
πij : S ×S0 S ×S0 S →S ×S0 S (1 ≤ i ≤ j ≤ 3). Let G2/S ⊂ Y be the splitting
image of Y et over S as a closed subscheme of Y ; so, for G1 = Y mult , we
/S
have a product decomposition Y/S = G1/S × G2/S. Since OS,s is excellent, by
Lemma 4.87, S  := S ×S0 S and S  := S ×S0 S ×S0 S are reduced and satisfy
the assumption of Lemma 4.71. The uniqueness of étale-connected splitting is
valid as we are in characteristic p. In characteristic p, the connected component
(πj∗ Y )mult is defined globally over S  and is equal to πj∗ (Y mult ); so the ordering
of splitting is given a priori, and no problem arises with the order of the factors.
Since G1 and G2 are simple Barsotti–Tate O-modules, we can have only one
possibility over each connected component of S  : π1∗ G1 = π2∗ G1 . In the same
way, we get π1∗ G2 = π2∗ G2 . Similarly, we have πij∗ ∗
πi Gk = πij ∗ ∗
πj Gk over S  for
k = 1, 2, and these identities give rise to a decent datum (for closed group
subschemes of Y ; e.g., [GME] Sect. 1.11). By fpqc descent (see [CBT] Remark
I.2.4.2), G1/S and G2/S descend to Barsotti–Tate subgroups G1 and G2 of
Y ×S S0 , respectively, over S0 .
The splitting Y = G1 ×G2/S0 implies Y [pn ]/S0 = G1 [pn ]×G2 [pn ]/S0 . Since
these factors are finite flat over S0 , they are defined by finitely many equations
with coefficients in OS,s0 = limUs OU ; so they are defined over OUn for an
−→ 0
open subset Un . Since G2 [pn ] is étale over Un (and G1 [pn ] are multiplicative
over Un ), the open subscheme Un does not depend on n. Thus, we can take
U = Un , and we find the desired open subscheme U ⊂ S with S0 ⊂ U over
which Y = G1 × G2 .
5
Geometry of Variety

In this short chapter, we summarize geometric properties of a variety and a

tower of varieties we need in the book. One reason for adding this chapter is
to make the book logically complete, and another is to give the foundation
of the theory of towers of varieties in the language of proschemes, since the
Shimura variety is a tower of varieties fundamental to the number-theoretic
study of automorphic forms. If the reader is familiar with the subject, he or
she can take a brief look at the content of this chapter and go directly to
Chap. 6.

5.1 Variety over a Field

In this section, the base ring B is assumed to be a field k (and often it is
supposed to be a perfect field). We only deal with varieties over a field, in
particular, their geometric properties.

5.1.1 Rational Map

Let V and V  be varieties over a field k. Morphisms f : U → V  and f  :

U  → V  for open dense subvarieties U, U  ⊂ V are said to be equivalent if
f |U∩U  = f  |U∩U  . This is an equivalence relation because U ∩ U  is still open
dense in V . An equivalence class of such a morphism is called a rational map
from V to V  . Note that a rational map may be defined only on an open dense
subvariety of V ; hence, we write it as f : V  V  . A rational map f : V  V 
is defined at x ∈ V if there exists a representative U → V  for U containing x.

Theorem 5.1 A rational map f : V  V  of finite type from a normal


variety V over a perfect field k to a proper variety V/k is defined on an open
subvariety U of V whose complement V − U has codimension at least 2.
Here is a standard proof of this fact.

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 217

in Mathematics, DOI 10.1007/978-1-4614-6657-4 5,
© Springer Science+Business Media New York 2013
218 5 Geometry of Variety

Proof. We may assume that V is irreducible, restricting the map to irreducible

components. Assume first that V is a curve. Since V is normal, it is smooth
over a perfect field k, as already remarked in Sect. 4.1.8. Thus, we are given
a smooth curve V and a morphism f : U → V  from an open subvariety U
of V . We claim that f extends to V . Consider the following diagram:
⊂
U −−−−→ V
7 7
⏐
⏐
⏐projection
⏐
x →(x,f (x))
U −−−−−−−→ V × V 
⏐ ⏐
⏐
.
⏐projection
.
U −−−−→ V .
f

Let U  be the image of the middle arrow in V × V  and let Z be the Zariski
closure of U  . The properness of V  tells us that V × V  → V is a closed map
(by the definition in Sect. 4.1.6); hence, the image of Z in V is closed, and it
contains U , and so Z maps onto V . Since Z is a curve and V is normal, the
morphism Z → V is an isomorphisms (as a smooth curve is determined by its
function field, as remarked at the end of Sect. 4.1.8). Therefore, f is defined
everywhere.
Now we deal with the general case. Take a representative of f : U → V  .
The schematic complement V − U is a closed subscheme X. Since codim X is
at least 1, we may assume that X has codimension 1 (otherwise, the theorem
follows). Then X contains an irreducible component V1 , which gives a prime
divisor of V . Since V has a dense affine open subvariety, SA with SA ∩ V1
is still an irreducible prime divisor in SA , that is, SA ∩ V1 is defined by a
prime ideal P ⊂ A. Since V is normal, A is a normal domain, and hence
AP is a discrete valuation ring. Since SA ∩ U is a dense open subvariety of
V , f induces the morphism of the spectrum of the field of fraction of A into
V  . By a valuative criterion of properness (Proposition 4.25), we then have
f
→ V  well defined. This implies that at the generic point of V1 ,
Spec(AP ) −
f is defined, a contradiction. Thus, f extends to an open subvariety U with
codim (V − U ) ≥ 2.
If we have rational maps f : V  V  and g : V   V with f ◦ g equivalent to
idV and g ◦ f equivalent to idV  , we call f and g birational, and V is birational
to V  .
Proposition 5.2 Let f : V  → V be a morphism of irreducible varieties
making V birational to V  . Let V nfl be the Zariski closure in V of all maximal
points x ∈ V such that there exists a maximal point y ∈ V  with OV  ,y not
flat over OV,x . If V is proper, V nfl has at least codimension 2.
The closed scheme V nfl is called the nonflat locus in V .
 5.1 Variety over a Field 219

Proof. Over an open dense subscheme U ⊂ V , we have an open immersion

g : U → V  giving the inverse of f by birationality. Thus, f : g(U ) ∼
= U . Thus,
the nonflat locus V nfl is a proper closed subset. Since V  → V is separated,
f −1 (U ) = g(U ). Thus, by the above theorem, if we take the maximal open
subvariety U on which g = f −1 is defined, V − U has at least codimension 2
and contains V nfl .
Proposition 5.3 Let φ : X → Y be a proper dominant morphism of irre-
ducible varieties over a field k. Let Y nfl be the Zariski closure of all maximal
points y ∈ Y such that (φ∗ OX )y is not flat over OY,y . If Y is normal, then
Y nfl is a closed subscheme of at least codimension 2.
The closed scheme Y nfl is called the nonflat locus in Y .
Proof. Since f is proper and dominant, f is a surjection of topological spaces.
At a generic point, k(X)/k(Y ) is a field extension; in particular, k(X) is flat
over k(Y ). Thus, Y − Y nfl is nonempty. By Proposition 4.5 (1), on an open
dense subscheme U ⊂ X, φU : U → Y is flat. By Proposition 4.5 (2), φU
is an open separated map, and Y nfl is a proper closed subset of Y . If Y nfl
has an irreducible subscheme of codimension 1 (that is a prime divisor), the
localization at the generic point of the prime divisor is the spectrum of a dis-
crete valuation ring V1 (as it is the normal noetherian domain of dimension 1).
Since f is dominant, k(X) has a discrete valuation ring V flat over V1 with
V1 = V ∩ k(Y ). Then we have a commutative diagram:

Spec(k(X)) −−−−→ X
⏐ ⏐
⏐ ⏐
. .
Spec(V ) −−−−→ Y.

Then, by the valuative criterion (Proposition 4.25), the morphism Spec(k(X)) →

X extends to Spec(V ) → Y ; hence, the codimension-1 point Spec(V1 /mV1 ),
which is the generic point of the prime divisor, is in the flat locus Y − Y nfl ,
a contradiction (as we have taken the prime divisor inside Y nfl ). Thus, Y nfl
must have codimension of at least 2.
Proposition 5.4 Let f : V  → V be a dominant morphism of irreducible
varieties. Then
1. The variety V  is flat over a dense open subscheme O of V ,
2. Let O be as above. For a point x ∈ f −1 (O)(K) for a field K, the dimension
of the fiber V  ×V f (x) at f (x) is constant given by dim V  − dim V .

Proof. By taking open affine coverings of V and V  (compatible with f ), we

may assume V  = SA and V = SA for integral noetherian k-domains A and
A. Let U be the subset of Spec(A ) made up of points x such that Ax is flat
over Af (x) . Since f is dominant, the fraction field K  of A is an extension
220 5 Geometry of Variety

field of the field of fractions K of A. Thus, U is a nonempty open subscheme

by Proposition 4.5 (1) (applying it to M = A ). Then f |U : U → SA is an
open map by Proposition 4.5 (2); so we just define O = f (U ), which is an
open subscheme of SA . This proves (1).
Cover O by affine open subschemes SAi , and cover f −1 (SAi ) by affine open
subschemes SAij . Then Aij is flat over Ai . Then the constancy of dimension
of fibers of SAij → SAi follows from ring theory [see [CRT] Theorem 15.1
(ii)]. Since these covering open subschemes overlap at the generic point, the
desired result follows.

5.1.2 Zariski’s Main Theorem

We begin by preparing some lemmas.

Lemma 5.5 Suppose that f : X → Y is a proper dominant morphism of
irreducible varieties. Then f∗ (OX ) is a coherent OY -algebra.
Since a line bundle L over X is locally isomorphic to OX , this lemma tells us
that f∗ (L) is a coherent OY -module.
Proof. Write k(X) and k(Y ) for the function fields of X and Y . Since f is
dominant, we may regard k(Y ) as a subfield of k(X). Since f is of finite type
(as a proper morphism is of finite type), k(X) is a finitely generated field over
k(Y ). Since coherency is a local property, we may assume that Y = Spec(A)
for an integral noetherian domain A with quotient field k(Y ). We have a
canonical open immersion Spec(k(X)) → X. Take a valuation ring V of k(X)
containing A. Then we have a commutative diagram:
Spec(k(X)) −−−−→ X
⏐ ⏐
⏐ ⏐f
. .
Spec(V ) −−−−→ Y.

Then, by the valuative criterion of properness, we have a morphism Spec(V ) →

X making the above diagram commutative after inserting5the diagonal mor-
phism Spec(V ) → X. Thus, f∗ (OX )(Y ) ⊂ V . Note that V ⊃A V is the in-
tegral closure of A in k(X) (cf. [CRT] Theorem 10.4). Thus, f∗ (OX )(Y ) is
a subring of the integral closure à of A in a field finitely generated over the
field of fractions of A. Thus, Ã is the integral closure of A in the integral
closure of k(Y ) in k(X), which is a finite algebraic extension of k(Y ). Then,
by [TCF] Theorem 3.9.5, Ã is an A-module of finite type. Since A is noethe-
rian, f∗ (OX )(Y ) is an A-module M of finite type, and so f∗ (OX ) = M̃ is an
OY -module of finite type; in other words, f∗ (OX ) is a coherent OY -module.
Lemma 5.6 Let f : X → Y/k be a proper morphism of irreducible varieties.
Then for a maximal point y ∈ Y , define Xn = X ×Y Spec(OY,y /mny ). Then
we have
 5.1 Variety over a Field 221

lim(f∗ OX ) ⊗OX OY,y /mny ∼

= lim f (O ).
←− ←− ∗ Xn
n n

Proof. We have a natural map OX → OXn that induces a morphism f∗ (OX ) →

f∗ (OXn ) factoring through (f∗ OX ) ⊗OX OY,y /mny . Thus, we get the mor-
phism in question after passing to the projective limit. We may assume that
Y = Spec(A). Then f∗ OX = Ã for A = f∗ (OX )(Y ), which is an A-module of
finite type by the above lemma. The right-hand side is f∗ (OX ) for the formal
completion X  along the fiber at y. Thus, f∗ (O  )(Y ) = A ⊗A A  for A
 =
X
limn A/mny = limn OY,y /(my OY,y )n , which is isomorphic to A  = lim A /mny
←− ←− 
←−n
by [CRT] Theorem 8.7, as A is noetherian and A is an A-module of finite
type. Note that A  is the left-hand side. This finishes the proof.

Theorem 5.7 (Zariski’s connectedness theorem) Let f : X → Y be

a proper morphism of irreducible varieties over a field k, and assume that
f∗ (OX ) = OY . Then f −1 (y) is connected for every maximal point y ∈ Y .
If y ∈ Y (K) is a nonmaximal point for an extension field K/k, by a base
change to K and applying the theorem to XK := X ×k K → YK := Y ×k K,
f −1 (Y ) is connected for any point of Y not necessarily maximal.
Proof. Suppose, on the contrary, that f −1 (y) = X   X  , where X  and X 
are disjoint closed subvarieties. Let Xn = X ×Y Spec(OY,y /mny ) as above and
 be the formal completion of X along f −1 (y). Then, for each n, we would
let X
have f∗ (Xn ) = f∗ (Xn ) ⊕ f∗ (Xn ). By Lemma 5.6, we have

OX = lim f∗ (OXn ) = (lim f∗ (Xn )) ⊕ (lim f∗ (Xn ))

← −
n
← −
n
← −
n

as a sum of two nontrivial rings. Since f∗ (OX ) = OY , again by Lemma 5.6,

 = O
OX (X) Y = lim OY,y /mn , which may not be an integral domain but
←−n y
may be a local ring (by Hensel’s lemma; see [BCM] III.2.13). A local ring
cannot be a direct sum of two rings, a contradiction. Thus, f −1 (y) has to be
connected.
Theorem 5.8 (Zariski’s main theorem) Let f : X → Y be a birational
proper morphism of irreducible varieties, and assume that Y is normal. Then
for every point y ∈ Y , f −1 (y) is connected.

Proof. By Theorem 5.7, we need to prove f∗ OX = OY . We may then assume

that Y = Spec(A) is affine. By birationality, k(X) = k(Y ). By the proof of
Lemma 5.5, A := f∗ OX (Y ) is an A-subalgebra of k(X) = k(Y ) integral over
A. Since Y is normal, A is integrally closed, and we get A = A. Thus, we
have verified f∗ OX = Ã = Ã = OY .
222 5 Geometry of Variety

5.1.3 Stein Factorization

Start with a proper morphism φ : X → Y of varieties over k. Then by

Lemma 5.5, φ∗ (OX ) is a coherent OY -algebra. Define Y st = SpecY (φ∗ (OX ))
as an Y -scheme. Write the morphism as φf : Y st → Y . Since OX is a
φ∗ (OX )-algebra, the structure morphism ιOX ∈ HomOY -alg (φ∗ (OX ), OX ) =
HomSCH/Y (SpecX (OX ), Y st ) induces a morphism φc : X → Y st with φ =
φf ◦ φc .
Theorem 5.9 Let φ : X → Y be a proper morphism of varieties over a field
φc φf
k. Then we can naturally factor X −→ Y st −−→ Y for a finite morphism
φf : Y st → Y and a proper morphism φc : X → Y st such that φc∗ (OX ) = OY st
and φc has connected fibers everywhere.

Proof. By Lemma 5.5, φf∗ (OY st ) = φ∗ OX is a coherent OY -algebra, and so

φf is finite. Since φc∗ OX = φ∗ OX = OY st , by Zariski’s connectedness theorem
(and by the remark following the theorem), φc has a connected fiber.  

Any finite morphism f : X → Y is proper by Corollary 4.26 (and is even

projective). Then the above theorem proves again that a finite morphism is
an affine morphism (Lemma 4.24), as X = Y st = SpecY (f∗ OX ).
Corollary 5.10 Any proper quasi-finite morphism of varieties is finite.

Proof. If f is quasi-finite and proper, every fiber of X → Y st has to be one

point. Thus, by separatedness, X = Y st , and so f is finite.

Corollary 5.11 Let φ : X → Y be a proper dominant morphism of irre-

ducible varieties such that for at least one point y0 ∈ Y , φ−1 (y0 ) → y0 is a
finite morphism. Define the nonfinite locus Y nfi ⊂ Y by the Zariski closure of
all points y ∈ Y such that φ−1 (y) is not finite over y. Then Y nfi ⊂ Y nfl and
has codimension at least 2.

Proof. Since φ is proper and dominant, φ is surjective [so φ−1 (y0 ) is nonempty].
Also, φ is flat over an open dense subscheme O ⊂ Y . We may assume that
O is maximal under this property, since a union of open subschemes is still
open. Thus, we may assume that Y nfl = Y − O. Take the Stein factorization
X → Y st → Y . Replacing Y by Y st , we may assume that φ has connected
fibers. Since at y0 , it has one point fiber, we have [k(X) : k(Y )] < ∞. Thus,
over O, fibers of φ have constant dimension 0. Since φ : f −1 (O) → O is proper
and quasi-finite, it is finite flat by the above result. In other words, we get
Y nfi ⊂ Y − O = Y nfl , as desired.

Remark 5.12 Consider the category CV/k of smooth geometrically irre-

ducible proper curves (i.e., irreducible proper varieties of dimension 1) over
a filed k. If V/k is a geometrically irreducible proper curve, for its normaliza-
tion Ṽ , OṼ ,x is a normal integral domain of dimension 1; hence, it must be
 5.1 Variety over a Field 223

a valuation ring. Therefore, Ṽ is smooth with k(V ) = k(Ṽ ). If V and V  are

two smooth irreducible curves with k(V ) ∼= k(V  ), then V is birational to V 
over k. By Zariski’s main theorem, the birational map f : V → V  is well
defined outside a codimension-2 closed subset, which is empty. By the above
theorem, f has to be an isomorphism. Thus, V → k(V ) gives an equivalence
of categories between CV/k and the category of field extensions of k (of finite
type) of transcendental degree 1 in which k is algebraically closed.

5.1.4 Provariety

We study Zariski topology on a projective limit of varieties and schemes

(provariety/proschemes); in particular, we explain how to detect closed/open
subvarieties out of their projection to varieties appearing in the limit. Since
the Shimura variety is a projective limit of varieties of finite type, we need
the results later. A main reference is [EGA] IV.8.
Let I be a connected partially ordered index set. Hence, we have a partial
ordering denoted by “≺” on I, and if i ≺ j and i ≺ j  , there exists j  ∈ I
such that j ≺ j  and j  ≺ j  (connectedness). We first discuss projective
limits of affine morphisms. Consider a variety S and the coherent sheaf of
reduced OS -algebras {Ai }i∈I with OS -algebra homomorphism ιij : Ai → Aj
if i ≺ j such that ιj  j ◦ ιij = ιij  . We write A∞ = limi Ai , which is a quasi-
−→
coherent sheaf of OS -algebras. We assume that ιij is finite flat over Ai for all
i ≺ j. Since Ai is reduced, Si = SpecS (Ai ) finite flat over S is a variety. Since
the category of OS -algebras and the category of S-affine schemes are anti-
equivalent, {Si , πij := ιij : Sj → Si }i≺j is a projective system of S-schemes.
For any OS -algebra B, by definition, we have

HomOS -alg (A∞ , B) = lim HomOS -alg (Ai , B).

←−
i

Thus, as a functor in CS := COF (ALG/OS , SET S), limi Si is well defined and
←−
given by SA∞ . Clearly, the functor SA∞ is local and coincides with the functor
associated with the scheme S∞ = SpecS (A∞ ). Thus, the projective limit S∞
exists in the category of schemes. Write πi : S∞ → Si for the projection to
Si . Define the projective limit topology on S∞ to be the weakest topology
such that all πi is continuous. If Uj ⊂ Sj is open, πij (Uj ) ⊂ Si is open for
i ≺ j, as flat πij is an open map. Thus, U ⊂ S∞ is open under the projective
limit topology if U = πj−1 (Uj ) for an open subscheme Uj for sufficiently large
j. Since πij : Sj → Si is finite flat, by the going-up/-down theorems ([CRT]
Sect. 9), it induces a surjective open map on their topological space.
Lemma 5.13 Let {Si = SpecS (Ai ), πij }i∈I be a projective system of affine
finite flat morphisms of S-varieties. Then S∞ = SpecS (A∞ ) for limi Ai gives
−→
a projective limit of {Si , πij }i∈I as a scheme, and the Zariski topology on S∞
is the projective limit topology of the Zariski topology on Si .
224 5 Geometry of Variety

This fact is valid actually without much hypothesis as long as Ai are

quasi-coherent OS -algebras (see [EGA] IV.8.2.3 for a general treatment).
Proof. We have already shown that S∞ as a functor in CS is equal to the
scheme SA∞ ; hence, the limit exists in SCH/S . We prove therefore the asser-
tion on topological space. First, assume that S is affine; thus, Si = SAi for all
i for a k-algebra Ai . Then A∞ = limi Ai . By definition, Di (f ) = Spec(Ai [ f1 ])
−→
for f running in Ai gives a base of open subsets of Si (for i ∈ I ∪ {∞}).
Since f ∈ A∞ is in the image of Ai for sufficiently large i, we find D∞ (f ) =
πi−1 (Di (f )). This finishes the proof when S is affine.
 In general, we cover S
by finitely many affine open subschemes S = α∈J SAα . Then the inverse
image of SAα in Si is affine as Si → S is finite flat. We therefore write this
inverse image as SAi,α ⊂ Si . Since {SAi,α }α is a finite open covering of Si with
fixed finite set J, applying the result already proven for the affine scheme to
{SAi,α }i , we conclude the result in the general case.
Corollary 5.14 Let the notation and assumption be as in the above lemma.
If closed subschemes Zi ⊂ Si (i ∈ I) form a projective system by πij |Zj , the
projective limit Z∞ = limi Zi is a closed subscheme of S∞ .
←−
Proof. Since Zi is a subfunctor of Si , the projective limit Z∞ (R) = limi Zi (R)
←−
gives a subfunctor of S∞ . Since Zi is local and passing to the projective limit
is left exact, Z∞ is a local functor. If SA∞ ⊂ S∞ is an affine open subscheme
with a nontrivial intersection with Z∞ , its image in Si is open (as πi is flat
and hence an open map), which is an affine open subscheme SAi of Si , and
A∞ = limi Ai . Then SAi ∩ Zi is nontrivial and gives an affine open subscheme
−→
SAi of Zi . Then SA∞ = limi SAi = SA∞ ∩ Z∞ as a functor; hence, it is an
←−
open affine subscheme of Z∞ . Thus, Z∞ has an affine open covering induced
by the affine open covering of S∞ . Thus, Z∞ is a subscheme of S∞ . Writing
Ui = Si − Zi , we have S∞ − Z∞ = i πi−1 (Ui ), which is an open subscheme
of S∞ . Thus, Z∞ is a closed subscheme of S∞ .

Let {Si , πij }i≺j∈I be a projective system as above of finite flat affine mor-
phisms of S-varieties. Let Zi ⊂ Si be a closed subvariety forming a projective
system {Zi , πijZ
:= πij |Zj } of proper and dominant morphisms of S-varieties.
Z
Since πij is proper and dominant, its image is closed Zariski-dense; thus, it
induces a surjection of associated topological spaces. Let Z∞ = limi Zi , which
←−
is a subfunctor of S∞ and is a closed subscheme of S∞ by the above corollary.
Since a proper morphism is a closed map, V ⊂ Z∞ is a closed subscheme if
V = πj−1 (Vj ) for a closed subscheme Vj of Zj for a sufficiently large j.
6
Elliptic and Modular Curves over Rings

In Chap. 1, we studied nonvanishing properties modulo p of Dirichlet L-values,

and in Sect. 3.5, we outlined the proof of the vanishing of the μ-invariant of
p-adic Hecke L-functions. To fill details of the proof, obviously, we need a good
amount of the theory of elliptic curves over general rings. In later chapters,
replacing Gm by elliptic curves and modular curves, we study nonvanishing
questions for more general Hecke L-values.
In this chapter, we review the (integral) theory of elliptic curves and mod-
ular curves over general rings to the extent we need later. Chapter 2 of the
book [GME] contains a more complete exposition of the theory.

6.1 Basics of Elliptic Curves over a Scheme

When studying curves C over a field k, classically, mathematicians analyzed
its set C(K) of K-points for a field extension K/k. To study a curve C over a
general base ring B (rather than a field k), obviously we need to study C(R)
directly for an arbitrary B-algebra R. A main point of scheme theory is to
consider C a covariant functor R → C(R) from the category ALG/B of B-
algebras into the category SET S of sets. We have many interesting functors
F : ALG/B → SET S. For example, we may associate with R the set [E/R ] of
all isomorphism classes of elliptic curves defined over R [or Spec(R)]. This is a
ρ
covariant functor since a B-algebra homomorphism R − → R induces the base
change E/R → (E ⊗R R ), which is an elliptic curve defined over R . We can
extend this functor to a contravariant functor from the category SCH/B of
schemes over B to SET S in an obvious manner. The functor is contravariant
because R → Spec(R) reverses the direction of morphisms. If the functor
R → [E/R ] is isomorphic to a functor R → M(R) for a B-scheme M, we could
use algebraic geometry to study the functor (and at the same time we may use
the functoriality to study the geometry of the moduli scheme M). Finding M
is a classification problem of elliptic curves. Of course, we may add some extra
structures φ to E to classify pairs (E, φ), and if successful, the moduli M of

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 225

in Mathematics, DOI 10.1007/978-1-4614-6657-4 6,
© Springer Science+Business Media New York 2013
226 6 Elliptic and Modular Curves over Rings

the functor R → [(E, φ)/R ] constitutes a scheme over M by the morphism

(E, φ) → E. We study this type of problem in this and the following sections.
In this section, we summarize necessary facts on elliptic curves defined over a
scheme.

6.1.1 Definition of Elliptic Curves

Here is a geometric definition of an elliptic curve over a general scheme S. For

a given scheme S, a proper smooth curve f : E → S is called an elliptic curve
if it satisfies the following three conditions:
(E1) E has a section 0 = 0E ∈ E(S) (thus, f ◦ 0 = 1S ).
(E2) dimS E = 1, and E is geometrically irreducible fiber by fiber (this means
that each geometric fiber of E over an algebraically closed field is smooth,
irreducible, and of dimension 1).
(E3) For the OE -module ΩE/S of 1-differentials (e.g., Sect. 4.1.7), f∗ ΩE/S
(equivalently, R1 f∗ OE ; see [GME] Sect. 2.1.2) is locally free of rank 1.
There is no harm in assuming that S is connected, as we do from now on. For
any S-scheme φ : T → S, the fibered product ET = E ×S T is again an elliptic
curve with the zero section 0T = 0E × 1T . For two elliptic curves E and E 
over S, an S-morphism h : E → E  is always supposed to take 0E to 0E  .
The totality of elliptic curves forms a fiber category ELL over SCH. In other
words, each elliptic curve E/S is defined relative to its base scheme S, giving

rise to a fiber functor ELL  E/S → S ∈ SCH. Thus, HomELL (E/S , E/S  ) is

made up of two commutative diagrams:

E −−−−→ E E −−−−→ E
⏐ ⏐ 7 7
⏐ ⏐ and ⏐ ⏐0 
. . 0E ⏐ ⏐ E
S −−−−→ S  S −−−−→ S  .
The covariant functor ELL  E/S → S ∈ SCH is called the fiber functor of
ELL/SCH .
We have seen in Sect. 2.2.2, by the Riemann–Roch theorem, that an el-
liptic curve E over an algebraically closed field k can be embedded into the
projective space P2/k . In this chapter, more generally, we will see that E/S can
be embedded into the projective space P2/S over S of dimension 2 as a curve
of degree 3. If S = Spec(k) for an algebraically closed field k, the intersection
of E ⊂ P2/k with a linear hyperplane has three points {P, Q, R} (counting
with multiplicity). As we have seen in Sect. 2.2.1, defining P + Q + R = 0E ,
we can put a group structure on E(k). Indeed, even E/S over general scheme
S has a unique structure of a group scheme, making 0E the identity.
Lemma 6.1 An abelian scheme f : A → S of relative dimension 1 is an
elliptic curve.
 6.1 Basics of Elliptic Curves over a Scheme 227

In Sect. 6.1.3, we will see not only that an elliptic curve E/S has the natural
structure of a group scheme with identity 0E , but also that any morphism
f : E → E  over S between elliptic curves sending 0E to 0E  is a group ho-
momorphism. Thus, the category of elliptic curves is identical to the category
of abelian schemes of dimension 1. We prove here that an abelian variety of
dimension 1 over S is an elliptic curve.
Proof. By definition, an abelian scheme of relative dimension 1 is a proper
curve with a specific point given by the identity 0A . Thus, we need to prove
f∗ ΩA/S is locally S-free of rank 1. Since A/S is smooth proper, f∗ ΩA/S
is a locally free OS -module of finite type (by Lemma 5.5). To compute
rankOS f∗ ΩA/S , we may assume that S = Spec(k) for an algebraically closed
field [by pulling back via Spec(k) → S]. 
First, suppose that k has characteristic p. Since A[p∞ ] = n A[pn ] for
A[pn ] = Ker(x → pn x) is a Barsotti–Tate group, its connected component
A◦ [p∞ ] is prorepresented by the smooth, connected, formal group A  = A|CL
k

(that is, A is the formal completion of A along the origin 0A ; see Lemma 4.82).
Thus, A  = Spec(k[[T ]]) for a parameter T at the identity 0A , and it has a
unique invariant differential ω on A (induced by the cotangent vector at 0A ) up
to constant multiple. Since A(k) acts freely and transitively on A(k), we have
ΩA/k (x) ∼ = ΩA/k (0A ) ∼
= k at each point x ∈ A(k) by translation a → a + x.
Then the invariant differential ω extends uniquely to an invariant differential
over A, which generates H 0 (A, ΩA/k ); thus, H 0 (A, ΩA/k ) ∼
= k (see [LAG] 9.2,
[RAG] 7.7 or [ABV] Sect. 11). Therefore, f∗ ΩA/S is OS -locally free of rank 1,
and hence A/S is an elliptic curve.
Suppose now that k has characteristic 0 under the circumstance of the
lemma. Since A is a curve, by the Riemann–Roch theorem, A has an ample
line bundle; hence, A is projective defined by finitely many equations (and
its group structure is also defined by finitely many equations). Thus, the
group scheme A is actually defined over a subfield of k over Q of finite type.
Thus, we may assume that k → C, and by base change, we may assume that
k = C. Then, by the Archimedean uniformization described in Sect. 2.3.3,
A(C) ∼= C/L for a lattice L ∼
top
= π1 (A(C), 0A ) and A is defined by a Weierstrass
equation.  
Here is another basic lemma:
Lemma 6.2 Any nonconstant S-morphism f : E → E  of elliptic curves over
S is finite flat. In particular, Ker(f ) is a locally free group scheme of finite
rank if f is nonconstant.

Proof. Taking a geometric point Spec(k) → S and writing Ek = E ×S Spec(k)

and Ek = E  ×S Spec(k), we need to prove that the induced morphism
fk : Ek → Ek is flat. Once this is done for any geometric points of S, by the
flatness criterion fiber by fiber (cf. [EGA] IV.11.3.11), f is proven to be flat.
Replacing S by Spec(k) and E, E  by Ek , Ek , we may assume S = Spec(k) for
228 6 Elliptic and Modular Curves over Rings

an algebraically closed field. Since Ek is of dimension 1 connected irreducible

(by smoothness; Theorem 5.7), fk : Ek → Ek is a dominant morphism induc-
ing an inclusion of function fields k(E  ) → k(E). Thus, fk : Ek → Ek is flat at
a generic point [as k(E) is a vector space over k(E  ), which is k(E  )-flat]. Since
Ek is smooth over k, its local rings are regular (they are, at maximal points,
discrete valuation rings); hence, Ek is normal. Thus, the nonflat locus of fk
is a proper closed subset of codimension at least 2 by Proposition 5.3, which
is an empty set (as dim Ek = 1). Hence, fk is flat for all geometric points
Spec(k) → S, and thus f : E → E  is flat. Thus, dim f −1 (x) is independent
of x ∈ E  and equal to 0 by Proposition 5.4 (2). Since f −1 (x) is a noetherian
scheme (as E is a noetherian scheme), the topological space of f −1 (x) is a fi-
nite set. Thus, f is quasi-finite and proper, and so f is finite by Corollary 5.10
if S = Spec(k) for a field k. To prove this generally, we may assume that
S = Spec(A). For every geometric point x = Spec(k) ∈ E  over x ∈ S, write
Ex → Ex for the fiber. Then f −1 (x ) is nontrivial by the properness of E
over E  , so take y ∈ f −1 (x ), which is over x. Then OE,y ⊗A k = OEy ,y is an
OEx ,x -module of finite type by the result over k. Since OEx ,x = OE  ,x ⊗A k,
by Nakayama’s lemma (Lemma 10.8), OE,y is an OE  ,x -module of finite type.
Thus, f is a finite morphism.
Since Ker(f ) = E ×E  ,0E S is the base change of f to S, which is finite
flat (and hence locally free of finite rank).  

If f : E → E/S is a nonconstant S-morphism of elliptic curves, by the above
lemma, f∗ OE is a locally free OE  -module of finite rank. Thus, if S is con-
nected, rankOE f∗ OE is a positive integer, which we write as deg(φ) (the
degree of φ). If S is nonconnected, we define the degree for each connected
component in π0 (S), and so we get deg(φ) ∈ Zπ0 (S) . By Lemma 4.66, multi-
plication by NE : x → N x for 0 < N ∈ Z is a nonconstant endomorphism of
an elliptic curve E/S . It is well known that deg(NE ) = N 2 , which we will see
using moduli theory of elliptic curves later.

6.1.2 Cartier Divisors

A closed subscheme D = SpecE (OE /I(D)) ⊂ E/S defined by an invertible

sheaf of ideals I(D) ⊂ OE is called an effective Cartier divisor (relative to
S) on E if f∗ OD = f∗ (OE /I(D)) is OS -flat (thus locally free over S). We
define L(D) = I(D)−1 and put deg(D) = deg(L(D)) := rankS f∗ (OD ). The
0
0 section gives rise to a divisor [0] of degree 1 given by O[0] ∼
= OS . Consider
I(m[0]) = I([0])m and L(m[0]) = I(m[0])−1 for m ∈ Z. The line bundle
L(m[0]) can be regarded as the sheaf of meromorphic functions on E smooth
outside 0 and with possible singularity at 0 having a pole of order ≤ m.
If S = Spec(k) for an algebraically closed field k, k-rational effective divi-
sors can be
identified withpositive linear combinations of points on E(k). We
have deg( P mP [P ]) = P mP . We can thus think of the group Div(E/k)
of all formal linear combinations (including negative coefficients) of points
 6.1 Basics of Elliptic Curves over a Scheme 229

on E. Then deg : Div(E/k) → Z is a well-defined homomorphism given by

the above formula. In particular, for any divisor D ∈ Div(E/k), we have
L(D) = L(D+ ) ⊗ L(D− )−1 , writing D = D+ − D− for effective divisors D+
and D− , and we can verify deg(L(D)) = deg(D).

6.1.3 Picard Schemes

For any scheme X, we define Pic(X) as the set of all isomorphism classes
of invertible sheaves on X. The association X → Pic(X) is a contravariant
functor by the pullback of invertible sheaves, and Pic(X) is actually a group
by the tensor product. In short, Pic : SCH → AB is a contravariant group
functor.
f
Let E −→ S be an elliptic curve. We define, for each S-scheme φ : T → S,

PicE/S (T ) = Pic(ET )/fT∗ Pic(T ) for ET = E ×S T → T.

Since 0E is a section of f , 0∗E : Pic(E) → Pic(S) is a section of f ∗ : Pic(S) →

Pic(E). Thus, we have another expression:

PicE/S (T ) = Ker(0∗ET : Pic(ET ) → Pic(T )).

Since invertible sheaves are determined by its restriction to open covering, the
functor Pic is local [in the sense of (4.1.7)], and hence its subfunctor PicE/S
is local, giving a local group functor from SCH/S into AB.
We can extend the degree map to deg : PicE/S (T ) → Zπ0 (T ) for the set of
connected components π0 (T ). Indeed, for any algebraically closed field k and
a geometric point s : Spec(k) → T , the fiber E(s) = E ×S,φ◦s s = ET ×T s
is an elliptic curve over the field k and deg(L) = deg(L(s)) for the pullback
L(s) at s, which is well defined independently of the choice of s in a connected
component. We embed Z in Zπ0 (T ) diagonally, and we define
  
PicrE/S (T ) = L ∈ PicE/S (T ) deg(L) = r .

Here is a generalization of Abel’s theorem that is proven as Theorem 2.32

when S = Spec(k) for an algebraically closed field k:
Theorem 6.3 We have as functors

PicrE/S (T ) ∼
= E(T ) = HomS (T, E) (6.1.1)

by L([P ]) ⊗ L([0])r−1 ↔ P .
We repeat here a proof given in [AME] Sect. 2.1 and [GME] Sect. 2.2.2.
Proof. We write ET for E ×S T . Since the degree is kept by pullback, Picr is
a contravariant functor. Note that Picr ∼
= Pic0 via L → L ⊗ I(r[0]).
We want to show
230 6 Elliptic and Modular Curves over Rings

E∼
= Pic1 ∼
= Pic0 via P → I(P )−1 → I(P )−1 ⊗ I(0). (6.1.2)

Since Pic0 is a group functor with the identity OE under the multiplication
L·L = L⊗L , if (6.1.2) is true, the theorem is proven except for the uniqueness
of the group structure. Before stating the theorem we showed that

Pic1 is local on S in the sense of (4.1.7). (6.1.3)

Since Pic1 is local, we may assume that S = Spec(A) is affine. Since L ∈

Pic1 (S) is fiber by fiber of degree 1, f∗ L is locally free and rankOS (f∗ L) =
1. Since S is affine, any quasi-coherent nontrivial sheaf F comes out of a
nonzero A-module M so that the stalk FP at a prime P is given by MP
(localization); in particular, H 0 (S, F ) = M = 0 (see Remark 4.20 and [GME]
Sect. 1.2.3). Thus, f∗ L has a section #. By further shrinking S, we may assume
that f∗ L ∼
= OS and that # is the generator of the sheaf f∗ L. Then we have an

exact sequence: 0 → OE − → L → (L/OE ) → 0, whose cohomology long exact
sequence gives another exact sequence (see (4.1.9)):
(E3)
0 → f∗ OE → f∗ L → f∗ (L/OE ) → R1 f∗ OE ∼
= OS → R1 f∗ L = 0.

The vanishing of R1 f∗ L follows from the Riemann–Roch theorem fiber by fiber

(or the relative Riemann–Roch theorem in [GME] Sect. 2.1.4). Since fiber by
fiber, this sequence is reduced to 0 → k(s) ∼ = k(s) → k(s) ∼ = k(s) → 0, we
∼ ∼
conclude that f∗ (L/OE ) = R f∗ OE = OS . This shows that L comes from
1

an effective relative Cartier divisor relativeto S; in other words, L−1 ⊂ OE is

an ideal I(D) of an effective Cartier divisor D of degree 1 and L = I(D)−1 .
Then we know that L/OE ∼ = OS , because Supp(L/OE ) is finite over S and
f∗ (L/OE ) ∼= OS . Hence, there is a section P : S → E such that L = I(P )−1
(i.e., D = [P ]), and the natural map ι : E(S) → Pic1 (S) given by ι(P ) =
I(P )−1 is surjective. From (L, #), we can recover the section P as the zero
locus of # with OP ∼ = OS . Thus, P is uniquely determined by I(P )−1 , and
hence ι is injective.  

By this theorem, PicE/S = r PicrE/S is a group scheme. We also confirm that
an elliptic curve is an abelian scheme (proving the converse of Lemma 6.1).

If φ : C/S → C/S is a nonconstant S-morphism of two smooth geometri-
cally connected curves, |φ−1 (s )| = dimk(s ) Oφ−1 (s ) (counting with multiplic-
ity) is constant for geometric points s of C  ; that is,

φ∗ OC is locally free of finite rank. (LF)

The proof of this fact is the same as in the case of elliptic curves (Lemma 6.2;
see also [GME] Sect. 4.1.3). Since a flat module of finite type over connected
affine scheme Spec(A) is locally free of constant rank (e.g., [CRT] Theo-
rem 7.12), by the connectedness of C  (and covering C  by connected affine
open subschemes), rank φ∗ OC is constant everywhere. We write this number
 6.1 Basics of Elliptic Curves over a Scheme 231
;deg(φ)
as deg(φ). Thus, φ∗ OC is an invertible sheaf on C  . This construction
gives a covariant functoriality to the originally contravariant functor PicC/S
(called the Albanese functoriality). If φ : E → E  is an S-morphism of elliptic
curves, by our convention, φ takes 0E to 0E  and, hence, at the side of the
;deg(φ)
Picard scheme, it is just L → φ∗ L. Thus, obviously, φ is a homomor-
phism of group functors. In particular, a morphism of elliptic curves (taking
zero to zero) is a homomorphism of group schemes (so the group structure on
E is unique and only dependent on 0E ).
Exercise 6.4 Let the notation and the assumption be as above. Give a de-
tailed proof of the commutativity of the following diagram:
φ
E −−−−→ E
⏐ ⏐
⏐
.Abel
⏐
.Abel


Pic0 (E) −−−−
−−−−−−→ Pic (E ).
0
L → deg(φ)
φ∗ L

Let f : E → E  be an S-morphism of two elliptic curves over S. Suppose

f = 0. By Lemma 6.2, we find that f is locally free of finite rank, and on
each connected component of S, the degree of f is constant (as E over each
connected component of S is geometrically connected). We have a morphism
of functors
f ∗ : Pic0E  /S → Pic0E/S
by the pullback under f . This induces, by Abel’s theorem and Yoneda’s lemma
(Lemma 4.17), a homomorphism of S-elliptic curves f ∗ : E  → E. Obviously,
we see (f ◦ g)∗ = g ∗ ◦ f ∗ and (f + g)∗ = f ∗ + g ∗ ; that is, f → f ∗ is an
involution.
Theorem 6.5 Suppose that deg(f ) = N ∈ Z. Then f ∗ ◦ f = NE , f ◦ f ∗ =
NE  , (f ∗ )∗ = f , NE∗ = NE , and deg(f ∗ ) = N .

Proof. It is sufficient to prove the result assuming that S = Spec(k) for an

algebraically closed field k. To see this, we note that we may assume that S is
connected. For example, f ∗ ◦ f − NE = 0 at one fiber implies deg(f ∗ ◦ f − NE )
is a nonzero constant, and so f ∗ ◦ f − NE = 0 everywhere. Thus, f ∗ ◦ f = NE
at one fiber implies f ∗ ◦ f = NE everywhere.
In this proof, we assume the identity deg(NE ) = N 2 (which we will see
later using a certain universal elliptic curve; see Corollary 6.16). We have
E(T ) ∼= Pic0 (E/T ) by the correspondence P ↔ I(P )−1 ⊗ I(0). The identity
∗
f ◦ f = NE is therefore equivalent to

(I(P )−1 ⊗ I(0))⊗N ∼

= f ∗ (I(f (P ))−1 ⊗ I(0)),

where “⊗N ” indicates an N -fold tensor product. Since D = Ker(f ) is a rela-

tive effective Cartier divisor of degree N , D = [Q1 ] + · · · + [QN ] for N -points
232 6 Elliptic and Modular Curves over Rings

Qi counting with multiplicity (because k is an algebraically closed field). We

have the exact sequence defining I(f (P )) [cf. [GME] (2.3)]:

0 → I(f (P )) → OE  → k(f (P )) → 0.

Since f is flat, by Exercise 4.22, f ∗ is left exact, and

0 → f ∗ I(f (P )) → OE (= f ∗ OE  ) → Of −1 (f (P )) (= f ∗ k(f (P ))) → 0

is exact. Thus, we have f ∗ I(f (P )) = I(f −1 (f (P )), and x → x + P induces an

isomorphism TP : Ker(f ) ∼ = f −1 (f (P )). Therefore,

I(f −1 (f (P )) = T−P
∗
I(Ker(f ))

and in particular, f ∗ I(0) = I(Ker(f )). We need to show

<
N
I(P )−N ⊗ I(0)N ∼
= I(P + f −1 (0))−1 ⊗ I(f −1 (0)) = (I(P + Qi )−1 ⊗ I(Qi )).
i=1

By Abel’s theorem, we have

I(P + Qi )−1 ⊗ I(0) ∼

= I(P )−1 ⊗ I(Qi )−1 ⊗ I(0)2
⇐⇒ I(P + Qi )−1 ⊗ I(Qi ) ∼
= I(P )−1 ⊗ I(0),

which shows the claim. Now we have f ∗ ◦ f = NE . Thus, f ∗ = 0, and hence

f ∗ is locally free by Lemma 6.2. In particular, deg(f ∗ ) is well defined. Then

N 2 = deg(NE ) = deg(f ∗ ◦ f ) = deg(f ∗ ) deg(f ) = N deg(f ∗ ) ⇒ deg(f ∗ ) = N.

Since S = Spec(k) with k algebraically closed, f is surjective [because f (E) is

closed and of dimension 1]. Thus, f ◦ f ∗ (f (P )) = f (N · P ) = N f (P ) implies
f ◦f ∗ = N by the surjectivity. Since deg(f ∗ ) = N , we have (f ∗ )∗ ◦f ∗ = NE  =
f ◦ f ∗ . Thus, ((f ∗ )∗ − f )f ∗ = 0. Since f ∗ is surjective, (f ∗ )∗ = f . Finally,

NE ◦ NE∗ = [deg(NE )] = NE2 = NE ◦ NE ⇒ (NE∗ − NE ) ◦ NE = 0,

which shows the last assertion: NE∗ = NE . 



Theorem 6.6 (Hasse) Let f : E → E be an S-endomorphism of an elliptic

curve. Then we have
(i) Tr(f ) = f ∗ + f is an integer in EndS (E).
(ii) f 2 − Tr(f )f + deg(f ) = 0 in EndS (E).
(iii) The discriminant of the quadratic polynomial X 2 − Tr(f )X + deg(f ) is
negative if f is not in Z · idE .

Proof. Since EndS (E) is a ring under the composition product (f, g) → f ◦ g,
we hereafter simply write f g for f ◦ g. Then
 6.1 Basics of Elliptic Curves over a Scheme 233

(i) Z  deg(idE +f ) = (idE +f )(idE +f ∗ ) = idE +(f + f ∗ ) + deg(f ) ⇒

Tr(f ) ∈ Z.
(ii) f 2 − Tr(f )f + deg(f ) = f 2 − (f + f ∗ )f + f ∗ f = 0.
(iii) Put P (X, Y ) = X 2 − Tr(f )XY + deg(f )Y 2 . We need to prove the
n n
quadratic form P (X, Y ) is positive definite over Q. Since P ( m , m) =
m−2 P (n, n ), we only need to show P (m, n) > 0 for every pair of inte-
gers (m, n) = 0. Since f ∈ Z · idE , nf + m = 0 for all pairs (m, n) = 0
by (ii). Thus, P (m, n) = (nf + m)(nf + m)∗ = deg(nf + m) > 0 for all
(m, n) = (0, 0).

6.1.4 Invariant Differentials Are Nowhere Vanishing

By (E3), for a dense affine open subset Spec(A) of S, we have H 0 (E, ΩE/A ) =
Aω for a 1-differential ω. For each point P ∈ E(S), TP : x → x + P gives
an automorphism of the curve E (sending 0E to P ). Thus, we can bring any
given cotangent vector at 0 isomorphically to a cotangent vector at P , and
as seen in the proof of Lemma 6.1, each cotangent vector at 0 extends to a
global section of ΩE/S . Thus, TP∗ ω = ω. Or differently, if we write λ(P ) for
the constant given by TP∗ ω = λ(P )ω, λ : E(S) → Ga (S) clearly gives rise to
a morphism of functors E → Ga defined over S; thus, it is a morphism of
schemes by Lemma 4.17. Since Ga is affine and E is proper and geometrically
connected over S, the image of λ is a single point. Thus, λ = 1 as λ(0E ) = 1.
The proof of Lemma 4.84 tells us the following fact, for which we give a
shorter proof.
Lemma 6.7 Let E be an elliptic curve over a general base S. Write the group
operation additively as (x, y) → x + y. Then NE : E → E given by x → N x
induces multiplication by N on the tangent space of the identity and on the
invariant differentials ΩE/S .

Proof. We only need to prove this for ΩE/S as the other case follows from
duality. First, suppose that E has an invariant differential ω generating ΩE/S .
N
  !
Consider the diagonal embedding Δ : E → E := E ×S E ×S · · · ×S E given
N

by Δ(x) = (x, x, . . . , x) and the sum s : E N → E given by (x1 , . . . , xn ) →

x1 + x2 + · · · + xn . Then Δ∗ s∗ ω = N ω as ω is invariant under addition.
However, s ◦ Δ = NE . This shows the result for ΩE/S . In general, we cover
S by an open affine subschemes U such that EU := E ×S U has an invariant
differential. Then NE∗ is multiplication by N over ΩEU /U . Since ωE/S is a
sheaf, this implies that NE∗ = N over the entire ΩE/S .

By the above lemma, multiplication by N > 0 is a nonconstant morphism

NE : E → E if N is not identically 0 over S. We will see later in Corollary 6.16
that multiplication by N is nonconstant always (though a sketch of a different
proof of this was already given in Lemma 4.66).
234 6 Elliptic and Modular Curves over Rings

Lemma 6.8 Let E/S be an elliptic curve. If 0 < N ∈ Z is invertible on S,

E[N ] = Ker(NE ) is étale finite over S.

Proof. Since multiplication by N on ΩE/S is invertible, we have

ΩE/E,NE = Coker(N : NE∗ ΩE/S → ΩE/S ) = ΩE/S /N ΩE/S = 0.

Then, by Lemma 4.32, NE : E → E is étale finite.

6.1.5 Classification Functors

An important fact from functorial algebraic geometry is that we can associate,

with each S-scheme X, a contravariant functor X : SCH/S → SET S such
that X(T ) = HomS (T, X). This association is fully faithful; in other words,
recalling that SCH/S is a full subcategory of the category CS of contravariant
functors from S-schemes to SET S, we have

HomS (X, Y ) ∼
= HomCS (X, Y )
φ f
via (X − → Y ) → (φ(T ) : X(T ) → Y (T )) given by φ(T )(T −→ X) = φ ◦ f . This
is intuitively clear because an algebraic variety is just a function associating
to each ring R its R-integral points X(R) = X(Spec(R)). The verification
of this is the same as the proof of Lemma 4.17 and is left to the reader as
an exercise [the inverse is given by HomCT F (X, Y )  F → F (X)(1X ), where
F (X) : X(X) → Y (X) = HomS (X, Y )]. We often write X for X hereafter.
As we will see later in Corollary 6.16, deg NE = N 2 , and E[N ](k) ∼ =
(Z/N Z)2 for all geometric points Spec(k) → S as long as N is invertible in k
(see Lemma 4.70). We consider the following functor:
1 2
℘Γ1 (N ) (R) = (E, P, ω)/R (6.1.4)

from the category ALG of Z-algebras into SET S, where ω is a nowhere van-
ishing invariant differential, P is a point of order exactly N , that is, m → mP
induces a closed immersion (Z/N Z)/R → E of group schemes defined over
R, and [ ] = { }/ ∼ = is the set of all isomorphism classes of the objects
inside the brackets. Here Z/N Z as a group functor associates ) with T the
group (Z/N Z)π0 (T ) as in Sect. 4.3.5. Therefore, O(Z/N Z)/Z = Z/N Z Z [and
)
O(Z/N Z)/R = Z/N Z R], and the structure sheaf of Z/N Z is R-free of finite
rank N .
Recall another prototypical example of locally free group schemes: Start-
ing with the multiplicative group Gm [as a group functor Gm (R) = R×
and as an affine scheme Gm = Spec(Z[t, t−1 ])], we consider the kernel μN
of N [as a group functor μN (R) = {ζ ∈ R|ζ N = 1} and as a scheme
μN = Spec(Z[t]/(tN − 1)) = Spec(Z[(Z/N Z)])]. Then μN is a locally free
group scheme of rank N . If N > 1, it is nonisomorphic to Z/N Z, since for
 6.1 Basics of Elliptic Curves over a Scheme 235

any prime p, μp (Fp ) = {1}, but (Z/pZ)(Fp ) = Z/pZ. We consider a version of

the functor ℘Γ1 (N ) defined as follows:
1 2
℘Γ1 (N ) (R) = (E, φN : μN → E[N ], ω)/R , (6.1.5)

where φN is a closed immersion of group schemes. In particular, ℘ = ℘Γ1 (1)

classifies just pairs (E, ω)/R .

6.1.6 Cartier Duality

The two functors ℘Γ1 (N ) and ℘Γ1 (N ) are isomorphic by the duality of locally
free group schemes of finite rank (see Sect. 4.3.5): Here is a brief recall of the
theory. If G is a locally free group scheme of rank N over S, write G/T =
G ×S T for an S-scheme T . Then there exists a group scheme G∗/S such that
G∗ (T ) = HomT (G/T , Gm/T ) = HomT (G/T , μN/T ), where Gm/S = Gm × S
and μN/S = μN × S over Spec(Z). We have (G∗ )∗ ∼ = G in an obvious manner,
and (Z/N Z)∗ = μN by ζ(m) = ζ m for ζ ∈ μN (R) and m ∈ (Z/N Z)(R).
f
Let E − → S be an elliptic curve and fT : E/T → T be the base change to
an S-scheme T → S with zero section 0T : T → E/T . Recall the splitting for
the identity section 0 : S → E:

Pic(E/T ) = fT∗ Pic(T ) ⊕ Ker(0∗T ) and Ker(0∗T ) = PicE/S (T ),

regarding PicE/S (T ) as a set of isomorphism classes of invertible sheaves whose

restriction to 0 is trivial; that is, 0∗ L is isomorphic to OS .
Let P ∈ Ker(π) for a nonconstant S-morphism π : E → E  . Then

π∗ : E  ∼
= Pic0E  /S → Pic0E/S ∼
=E

is an S-homomorphism.
Lemma 6.9 If π is nonconstant, Ker(π) is locally free of finite rank, and we
have Ker(π ∗ ) = Ker(π)∗ for the dual Ker(π)∗ of Ker(π). In particular, E[N ]
is a Cartier self-dual.
Proof. Since π is nonconstant, it is finite flat (Lemma 6.2), and so 0 <
deg(π) ∈ Z. Since π ∗ ◦ π = deg(π) (Theorem 6.6), π ∗ is nonconstant, and
π ∗ is finite flat. Take L ∈ Ker(π ∗ ). If U = Spec(A) ⊂ E  is an affine open
subset, L|U = L̃ for a locally free A-module L. Shrinking U if necessary, we
may assume that L ∼ = φ−1
U A ⊂ Q(A) for the total quotient ring Q(A) of A.
Thus, we may write L|U= φ−1 
U OU for a small open subscheme U ⊂ E . Take
an open covering E = i Ui such that L|Ui = φi OUi for a generator φ−1
 −1
i .
Since 0∗ L = OS , we may normalize φi so that φi ◦ 0E  = φj ◦ 0E  for all i = j
on 0−1 ∗ −1
E  (Ui ∩ Uj ). Let ϕi = φi ◦ π; we have π L|Vi = ϕi OVi for Vi = π
−1
(Ui ).
Let P ∈ Ker(π); then

ϕi ◦ P = φi ◦ π ◦ P = φi ◦ 0E  = φj ◦ 0E  = ϕj ◦ P.
236 6 Elliptic and Modular Curves over Rings

This implies that the ϕi ◦ P s glue to give a global section ϕ ◦ P ∈ Γ (S, OS× ) =
Gm (S), getting a homomorphism Ker(π ∗ ) → Ker(π)∗ . Thus, we get a pairing

eπ : Ker(π) × Ker(π ∗ ) → Gm .

Since E is a Ker(π)-torsor over E  , we have E ×E  E ∼ = Ker(π) ×S E  . Thus,

for any homomorphism ζ : Ker(π) → Gm , we find φ : Ker(π) ×S E  → P1
such that φ(y + t) = ζ(t)φ(y) for t ∈ Ker(π). This function φ gives rise
to a divisor D on E  E = E  ×S E. By definition, πE ∗
L(D) = OE×S E for

πE = π × 1 : E ×S E → E ×S E, and eπ (x, L(D)) = ζ(x). Thus, over
E, eπ/E : Ker(π)/E × Ker(π ∗ )/E → Gm is a perfect pairing. Since E → S is
faithfully flat, we find that the original eπ is perfect. Applying this to π = NE ,
since NE∗ = NE (Theorem 6.5), we get E[N ]∗ = E[N ].  

Write this pairing as  ,  : E[N ] ×S E[N ] → μN/S , which is sometimes

called the Weil pairing. Then we get φ(P ), Q = P, φ∗ (Q); so φ → φ∗ is an
involution with φ∗ ◦ φ = deg(φ) ≥ 0 (a positive involution; see Theorem 6.6).
For a given level-N structure φN : Z/N Z → E[N ]; by duality, we get
πN : E[N ]  μN , which has a section φN well determined modulo C =
φN (Z/N Z). Thus, (E/C, φN : μN → (E/C)[N ], ω  ) is well defined as an
element of ℘Γ1 (N ) (R), where ω  coincides with ω at the identity (because the
projection E → E/C is a local isomorphism, that is, an étale morphism; see
[GME] Proposition 1.8.4). The inverse map, ℘ → ℘ , is given similarly by

(E  , φN : μN → E  [N ], ω  ) → (E  = E  / Im(φN ), φN : Z/N Z → E  [N ], ω  ).

= E, we have ℘ ∼
Since (E/C)/φN (μN ) = E/E[N ] ∼ =℘∼
= ℘ .
Corollary 6.10 For each N ≥ 1, we have a canonical isomorphism of func-
tors: ℘Γ1 (N ) ∼
= ℘Γ1 (N ) defined over ALG/Z[ N1 ] .
Let p be a prime and E/S be an elliptic curve over a connected base S. Since
S is connected, OS cannot be decomposed into a direct sum of two nontrivial
sheaves of rings (cf. [GME] Sect. 1.2.4). Since E[pn ]/S is a locally free group
scheme of rank p2n , we have E[pn ] = SpecS (A) for a locally free sheaf of
OS -bialgebras A. By Proposition 4.68, over the henselization S̃x of S at each
closed point x, we have an exact sequence of abelian fppf sheaves:

0 → E[pn ]◦/S̃x → E[pn ]/S̃x → E[pn ]et

/S̃x
→ 0,

where E[pn ]◦ is the connected component containing the identity section.

Suppose that p is locally nilpotent on S [so, for any stalk OS,x at a closed
point x, pm(x) = 0 in OS,x for some positive integer m(x) possibly depending
on x]. Because of the local nilpotence of p, the connected component is well
defined globally (without making a base change to the henselization); so this
exact sequence extends to an exact sequence of fppf abelian sheaves over S:

0 → E[pn ]◦/S → E[pn ]/S → E[pn ]et

/S → 0,
 6.2 Moduli of Elliptic Curves 237

where E[pn ]◦/S is defined in the same way as above, replacing S̃x by S. Here
E[pn ]et
/S is for the moment just the quotient abelian sheaf of E[p ]/S by
n
n ◦ n ◦
E[p ]/S . The abelian fppf sheaf E[p ] may not be flat but affine over the
base S; so we write E[pn ]◦ = SpecS (A◦ ) and E[pn ] = SpecS (A). Thus, the
nonflat locus E[pn ]◦,nf l is over a proper closed subscheme S nf l ⊂ S. If S nf l is
empty, E[pn ]◦ is finite flat over S and the quotient E[pn ]et is étale finite over
S. Suppose that E[pn ]◦ is flat over S. By the group structure, over an étale ex-
tension S  /S so that P ∈ E et (S  ) with P = 0E[pn ]et , regarding P ∈ E[pn ](S  ),
the translation by P brings A◦ isomorphic to the maximal indecomposable
OS -algebra direct summand of A through which P : A → OS  factors. Thus,
over a finite étale extension S  , E[pn ]et/S  is a disjoint union of schemes isomor-
phic to S  . Thus, E[pn ]et/S  is étale, and by descent, E[pn ]et
/S is étale over S.
The étale group scheme E[p ] is called the maximal étale quotient of E[pn ].
n et

If p is invertible over S, E[pn ] = E[pn ]et as pnE is étale. Suppose that p is not
invertible over S. Since μpn is connected, by self-duality E[pn ] × E[pn ] → μpn ,
E[pn ]◦ is nontrivial. Thus, rank E[p]et ≤ p. Writing rank E[p]et = pr(E) , the
number r(E) is called the p-rank of E. We call E supersingular at p if r(E) = 0,
and otherwise, we call E ordinary at p (or p-ordinary). By the self-duality, we
have (E[pn ]et )∗ → E[pn ]◦ . Thus, rank E[p] = p2r(E)+s(E) for s(E) given by
ps(E) = rank E[p]◦ / rank(E[p]et )∗ . Summarizing this, we have the following:
Lemma 6.11 Suppose that p is locally nilpotent over S. Then over an open
dense subscheme of S, E[pn ]◦ is finite flat. If E[pn ]◦ is flat over S, locally un-
der étale topology, the étale quotient E[p]et is isomorphic to (Z/pZ)r(E) for a
constant r(E) called the p-rank of E, and E[p]◦ has the maximal multiplicative
part (E[p]et )∗ isomorphic to μp . In particular, we have 0 ≤ r(E) ≤ 1.
r(E)

Exercise 6.12 Where did we use the assumption of the local nilpotency of p
in the proof of the above lemma?

6.2 Moduli of Elliptic Curves

As already described, we may regard a scheme X over a ring B as a contravari-
ant functor X : SCH/B → SET S by X(S) = HomSCH/B (S, X). A scheme
M/B is a coarse modulus of a contravariant functor F : SCH/B → SET S if
we have a morphism f : F → M of functors such that f (k) : F (Spec(k)) ∼ =
M (Spec(k)) for any algebraically closed field k and for any other morphism
g : F → M  for a B-scheme M  , we have a morphism M −
π
→ M  with g = π ◦ f
[see [GME] Sect. 2.3.2 (CM1–3) for more details on coarse moduli schemes]. If
the above morphism f is an isomorphism of functors, we say that F is repre-
sentable by M/B , and M/B is a fine moduli scheme. A fine or coarse modulus
of a functor is uniquely determined up to isomorphisms of B-schemes (by
Yoneda’s lemma). We now study the scheme over Z[ N1 ] representing ℘Γ1 (N ) .
238 6 Elliptic and Modular Curves over Rings

6.2.1 Moduli of Level 1 over Z[ 61 ]

Hereafter, we assume until Sect. 6.3 (for simplicity) that 6 is invertible in any
algebra we consider unless otherwise mentioned (see [GME] Sects. 2.6–9 for
the theory valid over Z). Let (E, ω)/R be a pair of an elliptic curve and a
nowhere vanishing differential. We choose a parameter T at 0 so that
ω = (1 + higher terms of T )dT.
By the integral version of the Riemann–Roch theorem (see [GME] Sect. 2.1.4),
we verify (as in [GME] Sect. 2.2.5) the following result:
Lemma 6.13 For an elliptic curve f : E → S, rank f∗ L(m[0]) = m if m > 0.
Here is a sketch of a proof.
Proof. We first assume S = Spec(k) for an algebraically closed
 field. Since
f : E → Spec(k) is proper with f ∗ OE = k, L(−D) = 0 if D = P mP P = 0
with mP ≥ 0. Then by the Riemann–Roch theorem (see Theorem 2.26 in the
text or [ALG] IV.1.3),
dimk H 0 (E, L(D)) = deg(D) − g + 1 + dimk H 0 (L(−D) ⊗ ΩE/k )
for g = rankk H 0 (E, ΩE/k ) = 1. Since ΩE/k ∼
= OE , we have
dimk H 0 (E, L(m[0])) = m + dimk H 0 (E, L(−m[0])) = m
if m > 0.
Now we treat general S. Write f : E → S for structure morphism and
I([0]) for the OE -ideal defining the image [0] ∼= S as the subscheme of E.
Then L(m[0]) = I([0])−m . We first consider I([0])−m , which is of degree
m ≥ g = 1. Since [0] is a relative Cartier divisor, m[0] is a relative Cartier
divisor. We have an exact sequence:
0 → OE −→ I([0])−m −→ I([0])−m /OE → 0,
which yields a long exact sequence:
0 → f∗ OE → f∗ I([0])−m → f∗ (I([0])−m /OE ) → R1 f∗ OE → R1 f∗ I([0])−m ,
where R1 f∗ is the right-derived functor on the Zariski site (see Sect. 4.1.10).
Since deg(I([0])−m ) = m ≥ 2g − 1 = 1, fiber by fiber (e.g., Corollary 2.27),
R1 f∗ (I([0])−m ) ⊗ k(s) = 0 (s ∈ S) because deg(I([0])m ⊗ ΩE/S ) < 0. This
shows that R1 f∗ (I([0])−m ) = 0 and

0 → f∗ OE → f∗ I([0])−m → f∗ (I([0])−m /OE )

→ R1 f∗ OE (∼
= HomOS (f∗ ΩE/S , OS )) → 0
is exact. Since f∗ (I([0])−m /OE ) is locally OS -free of finite rank and R1 f∗ OE
is, by the Grothendieck–Serre duality (e.g., [GME] Sect. 2.1.2), isomorphic to
the rank 1 locally OS -free sheaf given by HomOS (f∗ ΩE/S , OS ), f∗ I([0])−m is
locally free of rank m if m ≥ 1 over OS .  
 6.2 Moduli of Elliptic Curves 239

Replacing S by its sufficiently small affine open subscheme Spec(R), we have

H 0 (E, L(2[0]) = R1 + Rx and H 0 (E, L(3[0]) = R1 + Rx + Ry, and then
H 0 (E, L(m[0])) = H 0 (E, L([0])⊗m ) is locally R-free of rank m for m > 3. In
particular, by Corollary 2.19, we have two morphisms x, y : E → P1 such that
1. x has a pole of order 2 at 0 with the leading term T −2 in its Laurent
expansion in T (removing the constant term by translation);
2. y has a pole of order 3 with leading term −T −3.
Out of these functions x and y, we can create a basis of H 0 (E, L(m[0])),
showing H 0 (E, L(m[0])) is R-free of rank m:
• H 0 (E, L(2[0])) = R + Rx, H 0 (E, L(3[0])) = R + Rx + Ry. This implies
that x has a pole of order 2 at 0 and y has order 3 at 0. They are regular
outside 0.
• From these functions 1, x, y, we create functions with a pole of order n at
0 as follows:
n ≤ 4 : 1, x, y, x2 (dim = 4)
n ≤ 5 : 1, x, y, x2 , xy (dim = 5)
n ≤ 6 : 1, x, y, x2 , xy, x3 , y 2 (dim = 6).
Comparing with the leading term of T −6 , one sees that the seven sections
1, x, y, x2 , xy, x3 , y 2
in the space H 0 (E, L(6[0])) have to be linearly dependent and satisfy the
following relation:
y 2 + a1 xy + a3 y = x3 + a2 x2 + a4 x + a6 .
We can kill in a unique way the terms involving xy and y by a variable change
y → y + ax + b. Indeed, by the variable change y → y − a21 x − a23 , we get a
simplified equation:
y 2 = x3 + b2 x2 + b4 x + b6 .
Again, a variable change x → x − b2
3 simplifies the equation to
2 3
y = x + c2 x + c3 .
Since L(3[0]) is very ample [deg(L(3[0])) = 3 ≥ 2g + 1], this equation is not an
equation of a quotient curve of E. Finally, making a variable change 2y → y
(so now the T -expansion of y begins with −2T −3), we get a unique equation
from (E, ω)/R :
y 2 = 4x3 − g2 (E, ω)x − g3 (E, ω) for g2 (E, ω), g3 (E, ω) ∈ R.
In other words, E ⊂ P2/R is given by

Proj(R[X, Y, Z]/(ZY 2 − 4X 3 + g2 (E, ω)XZ 2 + g3 (E, ω)Z 3 )).

240 6 Elliptic and Modular Curves over Rings

Exercise 6.14 Prove that the equation ZY 2 − 4X 3 + g2 XZ 2 + g3 Z 3 = 0 in

R[X, Y, Z] gives a smooth curve of genus 1 having the origin 0 := (0, 1, 0) in
P2/R if and only if Δ := g23 − 27g32 ∈ R× (see Example 2.5 and Exercise 2.38).

We recover the differential ω by dx

y .
We assumed that S = Spec(R) so that f∗ L(2[0]) and f∗ L(3[0]) are OS -free
of rank 2 and 3 and normalized the sections x and y to satisfy the Weierstrass
equation. We found that the two sections x and y as above are uniquely
determined by ω. For a general S not necessarily affine, we cover S by affine
open subschemes Spec(Ri ) with the above property. The Weierstrass equations
we get over Ri and Rj must be equal on Spec(Ri ) ∩ Spec(Rj ) in S, as they are
determined by the same ω|Spec(Ri )∩Spec(Rj ) . Thus, gi (E, ω) (i = 2, 3) are well-
defined global sections over S, and E/S is defined by the relative projective
scheme (see Sect. 4.1.9)

P rojS (OS [X, Y, Z]/(ZY 2 − 4X 3 + g2 (E, ω)XZ 2 + g3 (E, ω)Z 3 ))

having the corresponding nowhere vanishing differential dX

Y .
Summing up these arguments, we conclude the following fact:
Theorem 6.15 Define a polynomial ring R = RΓ1 (1) = Z[ 16 , g2 , g3 , Δ 1
]
(Δ = g2 − 27g3 inverted) with variables g2 and g3 . Then we have a canonical
3 2

isomorphism

℘Γ1 (1) (R) ∼

= HomZ[ 16 ]−alg (R, R) = M1 (R),

where M1 = Spec(R) for R = Z[ 16 , g2 , g3 , Δ

1
]. We have the universal elliptic
curve and the universal differential ω given by
 
dX
(E, ω)/M1 = Proj(R[X, Y, Z]/(ZY − 4X + g2 XZ + g3 Z )),
2 3 2 3
.
Y

For each pair (E, ω)/S , we have a unique morphism ϕ : S → M1 over Z[ 16 ])

with ϕ∗ gj = gj (E, ω) ∈ H 0 (S, OS ) (⇔ ϕ(gj ) = gj (E, ω)); in other words,

(E, ω)/S ∼
= ϕ∗ (E, ω) = (E, ω) ×M1 S.

In short, the classification functor ℘Γ1 (1) is represented by the fine moduli
scheme M1 = Spec(R).
If we change ω by λω for λ ∈ H 0 (S, OS× ) = Gm (OS ), the parameter T
will be changed to λT and hence (x, y) is replaced by (λ−2 x, λ−3 y). Thus,
(E, λω)/S will be defined by

(λ−3 y)2 = 4(λ−2 x)3 − g2 (E, λω)(λ−2 x) − g3 (E, λω).

This equation has to be equivalent to the original equation by the uniqueness

of the Weierstrass equation, and we have
 6.2 Moduli of Elliptic Curves 241

gj (E, λω) = λ−2j gj (E, ω).

Again by the uniqueness of the Weierstrass equation, we find that

Aut((E, ω)/S ) = {idE }

as long as 6 is invertible in S.
Since the moduli schemeM1 is a fine modulus, it is determined by the
restriction of ℘ = ℘Γ1 (1) to ALG/Z[ 16 ] .
Corollary 6.16 The multiplication NE by N on an elliptic curve E over a
scheme S is a finite flat endomorphism of E with deg(NE ) = N 2 . If S =
Spec(k) for an algebraically closed field k, E[N ](k) ∼
= (Z/N Z)2 as long as N
is prime to the characteristic of k.

Proof. We give a proof assuming 6 is invertible over S. Shrinking S if nec-

essary, we assume that E carries a nowhere vanishing differential ω. Then
we have a unique ϕ : S → M1 with (E, ω) ∼ = ϕ∗ (E, ω). Thus, we only
need to prove this for the universal curve (E, ω). Thus, we can pick a point
x ∈ M1 (C) for the complex number field C. Write (Ex , ωx )/C = x∗ (E, ω). By
Theorem 2.51, a genus-1 curve with given origin is analytically isomorphic to
C/L for a lattice L ⊂ C. Thus, E(C) = C/L and the fiber of NEx : Ex → Ex
is isomorphic to its fiber at 0, that is, N −1 L/L, whose cardinality is N 2 .
Thus, NEx is nonconstant, hence finite flat (Lemma 6.2), and has degree N 2 .
If NE : E → E is constant, NEx has to be constant; so NE : E → E is non-
constant and is finite flat. Since M1 is irreducible, the degree NE is constant
over M1 , and hence deg(NE ) = N 2 , which implies deg(NE ) = N 2 .
If 6 is not invertible on S, we can take a different type moduli problem
and argue in the same way. For example, we can take the moduli functor
EΓ (pq) classifying (E, φpq : (Z/pqZ)2 ∼ = E[pq]) for primes p, q > 3 prime to
N . This functor is represented by a smooth affine curve Y (pq) over Z[ pq 1
] (see
Sect. 6.2.10 in the text and also [GME] Theorem 2.6.8), and we can go in the
same way, taking the universal elliptic curve over Y (pq).
There are purely algebro-geometric proofs analyzing the degree of NE∗ on
0
PicE/S (see, for example, [ABV] Sect. 16).
Since NE : E → E is finite flat, E(k) is a divisible group; so E[l∞ ] is l-
divisible for a prime l. If l is different from the characteristic of k, lE is étale by
Lemma 6.8, and so E[l](k) ∼ = (Z/lZ)r as abelian groups. Since deg(lE ) = l2 ,
∼ 2
we find E[l](k) = (Z/lZ) . By l-divisibility, we then find E[l∞ ](k) = (Ql /Zl )2 ;
∼  e(l)
) Z) . If N = l l
m m 2
so E[l ](k) = (Z/l is the prime decomposition of N , we
find E[N ](k) = l E[le(l) ](k) ∼ = (Z/N Z)2 .

Corollary 6.17 Let R be a local Z[ 16 ]-algebra and I be an ideal of R. If

(E0 , ω0 )/(R/I) is a pair in ℘Γ1 (1) (R/I), then there exists a pair (E, ω)/R ∈
℘Γ1 (1) (R) such that i0 : E0 ∼
= E ×Spec(R) Spec(R/I) and ω0 = i∗0 ω.
242 6 Elliptic and Modular Curves over Rings

Proof. By the above theorem,

E0 = Proj((R/I)[X, Y, Z]/(Y 2 Z − 4X 3 + g2 (E0 , ω0 )XZ 2 + g3 (E0 , ω0 )Z 3 ))
with Δ(E0 , ω0 ) ∈ (R/I)× . Pick gj (E, ω) ∈ R so that gj (E, ω) ∼
= gj (E0 , ω0 )
mod I. Define E by
E = Proj(R[X, Y, Z]/(Y 2 Z − 4X 3 + g2 (E, ω)XZ 2 + g3 (E, ω)Z 3 ))
×
Y . Since Δ(E, ω) ≡ Δ(E0 , ω0 ) mod I, we have Δ(E, ω) ∈ R
and put ω = dX
and (E, ω) ∈ ℘Γ1 (1) (R).

6.2.2 Compatible System of Tate Modules

Let (E, ω)/F be an elliptic curve with nowhere vanishing differential ω de-
fined over a number field F ⊂ Q with integer ring O = OF . Then (E, ω)
gives rise to a point of P ∈ M1 (F ). Pick a prime l, and we define the l-adic
Tate module Tl E = limn E[ln ](Q) ∼ = Zl 2 . Since E[ln ](Q) ⊂ E(Q) ⊂ P2 (Q),
←−
the Galois group Gal(Q/F ) acts on Tl E ∼ = Zl 2 , getting a representation
ρE,l : Gal(Q/F ) → GL2 (Zl ). Since P ∈ M1 (F ) is an algebra morphism
P : Z[ 16 , g2 , g3 , Δ
1
] → F , its image lands in O[ N1 ] for some integer N . Thus,
(E, ω) is well defined over S = Spec(O[ N1 ]). Taking a closed point p  l of S,
we can think of Ep = E ×S Fp for the residue field Fp of p. Note that E[ln ]/S
is a finite flat group scheme. Thus, taking the integral closure Z of Z in Q
gives E[ln ](Z[ N1 ]) ∼ = (Z/ln Z)2 . Taking a prime P over p in Z[ N1 ], we see that
the residue field FP of P is an algebraic closure of Fp . We get the reduction
map
(∗)
πP : E[ln ](Q) = E[ln ]/Z[ 1 ] ×Z[ 1 ] Q ∼
= E[ln ]/Z[ N1 ] ×Z[ N1 ] FP = E[ln ](Fp ).
N N

The middle isomorphism (∗) is just an isomorphism of abelian groups. The

decomposition subgroup DP = {σ ∈ Gal(Q/F )|σ(P) = P} commutes with
πP ; so its inertia group IP acts trivially on E[ln ], and hence on Tl E. Thus,
ρE,l is unramified outside N · l. Let Φ be the Frobenius map of Gal(FP /Fp ).
Then Φ induces (x:y:z) → (xq :y q :z q ) on P3/Fp for q = N (p) = |Fp |, which
is a morphism of schemes. Since Ep ⊂ P3 is stable under Φ, we get the
relative Frobenius morphism φ : Ep → Ep induced by Φ (see Sect. 6.2.11 for
a coordinate-free definition of the relative Frobenius map). Since Φ is the qth
power morphism, it induces a qth power map of the stalk OEp ,0 over Fp ; so
deg(φ) = q = [OEp ,0 : Φ(OEp ,0 )], and φ satisfies

Pp (X) = X 2 − (φ + φ∗ )X + q = 0
in End(Ep ) (by Theorem 6.6). Here Tr(φ) = φ + φ∗ ∈ Z. The Frobenius
element F robp relative to P in DP acts via the relative Frobenius map φ :
E → E on Tl E, and F robP satisfies Pp (X) = 0, which is independent of l.
Thus, {Tl E}l gives rise to a compatible system of Galois representations.
 6.2 Moduli of Elliptic Curves 243

Proposition 6.18 Let E and E  be elliptic curves defined over a field k. The
module Homk (E, E  ) is torsion-free of finite rank ≤ 4 over Z.

Proof. Take 0 = f ∈ Homk (E, E  ), and let L = Homk (E, E  ) and V =

Homk (E, E  ) ⊗Z Q. Then f ∗ f = deg(f ) = 0 by Lemma 6.2, and we find that
Homk (E, E  ) is torsion-free; hence, L ⊂ V . If φ = φ∗ for φ ∈ Endk (E), then
2φ = Tr(φ) ∈ Z; so ∗-invariant endomorphism has to be in 12 Z · idE . For
linearly independent f1 , . . . , fr ∈ V , set f = x1 f1 + · · · + xr fr for integers xj .
Then

Q(x1 , . . . , xr ) := (x1 , . . . , xr ) →
deg(f ) = f ∗ f = (x1 f1∗ + · · · + xr fr∗ )(x1 f1 + · · · + xr fr )

is a homogeneous polynomial of xj of degree 2 whose coefficients are ∗-

invariant endomorphisms of E. Thus, Q(x1 , . . . , xr ) ∈ Q[x1 , . . . , xr ]. Pick any
finite-rank submodule M ⊂ Homk (E, E  ). Consider the Q-span Q · M ⊂ V .
For a basis f1 , . . . , fr of M , M  f → deg(f ) is a positive definite quadratic
form in xi . Thus, U = {|Q(f )| < 1|f ∈ Q · M } is a neighborhood of 0 under
the Euclidean topology on Q · M , and U ∩ M = 0. Thus, M is a lattice in
Q · M , and LM = L ∩ (Q · M ) is another lattice of the same rank as M .
Pick a prime l different from the characteristic of k. Look at the l-adic Tate
modules Tl E = limn E[ln ](k) and Tl E  for an algebraic closure k of k. Then
←−
Tl E ∼
= Z2l , and we have a natural linear map Tl : L → HomZl (Tl E, Tl E  ) ∼ =
M2 (Zl ). Since E has dimension 1, E[l∞ ](k) ∼ = (Ql /Zl )2 is Zariski dense in
E/k ; so the above map is injective, inducing a linear map Tl ⊗ 1 : L ⊗Z Zl →
M2 (Zl ). If Tl ⊗ 1 is not injective,
 we find a Z-linearly independent
 f1 , . . . , fr ∈
Homk (E, E  ) such that M = i Zfi = (Q · M ) ∩ L and i αi Tl (fi ) = 0 for
αi ∈ Zl . By dividing the greatest common divisor of αi s, we may assume that
one of αi , say α1 , is an l-adic unit; so f is not in l · M . Pick integers ni so
that ni ≡ αi mod l. Then f := i ni fi with f ≡ i αi fi = 0 mod l kills
l
E[l](k) = Tl E/l · Tl E. Thus, f factors through E −→
E
E; that is, we have a
commutative diagram
l
E −−−E−→ E
⏐ ⏐
⏐
f.
⏐g
.
E E.
Thus, g ∈ Q · M ∩ L = M and f = l · g, a contradiction (as f ∈ l · M by our
choice), and so Tl ⊗ 1 is an injection. This implies L ⊗Z Zl → M2 (Zl ), and
hence, rank L ≤ rank M2 (Zl ) = 4.

Exercise 6.19 If E is defined over a finite field of q = pf elements and if

D = End(E/Fq ) ⊗Z Q has rank 4, prove that Dl := D ⊗Q Ql = M2 (Ql ) for
all primes l = p and D ⊗Q R is the Hamilton quaternion algebra. From this,
conclude that Dp is a division algebra.
244 6 Elliptic and Modular Curves over Rings

6.2.3 Moduli of ℘Γ1 (N )

Let E/M1 be the universal elliptic curve. Since E[l] → M1 for a prime l is a
finite morphism (Lemma 6.2), it is affine. Write E[l] = Spec(A). Then I(0)2 is
principal generated by φ (the image of x−1 in A), and we remove 0 by adding
φ to A, we get an affine scheme E[l] − {0} = Spec(A[ φ ]).
1 1

Consider (E, P, ω)/R for a point P ∈ E[l](R) of order l for a prime l. We

have a unique ϕ ∈ M1 (R) such that

ϕE : (E, ω)/R ∼
= ϕ∗ (E, ω) = (E, ω) ×M1 Spec(R).

We thus have a commutative diagram:

E7 −
→ M
71
ϕE ⏐ ⏐ϕ
P
Spec(R) −
→ E → Spec(R) .
−

Then P induces a unique morphism ϕP = ϕE ◦ P : Spec(R) → (E[l] − {0}).

This shows that, over Z[ 6l
1
],

℘Γ1 (l) (R) ∼

= ℘Γ1 (l) (R) ∼
= (E[l] − {0}) (R).

Recall E[l] = Spec(A). Then 0 : A → R is a section of the structure morphism

π : R → A; so A = R ⊕ I(0) as R-modules. Since l : E → E is étale
(Lemma 6.8), the above decomposition has to be a ring direct sum. Thus,
E[l] − {0} is a closed subscheme of E[l] and hence is proper over Z[ 6l1
]. Thus,
E[l] − {0} is proper quasi-finite étale and hence is finite étale over M1/Z[ 6l1 ] .
Similarly, over Z[ 6N1
],
⎛ ⎞
+
℘Γ1 (N ) (R) ∼
= ℘Γ1 (N ) (R) ∼
= ⎝E[N ] − E[d]⎠ (R).
N >d|N

We put MΓ1 (N ) = E[N ] − N >d|N E[d]. Similarly as above, MΓ1 (N ) is finite
étale over M1/Z[ 6N
1 . Thus, we have proven
]

Theorem 6.20 There is an affine scheme MΓ1 (N ) = Spec(RΓ1 (N ) ) defined

over Z[ 6N
1
] such that

℘Γ1 (N ) (R) ∼
= ℘Γ1 (N ) (R) ∼
= HomZ[ 6N
1
]−alg (RΓ1 (N ) , R) = MΓ1 (N ) (R)

for all Z[ 6N
1
]-algebras R. The scheme MΓ1 (N ) /M1 is an étale finite covering
×
over M1/Z[ 6N 1
] of degree ϕ(N ) = |(Z/N Z) | for the Euler function ϕ.

The fact that the covering is étale finite follows from the same fact for E[N ]
since E[N ](k) ∼
= (Z/N Z)2 for all algebraically closed fields with characteristic
not dividing N . Since M1 is affine, any finite covering of M1 is affine. Fix a
 6.2 Moduli of Elliptic Curves 245

base Z[ 6N
1
]-algebra B. Then the statement of the theorem is plainly valid for
the functors ℘Γ1 (N ) and ℘Γ1 (N ) restricted to ALG/B (by base change to B
from Z[ 6N
1
]).
If we find an S-scheme M for a given contravariant functor F : SCH/S →
SET S such that we have an isomorphism of functors M ∼ = F for M(S  ) =

HomS (S , M), we say that F is representable (or represented) by an S-scheme
M. The scheme M is called the moduli scheme of the functor F . Then the
statement of the theorem is equivalent to the representability of the functors
℘Γ1 (N ) and ℘Γ1 (N ) by an affine Z[ 6N
1
]-scheme MΓ1 (N ) .
Even if F is not representable by a scheme, we often find a rough approx-
imation of the moduli called a coarse moduli scheme so that F (Spec(k)) ∼ =
M(k) for the spectrum of any algebraically closed field k that is an S-scheme.
Here we do not give the scheme-theoretic characterization of coarse moduli
schemes, only referring to [GME] Sect. 2.3.2, though we have some coarse
moduli schemes in this book.

6.2.4 Definition of Modular Forms

1
Take a base-Z[ 6N ]-algebra B. Write ℘Γ1 (N )/B for the restriction of ℘Γ1 (N ) to
ALG/B ⊂ ALG/Z[ 6N 1 . The group scheme Gm acts on the functor ℘Γ (N )/B in
] 1
the following way:
(E, φN , ω)/R → (E, φN , λω)/R for λ ∈ Gm (R).
This induces (by the functoriality described in Sect. 6.1.5) an action of Gm on
MΓ1 (N ) and hence on RΓ1 (N ) .
The action of Gm/B on MΓ1 (N ) makes RΓ1 (N ) a functorial Gm -module
(because it was defined by a functorial action; see Example 4.62 in Sect. 4.3.3).
Thus, we can split
:
RΓ1 (N )/B = Rκ (Γ1 (N ); B),
κ∈Z

where on f ∈ Rκ (Γ1 (N ); B), Gm acts by the character −κ. Thus, RΓ1 (N )/B
is a graded algebra.
Since f ∈ Rκ (Γ1 (N ); B) is a morphism of functors:
f
MΓ1 (N ) (R) = ℘Γ1 (N ) (R) −
→ Ga (R) = R,
we may regard f as a function of (E, φN , ω)/R (for any B-algebra R) with
f ((E, φN , ω)/R ) ∈ R satisfying the following:
(G0) f ((E, φN , λω)/R ) = λ−κ f ((E, φN , ω)/R ) for λ ∈ R× = Gm (R).
(G1) If (E, φN , ω)/R ∼
= (E  , φN , ω  )/R , then we have
f ((E, φN , ω)/R ) = f ((E  , φN , ω  )/R ).
(G2) If ρ : R → R is a morphism of B-algebras, then we have
f ((E, φN , ω)/R ×R R ) = ρ(f ((E, φN , ω)/R ))).
246 6 Elliptic and Modular Curves over Rings

6.2.5 Hecke Operators

Start with a functorial rule f ∈ Rκ (Γ1 (N ); B) satisfying (G0–2). For a prime

l and a test object (E, φN : μN → E, ω)/R , let Cl = Cl (E) be the set of locally
free subgroups (defined over an fppf extension R of R) of E of rank l disjoint
from φN (μl ). The disjointness means that C ∩ φN (μl ) := C ×E φN (μl ) = [0E ]
for C ∈ Cl . Then the quotient E/C is well defined over R first as an abelian
fppf sheaf, which is represented by an elliptic curve as remarked in Sect. 4.3.7.
We therefore regard E/C as an elliptic curve over R with quotient morphism
π = πC : E → E/C. We have a commutative diagram:
μN μN
⏐ ⏐
⏐
φN . ∩
⏐
∩.π◦φN

E −−−−→ E/C,
π

since Ker(π) ∩ φN (μl ) = E ×E/C,0E/C Spec(R) ×E,φN μl = C ×E,φN μl = [0E ].

Thus, the inclusion π∗ φN = π ◦ φN : μN → E/C gives rise to a level-Γ1 (N )
structure. Since C ∩ φ(μl ) = [0E ], C is an étale subgroup, π : E → E/C
is therefore an étale covering. Thus, π ∗ : Ω(E/C)/R ∼
= ΩE/R , and so we can
define π∗ ω := (π ∗ )−1 ω.
Definition 6.21 We define a new rule f |T (l) : ℘Γ1 (N )/B → Ga/B by

1 
f |T (l)(E, φN , ω) = f (E/C, πC,∗ φN , πC,∗ ω),
l
C∈Cl

assuming that l is invertible in B.

We will later show by the q-expansion principle that this is well defined even
when l is not invertible in B. More generally, if n is invertible in B and is
prime to N , we define Cn to be the set of rank-n locally free subgroups of E.
Then the projection πC : E → E/C is an isomorphism on E[N ] and is étale;
thus, πC ◦ φN = πC,∗ φN is a well-defined level-Γ1 (N ) structure and πC,∗ ω is
a nowhere vanishing differential on E/C. Thus, we define
1 
f |T (n)(E, φN , ω) = f (E/C, πC,∗ φN , πC,∗ ω),
n
C∈Cn

which is a B-linear operator called the Hecke operator acting on Rκ (Γ1 (N ); B).
Often, for a prime factor l of N , the operator T (l) is written as U (l) be-
cause the definition of Cl excludes theimage of μl . For any positive inte-
ger n, taking a decomposition n = n l|N le(l) for n prime to N , we put

T (n) = T (n ) l|N U (l)e(l) . We write l = (T (l)2 − T (l2 )) for primes l out-
 
side N , and put n = lN le(l) if n = lN le(l) . We call n the diamond
operator.
 6.2 Moduli of Elliptic Curves 247

Exercise 6.22 Prove the following formulas (cf. [IAT] Theorem 3.24):
m
(1) T (lm )T (ln ) = i=0 li T (lm+n−2i ) if m ≤ n and l  N ;
(2) T (m)T (n) = 0<d|(m,n),(d,N )=1dT ( mn d2 ).
−1
We compute T (l)2 for l  N . For each C ∈ Cl (E) and C  ∈ Cl (E/C), πC (C  )
2 ⊥
is cyclic of order l except for C = E[l]/C. Then we have a commutative
diagram:
π
E −−−C−→ E/C
⏐ ⏐
⏐
lE .
⏐π ⊥
. C
∼
E −−−−→ (E/C)/C ⊥ .
ιl

By this diagram, πC ⊥ ,∗ πC,∗ φN = φN ◦ lE and πC ⊥ ,∗ πC,∗ ω = l−1 · ω, as the

action of lE on invariant differential is the multiplication by l (see Lemma 6.7).
−1
If C  = C ⊥ , then πC (C  ) ∈ Cl2 (E) is a cyclic subgroup of order l2 . By
a simple computation, identifying E[l2 ] with (Z/l2 Z)2 , Cl2 has l2 + l cyclic
subgroups and one subgroup killed by l, and more easily, we can show that Cl
has l + 1 = |P1 (Fl )| elements. We then find

1  
f |T (l)2 = f ((E/C)/C  , πC  ,∗ πC, ∗φN , πC  ,∗ πC, ∗ω)
l2
C∈Cl (E) C  ∈Cl (E/C)
⎛ ⎞
1 ⎝ 
= 2 f (E/C  , πC  ,∗ φN , πC  ,∗ ω) + l · f (E, lE ◦ φN , l−1 · ω)⎠
l C ∈Cl2

= f |T (l2 )(E, φN , ω) + lk−1 f (E, φN ◦ l, ω). (6.2.1)

This shows the following:

Corollary 6.23 We have f |l(E, φN , ω) = lk−1 f (E, φN ◦ l, ω) for a prime
l  N.
Exercise 6.24 Prove that |Cl2 | = 1 + l + l2 for a prime l  N .

6.2.6 Moduli of Elliptic Curves with Level-Γ1 (N ) Structure

)
If a graded ring A = j Aj has a unit u of degree 1, we see that A =
A0 ⊗Z Z[u, u−1 ] and Spec(A) = Spec(A0 ) × Gm by definition; so Proj(A) =
Spec(A)/Gm = Spec(A0 ). If A has a unit of degree n > 0, then we still have

Proj(A) = Proj(A(n) ) = Spec(A0 )

) −1
for A(n) = j Anj (see Sect. 4.1.9). Since Δ ∈ R ⊂ RΓ1 (N ) , the graded
ring RΓ1 (N ) has a unit of degree 12, and hence, we have

Gm \MΓ1 (N )/B = Proj(RΓ1 (N )/B ) ∼

= Spec(R0 (Γ1 (N ); B)) =: Y1 (N )/B .
248 6 Elliptic and Modular Curves over Rings

Let B be a Z[ N1 ]-algebra. We consider the functor defined over ALG/B

given by 1 2
EΓ1 (N )/B (R) = (E, φN : μN → E[N ])/R .
By definition, EΓ1 (N )/B = (℘Γ1 (N )/B )/Gm almost. Indeed, for a pair (E, P )/R ,
we can find an fppf extension R /R such that H 0 (E ⊗R R , ΩE⊗R R /R ) = R ω.
Then, for the universal triple (E, P, ω)RΓ1 (N ) , we have a unique morphism ϕ ∈
MΓ1 (N ) (R ) such that (E ⊗R R , P, ω)/R ∼
= ϕ∗ (E, P, ω). The corresponding

algebra homomorphism ϕ : RΓ1 (N ) → R restricted to R0 := R0 (Γ1 (N ); B)
does not depend on the choice of ω, as other choices are just λω, and because
of this independence of the choice of ω, ϕ0 := ϕ|R0 has values in R [strictly
speaking, by fppf descent under the condition that AutR (E, P ) = {idE } for
all E/R with a Γ1 (N )-level structure; see [GME] Remark 2.6.1]. Hence, we
get a unique morphism ϕ0 : Spec(R) → Spec(R0 (Γ1 (N ); B)) associated with
(E, P )/R as long as AutR (E, P ) = {idE }. When R is an algebraically closed
field k, there is no need to take an fppf extension, as a nowhere vanishing
differential ω exists over k. Thus, we get ϕ0 associated with (E, P )/k without
any assumption. As is well known, we always have AutR (E, P ) = {idE } if N ≥
4 (e.g., [GME] Sect. 2.6.4). In particular, the universal curve E/M1 descends
to the universal curve over Spec(R0 (Γ1 (N ); B)) if N ≥ 4. Writing down its
equation over R0 is not too difficult if N is small, and for a multiple M N of
such small N , the universal curve of level M N is just the pullback of that of
level N (e.g., [GME] Sect. 2.2.6). Since Proj(RΓ1 (N ) ) ∼ = Spec(R0 (Γ1 (N ); B))
gives the quotient by Gm of Spec(RΓ1 (N ) ) (cf. [GME] Theorem 1.8.2), we
conclude
Theorem 6.25 (Shimura, Igusa) We have an open affine curve
1
Y1 (N ) = Spec(R0 (Γ1 (N ); Z[ ])) ∼
= Proj(RΓ1 (N ) ) = MΓ1 (N ) /Gm
6N
defined over Z[ 6N1
], which is locally free of finite rank over M1 = Proj(R) =
P1 (J) − {∞}.1 For all geometric
2 points Spec(k) → Spec(Z[ 6N 1
]), we have
EΓ1 (N ) (k) = (E, φN )/k = Y1 (N )(k). The above assertion holds for any
Z[ 6N
1
]-algebras R in place of algebraically closed fields k if N ≥ 4.
Here a “geometric point” means that k is an algebraically closed field. This
theorem over Z[ M 1
] for an unspecified M with N |M was proved by Shimura
in the late 1950s (see [CPS] I [57a]), and the result over Z[ N1 ] was proved
by Igusa in [I] soon after Shimura’s work. Again, the result is valid over any
Z[ N1 ]-algebra B by base change.
Returning to the classical setting, we define an arithmetic subgroup Γ1 (N )
of SL2 (Q) by
   
Γ1 (N ) = ac db ∈ SL2 (Z)c ≡ 0 mod N, a ≡ d ≡ 1 mod N .

Since SL2 (Z) acts on the upper half-complex plane H discretely by z → az+b
cz+d ,
we can make a quotient Riemann surface Γ1 (N )\H (see [IAT] Chap. 1).
 6.2 Moduli of Elliptic Curves 249

By the association z → (Ez (C) = C/(Zz + Z), Pz = N1 ∈ Ez (C)), it is well

known that Γ1 (N )\H classifies all elliptic curves with a point P of order N
over C (cf. [IAT] Chap. 4 and [GME] Sect. 2.4); so we conclude that
Y1 (N )(C) = Γ1 (N )\H.
Thus, Y1 (N )(C) is an open Riemann surface.
There is a Γ0 (N )-version of the above theorem for
   
Γ0 (N ) = ac db ∈ SL2 (Z)c ≡ 0 mod N .
∼ ×
 a b  that Γ0 (N ) & Γ1 (N ) and Γ0 (N )/Γ1 (N )×= (Z/N Z) by sending×σd :=
Note
c d to the class (d mod N ) in (Z/N Z) . Thus, d ∈ (Z/N Z) acts
on the Riemann surface Y1 (N )(C) via z → σd (z) (z ∈ H), and we can
make the quotient Y0 (N )(C). This has a moduli-theoretic interpretation. The
group (Z/N Z)× can be identified with the automorphism group of μN for
d ∈ (Z/N Z)× sending ζ ∈ μN to ζ d . Thus, d ∈ (Z/N Z)× acts on ℘Γ1 (N ) ,
sending each pair (E, φN : μN → E) to (E, φN ◦ d), where φN ◦ d is the com-
posite of φN with the action of d on μN . This induces an action of (Z/N Z)×
on Y1 (N )/B and on RΓ1 (N )/B . Let RΓ0 (N )/B = H 0 ((Z/N Z)× , RΓ1 (N )/B ).
Writing the action of d ∈ Z (prime to N ) on RΓ1 (N )/B by the operator
d : RΓ1 (N )/B → RΓ1 (N )/B , we have verified in Corollary 6.23 that

f |d(E, φN , ω) = dk−1 f (E, φN ◦ d, ω).

So the action preserves the graded component Rk (Γ )1 (N ); B), and there-
fore RΓ0 (N )/B is a graded algebra: RΓ0 (N )/B = k Rk (Γ0 (N ); B). We
put MΓ0 (N )/B = Spec(RΓ0 (N )/B ) for any Z[ 6N ]-algebra B. By definition,
1

MΓ0 (N )/B represents the following functor from ALG/B to SET S:

1  2
℘Γ0 (N )/B (R) = (E, CN , ω)/R (E, ω) ∈ ℘Γ1 (1) (R), CN ∼ = μN ,
where CN is a finite flat subgroup over R locally isomorphic to μN under étale
topology. The representability of ℘Γ0 (N ) can be proven in the same manner as
in the case of ℘Γ1 (N ) . However, if we remove the datum ω of differential and
look into 1  2
EΓ0 (N )/B (R) = (E, CN )/R CN ∼= μN ,
we have a problem because AutR (E, CN ) contains {±1}; so similarly to the
case of E = EΓ1 (1) , this functor is not representable, but, in any case, we
define Y0 (N )/B = Spec(R0 (Γ0 (N ); B)) = MΓ0 (N )/B /Gm . Then we have the
following:
Corollary 6.26 The curve Y0 (N )/Z[ 6N 1
] gives a coarse moduli scheme for
EΓ0 (N ) , in particular, Y0 (N )(k) = EΓ0 (N ) (k) for each algebraically closed field
k over Z[ N1 ].
See [GME] Sect. 2.9.4 for some more details of this fact.
Exercise 6.27 Verify that Y0 (N )(C) = EΓ0 (N ) (C) = Γ0 (N )\H.
250 6 Elliptic and Modular Curves over Rings

6.2.7 Compactification and Modular Line Bundles

Let Γ = Γ1 (N ) or Γ0 (N ). For any Z[ 16 ]-algebra B, we put

= >
1
G(B) = GΓ1 (1) (B) := B[g2 , g3 ] = Z , g2 , g3 ⊗Z[ 16 ] B.
6
1
Let GΓ (Z[ 6N ]) be the integral closure of the ring G(Z) in the graded ring
RΓ/Z[ 6N1 . To see that GΓ (Z[
]
1
6N ]) is a graded ring, we write r̃ for the nontrivial
homogeneous projection of the highest degree of r ∈ RΓ/Z[ 6N 1 . If r ∈ R
] 1
Γ/Z[ 6N ]
is integral over G(Z), r satisfies an equation P (X) = X +a1 X n n−1
+· · ·+an =
0 with aj ∈ G(Z). Then r̃ satisfies P̃ (X) = X n + ã1 X n−1 + · · · + ãn = 0,
and r̃ is integral over G(Z). Then by induction of the degree of r̃, we see that
1
GΓ (Z[ 6N ]) is graded (cf. [BCM] V.1.8).
We define Gk (Γ ; B) by, for any Z[ 6N 1
]-algebra B,
 = > ∞
:
1
GΓ (B) = GΓ Z ⊗B = Gk (Γ ; B).
6N
k=0

We then define X? (N )/B = Proj(GΓ? (N ) (B)) for ? = 0, 1. By definition,

3
X? (N ) is the normalization of Proj(G) = Proj(G(12) ) = P1 (J) [J = (12g 2)
]
(12)
)∞ Δ
for G = k=0 G12k in Y? (N ). Thus, it is a normal projective curve. Since
a normal noetherian integral local domain of dimension 1 is a discrete valua-
tion ring ([CRT] Theorem 11.2), any local ring of X? (N ) is regular, and hence
X? (N ) is a smooth projective curve over Z[ 6N
1
] (cf. Sect. 5.1.2).
Since its generic fiber X? (N )(C) = Γ? (N )\(H ∪ P1 (Q)) is connected, by
Zariski’s connectedness theorem (see Theorem 5.7), we get the following:
Lemma 6.28 The curve X? (N )/Fp = X? (N ) ×Z[ 6N 1
] Fp (? = 0, 1) is a smooth
projective irreducible curve over a finite field Fp for any prime 3 < p  N .
Definition 6.29 Since X? (N )/B = Proj(GΓ? (N ) (B)), Gk (Γ? (N ); B) gives
rise to a unique invertible sheaf ω k = ω ⊗k such that

H 0 (X? (N )/B , ωk/B ) = Gk (Γ? (N ); B).

Thus, ω is an ample line bundle over X? (N ) that gives rise to the projective
embedding of X? (N ) via homogeneous coordinates given by modular forms;
hence, we could have written ω k as OX? (N ) (k).
Here is a version of Gk (Γ0 (N ); B) with “Neben” character:
Definition 6.30 For each character ψ : (Z/N Z)× → B × , we define
  
Gk (Γ0 (N ), ψ; B) = f ∈ Gk (Γ1 (N ); B)f |d = dk−1 ψ(d)f ∀d ∈ (Z/N Z)× .
 6.2 Moduli of Elliptic Curves 251

6.2.8 q-Expansion

As classically known, J −1 has a q-expansion starting with q, that is, J −1 ∈

qZ[[q]] [see [IAT] (4.6.1)]. Thus, the completion of the local ring of P1 (J)
at the cusp ∞ is isomorphic to Z[ 16 ][[q]]. Moreover, we have the Tate curve
introduced in Sect. 2.4.2:
1
Tate(q) = Proj(Z[[q]][ ][X, Y, Z]/(ZY 2 − 4X 3 + g2 (q)XZ 2 + g3 (q)Z 3 )),
6
which by definition extends the universal curve over P1 (J) − {∞} to P1 (J)
locally at the cusp ∞.
Since Tate(q)(B[[q]]) ⊃ (B[[q]]× )/q Z by Theorem 2.54, we may regard
Tate(q) as the algebraization of the formal quotient G m/Z[[q]] /q Z of the formal
 m ; hence, it has a canonical level structure
multiplicative group G

N : μN → Gm  Tate(q).
φcan
−1
N )/Z[[q]] is an elliptic curve over Z[[q]][q
The Tate couple (Tate(q), φcan ]; thus,
by the universality of Y? (N ) (? = 0, 1), we have a morphism
1
ι∞ : Spec(Z[ ][[q]][q −1 ]) → Y? (N ).
N
Since we may regard the Tate curve as a universal formal deformation
of a stable curve of genus 1 (with the level structure φcan N ) centered at the
Z[ N1 ]-point represented by an ideal (q) of Z[ N1 ][[q]] ([GME] Sects. 2.5.2–3), the
morphism ι∞ is an infinitesimal isomorphism centered at the cusp ∞ [by the
universality of the Y? (N ) and the universality of the Tate curve].
Since X? (N ) is the normalization of P1 (J) in Y? (N ), we conclude that
the formal completion along the cusp ∞ on X? (N ) is canonically identi-
fied with B[[q]] by ι∞ . Replacing the level structure φcan N with φcan
N ◦ α
for α ∈ SL2 (Z/N Z), basically by the same argument, the local ring at
the cusp α(∞) of X? (N )/B is given by B[μd ][[q 1/d ]] for a suitable divisor
d|N . We need to extend the scalars to B[μd ][[q 1/d ]] because the Tate curve
N ◦ α) is only defined over B[μd ][[q
(Tate(q), φcan 1/d
]] for a suitable divisor d|N
dependent on the choice of α. This point is slightly more technical, and we
refer the reader to a more detailed account, which can be found in [AME]
Chap. 10 and [GME] Sect. 3.1.1. Thus, X? (N ) is smooth at the cusps, and
moreover, f ∈ Gk (Γ? (N ); B) is a function of (E, φN , ω) satisfying (G0–2) and

(G3) f (Tate(q), φN , ω) ∈ B[ζN ][[q 1/N ]] for any choice of φN and ω.

Since Γ? (N )\(H ∪ P1 (Q)) is a smooth compact Riemann surface and is the

normalization of P1 (J) in Y? (N )(C) ([IAT] Chap. 1), we conclude

X? (N )(C) = Γ? (N )\(H ∪ P1 (Q)).

252 6 Elliptic and Modular Curves over Rings

The space Gk (Γ? (N ); C) is the classical space of modular forms on Γ? (N )

of weight k. Since Tate(q)(B[[q]]) ⊃ (B[[q]]× )/q Z , we may consider Tate(q)
to be a “quotient” of Gm/Z[[q]] /q Z ; thus, it has a canonical level structure
N : μN → Gm  Tate(q) and a canonical differential ωcan induced by t
dt
φcan
−1
identifying Gm = Spec(Z[t, t ]). In particular,
∞

f (q) = f (Tate(q), φcan
N , ωcan ) = a(n, f )q n (6.2.2)
n=0

coincides with the Fourier expansion of f at infinity if f ∈ Gk (Γ? (N ); C).

To see this fact, we note that, by construction, the q-expansion of gj (q)
coincides the Fourier expansion of the modular form gj (E, ω). Since GΓ1 (1) (B)
is generated by gj over B, the identity for the general modular form f of level
1 follows from the definition. Since GΓ? (N ) is the integral closure of GΓ1 (1) ,

the identity is still valid for any level N . Since X ? (N )
∼
= Spf(B[[q]]) for the
/B
formal completion X ? (N ) of X? (N ) at the infinity, the irreducibility of X? (N )
over any field k over Z[ 6N
1
] tells us that f (q) is determined by its q-expansion:

Lemma 6.31 If f ∈ Gk (Γ? (N ); B) (? = 0, 1) for a Z[ 6N 1

]-algebra B, f (q) =
0 ⇔ we have f ((E, φN , ω)/R ) = 0 for all elliptic curve with level-Γ? (N ) struc-
ture φN defined over any B-algebra R.
Recall a complete discrete valuation ring W ⊂ Cp over Zp with residue
field F (which can be an algebraic closure of Fp ) and W = W ∩ Q = i−1
p (W )
for the embedding ip : Q → Cp we fixed.
Corollary 6.32 Let x ∈ X1 (N )(A) for A = W and W for N ≥ 4 carrying
a test object (E, φN )/K for the field of fractions K of A. If the J-invariant
J(E) belongs to A, E extends to an elliptic curve over A and x ∈ Y1 (N )(A).

Proof. Note that J −1 has W -integral q-expansion starting with q; hence, J −1

gives the parameter at ∞-cusp of P1 (J). First assume that A = W . Since
J(E) ∈ W , x is not in X1 (N )s (W ) for the formal completion of X1 (N ) along
any cusp s ∈ X1 (N )(Fp ) above ∞ ∈ P1 (J). Thus, x ∈ Y1 (N )(W ), which is
a fine modulus of the functor EΓ1 (N )/W . So the point x carries a test object
(E, φ̃N ) with E ×W K = E. In other words, E extends to an elliptic curve
over W .
Since Y1 (N )(W ) ∩ X1 (Q) = X1 (W) if A = W as X1 (N ) is a projective
smooth curve over W, we can find the test object (E, φ̃N )/W over x that
extends E to W.  

In the above proof, the representability of EΓ1 (N ) by Y1 (N ) is indispensable,

and so the corollary is not necessarily valid for X0 (N ).
 6.2 Moduli of Elliptic Curves 253

6.2.9 Hecke Operators on q-Expansion

We look into locally free subgroup of rank l in Tate(q) for a prime l. Let
us fix a primitive lth root of unity ζ ∈ μl ⊂ G  m /q Z . We may assume that
−1
ζ = ip (i∞ (exp( l ))). Write x for the subgroup generated by x in Tate(q).
2πi

For a prime l, the set Cl rank-l subgroups in Definition 6.21 for Tate(q) is then
given by 
{ζ u q 1/l |u ∈ Z/lZ} if l|N ,
Cl =
{ζ u q 1/l |u ∈ Z/lZ}  {ζ} if l  N .

Write Cζ u = ζ u q 1/l  and C  = ζ = μl . Write πζ u : Tate(q) → Tate(q)/Cζ u

and π  : Tate(q) → Tate(q)/C  for the projections. This tells us the following
fact:
Lemma 6.33 We have

Tate(q)/Cζ u = Tate(ζ u q 1/l )/Z[ζ u ,q1/l ] and Tate(q)/C  = Tate(q l )/Z[[q]]

and
πζ u ,∗ ωcan = ωcan and π∗ ωcan = l−1 · ωcan .

Proof. If we write G 
 m = Spf(Z[w, w−1 ]), the l isogeny w → wl on Gm induces
w →w l
an exact sequence 1 → C  → Tate(q) −−−−→ Tate(q l ) → 1. This shows the
second identity. Clearly,

Tate(q)(K)/Cζ u = (K × /q Z )/ζ u q 1/l  = K × /(ζ u q 1/l )Z

for any p-adically complete field K ⊂ Cp containing μl . This shows that

Tate(q)/Cζ u = Tate(ζ u q 1/l ) over Z[ζ u , q 1/l ] because the left-hand and right-
hand sides match at Zariski-dense fibers over the scheme Spec(Z((q))) of rel-
ative dimension 1 over Z.
As for the differential, we have ωcan = dw w . Thus, w → w ends up giving
l
l
(π  )∗ ωcan = dw
wl
= l·ωcan and π∗ φN = φcan 
N ◦l. This implies π∗ ωcan = l
−1
ωcan .
On the other hand, πζu does not affect the variable w; hence, πζ ,∗ ωcan = ωcan
u

N = φN . 
and πζ u ,∗ φcan 
can

By definition, we get

f (Tate(q)/Cζ u , πζ u ,∗ φcan u 1/l

N , πζ u ,∗ ωcan ) = f (Tate(ζ q )) = f (ζ u q 1/l ),
f (Tate(q)/C  , π∗ φN , π∗ ωcan ) = f ( Tate(q l ), φN ◦ l, l−1 · ω) = l · f |l(q l ).
(6.2.3)

Then, by a direct computation via the definition of T (l), we get the following:
254 6 Elliptic and Modular Curves over Rings

Corollary 6.34 We have

n
a(n, f |T (l)) = a(nl, f ) + a( , f |l) if l  N , and a(n, f |U (l)) = a(nl, f ),
l
where we put a(ξ, f ) = 0 if 0 ≤ ξ ∈ Z.
Exercise 6.35 Prove
 mn
a(m, f |T (n)) = a( , f |d).
d2
0<d|(m,n),(d,N )=1

6.2.10 Moduli of Principal Level Structure

Fix a base Z[ 6N 1
, ζN ]-algebra B, where ζN = exp(2πi N1 ). We consider the
following classification problem of level Γ (N ):
1  2
℘Γ (N ),ζN /B (R) = (E, ω, φN : (Z/N Z)2 ∼= E[N ])φN (1, 0), φN (0, 1) = ζN ,

for all B-algebras R. Writing f for the map ·, · : E[N ] ×M1 E[N ] → μN
as a morphism of group schemes over B, we clearly see that ℘Γ (N ),ζN /B is
represented over B by the closed affine subscheme MΓ (N ),ζN /B = f −1 (ζN )
of E[N ] ×M1 E[N ]. Writing
) MΓ (N ),ζN /B = Spec(RΓ (N ),ζN /B ) for a graded
algebra RΓ (N ),ζN /B = k Rk (Γ (N ); B), we define an affine curve

Y (N )ζN /B = Spec(R0 (Γ (N ); B)) = MΓ (N ),ζN /B /Gm ,

which represents the following functor from ALG/B into SET S:

1  2
EΓ (N ),ζN /B (R) = (E, φN : (Z/N Z)2 ∼
= E[N ])/R φN (1, 0), φN (0, 1) = ζN

if N ≥ 3 (see [GME] Theorem 2.6.8). Here R0 (Γ (N ); B) is the degree-0 com-

ponent of the graded algebra RΓ (N ),ζN /B .
Taking B = Z[ 6N 1
, ζN ] and the integral closure GΓ (N ),ζN of the graded
algebra G(Z[ 6N , ζN ]) in RΓ (N ),ζN , we define the compactification X(N )ζN =
1

Proj(GΓ (N ),ζN ) over Z[ 6N1

, ζN ]. For general B, we put

X(N )ζN /B = X(N )ζN ×Z[ N1 ,ζN ] B.

Again, we have a unique modular ample line bundle ω k such that

H 0 (X(N )ζN /B , ωk/B ) = Gk (Γ (N ); B)

for each Z[ 6N
1
, ζN ]-algebra B, and we have a well-defined q-expansion at ∞
of each section in H 0 (X(N )ζN /B , ω k/B ). Here Gk (Γ (N ); B) is the degree-k
component of GΓ (N ),ζN /B = GΓ (N ),ζN ⊗Z[ N1 ,ζN ] B.
We can let a constant group α ∈ SL2 (Z/N Z) act on Y (N )ζN [and hence
det(α)
on X(N )ζN ] by (E, φ) → (E, φ ◦ α). Since φ ◦ α(1, 0), φ ◦ α(0, 1) = ζN ,
 6.2 Moduli of Elliptic Curves 255

the same action of α ∈ GL2 (Z/N Z) induces an automorphism of Y (N ) =

Y (N )ζN [and X(N ) = X(N )ζN ] regarded as schemes over Z[ 6N 1
] (not over
det(α)
Z[ 6N , ζN ]), which coincides with the Galois action ζN → ζN
1
on Z[ζN ].
Over Z[ 6N , ζN ]((q
1 1/N
)), Tate(q) has a canonical level Γ (N )-structure φcan N :
2 ∼
(Z/N Z) = Tate(q)[N ] defined over Z[μN ][[q 1/N ] given by (a, b) → ζN a b/N
q .
Returning to general B/Z[ 6N 1
,ζN ] , define the B-integral space Gk (Γ (N ); B)
of geometric modular forms on Γ (N ), replacing the level-Γ1 (N ) structure in
(G0–3) with the level-Γ (N ) structure. Fix α ∈ SL2 (Z/N Z). Then we can
think of φcanN ◦ α. We define the q-expansion of f ∈ Gk (Γ (N ); B) at the cusp
α(∞) for α ∈ SL2 (Z/N Z) by

N ◦ α, ωcan )/Z[ N
fα (q) = f ((Tate(q), φcan 1
,ζN ]((q1/N )) ) ∈ B((q)).

We define Sk (Γ (N ); B) be the B-submodule of f ∈ Gk (Γ (N ); B) made

up of f satisfying the following condition in place of (G3):
(s3) fα ((Tate(q), φN , ω)) ∈ q 1/N B[[q 1/N ]] for any choice of φN and ω.

Then again we have the following:

Lemma 6.36 Fix α ∈ SL2 (Z/N Z) and put

N ◦ α, ωcan )/Z[ N
fα (q) = f ((Tate(q), φcan 1
,ζN ]((q1/N )) ).

If f ∈ Gk (Γ (N ); B) for a Z[ 6N 1
, ζN ]-algebra B, fα (q) = 0 ⇔ we have
f ((E, φN , ω)/R ) = 0 for all elliptic curves with level-Γ (N ) structure φN de-
fined over any B-algebra R.
In particular, for a prime p outside N , supposing W is a Z[ζN ]-algebra, this
implies that f ≡ 0 mod pW[[qN ]] (qN = q 1/N ) for f ∈ Gk (Γ (N ); W) =
H 0 (X(N )ζN /W , ω k ) if and only if the image of f in Gk (Γ (N ); F) vanishes.
) Since X(N )ζN /W = Proj(GΓ (N ) (W)) for the graded algebra GΓ (N ) (W) =
k≥0 Gk (Γ (N ); W), the function field K(X(N )ζN ) (K = F rac(W)) is made
up of fg for some f, g ∈ Gk (Γ (N ); W) and integer k ≥ 0. This implies
K(X(N )ζN ) is embedded into the Laurent series ring K((qN )); hence, fg =

n
−∞ c(n, g )qN with c(n, g ) ∈ K. Writing ordp for the standard addi-
f n f

tive p-adic valuation of K with valuation ring W and ordp (p) = 1, fg is a

well-defined element of the mod-p function field F(X(N )ζN /F ) if and only if
v( fg ) := Inf n ordp (c(n, fg )) ≥ 0.
Note that the modular curve X(N )ζN covers X1 (N ). We write π :
X(N )ζN → X1 (N ) for the morphism given by (E, φN , ω) → (E, φN |μN , ω)
identifying the first factor (Z/N Z) of (Z/N Z)2 with μN by a ↔ ζN a
. For any
Z[ 6N ]-algebra B, writing B[ζN ] = B[t]/(Φ(t)) (ζN ↔ t) for the cyclotomic
1

polynomial Φ(t) ∈ Z[t] of primitive N th roots, we have a pullback map

256 6 Elliptic and Modular Curves over Rings

ResX(N )ζN /X1 (N ) = π ∗ : H 0 (X1 (N ), ω k/B ) = Gk (Γ1 (N ); B)

→ Gk (Γ (N ); B[ζN ]) = H 0 (X(N )ζN , ω k/B[ζN ] ).
We then define the space of cusp forms by
Sk (Γ1 (N ); B) = Res−1
X(N )ζ /X1 (N ) (Sk (Γ (N ); B[ζN ])). (6.2.4)
N

We can similarly define Sk (Γ0 (N ), χ; B) for a character χ : (Z/N Z)× → B × .

If B is a local ring in which p is not invertible, we extend the above
definition of cusp forms to level N pr for N prime to p, just ignoring the
p-part. Writing (E, φp , φN , ω) for level-p structure φp and level-N structure
separately, we define fα (q) = f (Tate(q), φcanp : μpr → Tate(q), φN ◦ α, ωcan )
for each α ∈ SL2 (Z/N Z). Then
Sk (Γ1 (N pr ); B) = {f ∈ Gk (Γ1 (N ); B)|fα (q) ∈ q 1/N B[ζN ][[q 1/N ]]}
(6.2.5)
Sk (Γ0 (N pr ), χ; B) = Gk (Γ0 (N ), χ; B) ∩ Sk (Γ1 (N pr ); B).
Here χ : (Z/N pr Z)× → B × is a character.

6.2.11 Hasse Invariant

Let R be a ring of characteristic p and let (E, ω) be an elliptic curve over
S = Spec(R). On each affine open subset U = Spec(Γ (U, OE )) in E, the
Frobenius endomorphism x → xp induces a morphism Fabs : U → U . These
glue each other to the absolute Frobenius endomorphism Fabs : E/R → E/R .
Note here that Fabs acts nontrivially on the coefficient ring R. We can define
the relative Frobenius map F : E → E (p) = E ×S,Fabs S by Fabs ×S f for the
structure morphism f : E → S. This relative Frobenius map F is the classical
map taking homogeneous coordinates on E to their p-powers. Taking the dual
V := F ∗ , we have the relative Verschiebung map V : E (p) → E.
Let TE/S be the relative tangent bundle. By definition, its sections are
derivations; in particular, the space of global sections H 0 (E, TE/S ) is the R-
dual of H 0 (E, ΩE/S ), and H 0 (E, TE/S ) is spanned by the dual base η =
η(ω) of ω. One can identify H 0 (E, TE/S ) with the module of OS -derivations
DerOS (OE,0 , OS ) (cf. [GME] Sect. 1.5.1). For each derivation D of OE,0 , by
the Leibniz formula, we have
p  
p
Dp (xy) = Dp−j xDj y = xDp y + yDp x.
j=0
j

Thus, Dp is again a derivation. The association D → Dp induces an Fabs -linear

endomorphism F ∗ of TE/S . Then we define the Hasse invariant H(E, ω) ∈ R
by F ∗ η = H(E, ω)η. Since η(λω) = λ−1 η(ω), we see

H(E, λω)η(λω) = F ∗ η(λω) = F ∗ (λ−1 η(ω)) = λ−p F ∗ η(ω)

= λ−p H(E, ω)η(ω) = λ−p H(E, ω)(λ · η(λω)) = λ1−p H(E, ω)η(λω).
 6.2 Moduli of Elliptic Curves 257

Thus, we get
H(E, λω) = λ1−p H(E, ω).
Then H is a modular form of weight p − 1 defined over Fp :

H(E, ω) ∈ Gp−1 (Γ1 (1); Fp ).

We compute H(Tate(q), ωcan ) for ωcan = dtt , writing the coordinate of Gm

as t [i.e., Gm = Spec(Z[t, t−1 ])]. The dual of dt d
t is given by D = t dt . The
p
action of F keeps D intact, because D(t) = t [so D (t) = t]. On the tangent
space, F acts as identity, and hence H(Tate(q), ωcan ) = 1.
Proposition 6.37 The Hasse invariant is a level-1 modular form of weight
p − 1 over Fp . We have H(Tate(q), ωcan ) = 1 ∈ Fp [[q]], and for an elliptic
curve (E, ω) over a field of characteristic p, H(E, ω) = 0 if and only if E is
not p-ordinary.

Proof. We only need to prove the last assertion. Suppose that (E, ω)/k is an
ordinary elliptic curve over a field k of characteristic p. Replacing k by its finite
extension, we have E[p] ∼ = μp × Z/pZ. The differential ω induces a differential
×
λ dw
w (λ ∈ k ) on
μp = Spec(k[w]/(wp − 1)).
Since μp ⊂ Gm , and they share the tangent space at 1, we see from the above
argument H(E, ω) = λ1−p = 0.
Suppose that (E, ω)/k is supersingular. Let C be the connected component
of E[p]. If C = E[p], then we have locally under the étale topology a constant
group scheme (Z/pZ)r as a quotient of the locally free group scheme E[p] for
0 < r = r(E) ≤ 2. Since E[p] is isomorphic to its Cartier dual (see Lemma 6.9)
and the dual of Z/pZ is the connected group scheme μp , r has to be 1 and E has
to be ordinary, which is a contradiction against supersingularity. Thus, C =
E[p] and therefore, E[p] = Spec(R) for a local ring R of characteristic p. Since
E is one-dimensional, the local ring OE,0 at the origin 0 of E is a valuation
ring with residue field k. If C  = Spec(R ) ⊂ E is a connected (locally free)
subgroup scheme of E of rank m, R = OE,0 /mm for the maximal ideal m of
OE,0 because C  is connected. Thus, there is at most one connected subgroup
of E for a given rank. This shows that Ker(F 2 ) = C for the Frobenius map
F : E → E (p) , because deg(F 2 ) = p2 = rank(C). Thus, F 2 = p up to an
∗
automorphism of E, and hence Fabs η = 0. That is, H(E, ω) = 0, as desired.

Remark 6.38 The zero locus of the nonzero section H of ω p−1 is an effective
divisor; hence, for any algebraically closed field k of characteristic p for p  N ,
the points in X1 (N )(k) carrying supersingular elliptic curves are finitely many
and algebraic over Fp .
Corollary 6.39 Let (E, ω) be an elliptic curve and an invariant differential
defined over a finite field Fpn of characteristic p. Let F : E → E be the
258 6 Elliptic and Modular Curves over Rings

Frobenius endomorphism associated with x → xp and V = F ∗ . We put a(p) =

n

F + V ∈ Z. Then

H(E, ω) = 0 ⇐⇒ a(p) ≡ 0 mod p.

Proof. If a(p) ≡ 0 mod p, then Ker(F )[p] = Ker(V )[p] and hence, Ker(pn ) =
Ker(F V ) = Ker(F 2 ). Thus, Ker(p) is connected; hence, E is supersingular. If
a(p) ≡ 0 mod p, then Ker(F )[p] = Ker(V )[p], and thus E has two subgroup
schemes of rank p. Since E can have only one connected subgroup of rank p
(dim E = 1), E has to be p-ordinary. In this case, Ker(V ) is étale.
Corollary 6.40 Let the notation be as in the above corollary. The elliptic
curve E is ordinary defined over a finite field Fpn of characteristic p if and
only if the endomorphism algebra EndF (E)⊗Z Z(p) is isomorphic to the integral
closure O(p) of Z(p) in an imaginary quadratic field M in which the prime p
splits into pp. We can normalize the splitting of (p) so that E[pn ] = Ker(F )
and E[pn ] = Ker(V ). The ring O(p) is generated over Z(p) by the Frobenius
map F , and O(p) = EndF (E) ⊗Z Z(p) for an algebraic closure F of Fpn and
E := E ⊗Fpn F.
Proof. Suppose that E is ordinary. By the above corollary, F satisfies

X 2 − a(p)X + pn = 0.

Since the discriminant of the quadratic equation is negative by Theorem 6.6

(iii), M := Q[F ] ⊂ EndFpn (E) ⊗Z Q is an imaginary quadratic field. Since
a(p) ≡ 0 mod p, F generates pn for a factor p|p and p = p. Thus, M = Q[F m ]
for any 0 < m ∈ Z. Write D = EndFpn (E) ⊗Z Q and D = EndF (E) ⊗Z Q. By
Proposition 6.18, D ⊂ D ⊂ M2 (Ql ) for any prime l = p and D is a division
algebra at most dimension 4 over Q. Pick φ ∈ EndF (E). Then φ is defined
over a finite extension F /Fpn of relative degree d. Then, by the definition of
F , for the Frobenius map σ (relative to F ) of Gal(F/F ), F d φF −d = φσ = φ;
so φ commutes with Q[F d ] = Q[F ] ⊂ D. Since D has at most dimension
4 over Q, Q[F ] is the commutant of D. Thus, φ is defined over Fpn , and
EndFpn (E) = EndF (E). This implies D = D = Q[F ]. Let o = EndFpn (E) as a
subring of M := Q[F ]. Write op = limn o/pn o. Since
←−
X 2 − a(p)X + pn ≡ (X − α)X mod p

for a unit α ∈ (Z/pZ)× , by Hensel’s lemma (cf. [CRT] Theorem 8.3), we have
op ∼= Zp ⊕ Zp ; thus, p splits in o, and hence, o(p) is equal to O(p) (see the
exercise below).
Since Op = Zp ⊕ Zp acts in the Barsotti–Tate group E[p∞ ], we have
E[p∞ ] = C ⊕ E for C = (1, 0)E[p∞ ] and E = (0, 1)E[p∞ ]. Since the first factor
Zp is identified with Op for a prime factor p of p in O(p) , we have C = E[p∞ ]
and E = E[p∞ ]. Since E is ordinary, E[p∞ ] is an ordinary Barsotti–Tate group
(see Sect. 4.3.9). We have the connected étale exact sequence
 6.2 Moduli of Elliptic Curves 259

0 → E[p∞ ]◦ → E[p∞ ] → E[p∞ ]et → 0,

which is stable under the action of Dp and E[p∞ ]◦ ∼ = μp∞ /F . Thus, one of
E[p∞ ] and E[p∞ ] is the connected component; so we normalize the factor-
ization (p)= pp so that E[p∞ ] is the connected component. Then E[p∞ ] =
E[F ∞ ] = n Ker(F n ) as F is an inseparable isogeny. Thus, Ker(F ) = E[p],
and this determines the factor p of p.
Conversely, if EndF (E) ⊗Z Z(p) is the integral closure O(p) of Z(p) in an
imaginary quadratic field where p splits, we have E[p∞ ] = E[p∞ ] ⊕ E[p∞ ].
If E[p∞ ] is connected, the one-dimensional formal group E  has to split into
 
the direct product of Ep and Ep , corresponding to the Barsotti–Tate groups
E[p∞ ] and E[p∞ ] by Lemma 4.82. This is impossible as each of E p and E p
has dimension at least 1; so one of E[p∞ ] and E[p∞ ] must be étale. Thus,
E[p∞ ] is ordinary, and hence E is ordinary. This finishes the proof.

Exercise 6.41 For a subring o in the integer ring O of a quadratic field M

generating M over Q, prove that op = limn o/pn o ∼ = Zp ⊕ Zp implies that the
←−
localization o(p) at (p) is the integral closure of Z(p) in M .

6.2.12 Igusa Curves

Let W = Zp and Wm = W/pm W . Fix N with p  N . As ω is ample, we find

a lift of a power H j of the Hasse invariant H in Gj(p−1) (1; Zp ), which is an
Eisenstein series E. The standard Eisenstein series Ek of weight k on SL2 (Z)
has the following q-expansion (see (1.3.1)):
⎛ ⎞
∞
ζ(1 − k)  ⎝  k−1 ⎠ n
Ek (q) = + d q .
2 n=1 0<d|n

Define E(q) = ζ(2−p) 2

Ep−1 . If p ≥ 5, by the Von Staut theorem, the q-expansion
E(q) of E is congruent to 1 modulo pZ(p) ; so E mod p coincides with H by
Proposition 6.37 (and the q-expansion principle). If p = 3, we do not have
level-1 lift of the Hasse invariant, but taking the weight-4 Eisenstein series E4
and defining E = ζ(3) 4
E4 , E lifts H 2 (and this E does the job). For simplicity,
we assume in this subsection that p ≥ 5, though the argument works for p = 3.
Let M = X1 (N )/W and (E, φN )/M be the genus 1 semistable curve (com-
pleted by appropriate Tate curves at the cusps; see [GME] Sect. 4.1). Let

Mm = X1 (N )/Wm = X1 (N ) ×W Wm .

Define Sm ⊂ Mm by the maximal open subscheme 112 of Mm on which E is

invertible,
112 and symbolically write S m = M m E . Similarly, we write S0 =
M E for the maximal open subscheme of M on which E is invertible. If
E ≡ E  ≡ H mod p, the congruence tells us that E  = E · (1 + n) for n
260 6 Elliptic and Modular Curves over Rings

nilpotent; so E and E  are invertible at the same time. Thus, the scheme Sm
does not depend on the choice of the lift E as long as p is nilpotent in the base
ring. We write S∞ for the formal completion limm Sm of S0 along S1 .
←−
Since we have defined X1 (N ) by Proj(GΓ1 (N ) ), the invertible sheaf ω k
(k > 0) associated with the kth graded piece is ample. To see for which k,
ωk becomes very ample, we recall that an invertible sheaf of degree ≥ 2g + 1
over a curve of genus g is very ample by the Riemann–Roch theorem (see
[GME] Proposition 2.1.4). Computing the genus of X1 (N ) (e.g., [GME] The-
orem 3.1.2), the invertible sheaf ωk/R corresponding to Gk (Γ1 (N ); R) is very
ample if k ≥ 2 and N ≥ 4 (or k > 2). Thus, Sm is affine, and Sm = Spec(Vm,0 )
for a Wm -flat algebra Vm,0 (the degree-0 component of GΓ1 (N ) (Wm )[ E1 ]).
Let pALG/Wm be the category of p-adically complete Wm -algebras R with
p-adically continuous morphisms. Here the words “p-adically complete” mean
that R = limn R/pn R. When we write W∞ , it means W = limm Wm . We
←− ←−
define the following two functors, Eαord , E  α : pALG/Wm → SET S, by
ord

1 2 1 2
E  α (R) = (E, P, φN )/R
ord
and Eαord (R) = (E, μpα → E[pα ], φN )/R ,

where P is a point of order pα . Similarly to the proof of ℘Γ1 (N ) ∼

= ℘Γ1 (N )
(Corollary 6.10), we can verify that the two functors are isomorphic. For a
given test triple (E, P, φN )/R , we have a unique commutative diagram (up to
isomorphisms)
ι
E −−−−→ E
⏐ ⏐
⏐ ⏐
. .
Spec(R) −−−−→ Y1 (N )
 
and ι(P ) ∈ E[pα ]et − E[pα−1 ]et (R). The association (E, P, φN )/R → ι(P )
gives rise to the following isomorphism:
 
E ord (R) ∼
= E  (R) ∼
ord
= E[pα ]et − E[pα−1 ]et /Sm (R),

if m is finite. Here E[pα ]et is the maximal étale quotient of E[pα ]; thus, writing
E[pα ] as a relative affine spectrum SpecSm (R) (cf. [GME] Sect. 1.5.4) of a
sheaf of OSm -algebras R, we have E[pα ]et = SpecSm (Ret ), where Ret is the
maximal subalgebra of R étale  over OSm [see Sect. 4.3.8 in the text and [T1]
(1.4)]. We write Im,α/Sm = E[pα ]et − E[pα−1 ]et /Sm , which is an étale Galois
covering with the Galois group (Z/pα Z)× . Then the scheme Im,α represents
the functors E  α and Eαord over Wm . The curve Im,α/Wm is called the Igusa
ord

curve of level N pα . We also define a procurve Im,∞/Wm = limα Im,α , which

←−
represents the functor E∞ ord
over Wm .
Here is a theorem of Igusa (e.g., [GME] Sect. 2.9.3):
Theorem 6.42 The curve I1,α/S1 (α = 1, 2, . . . , ∞) is irreducible.
 6.3 Deformation of Ordinary Elliptic Curves 261

We prove this in the following chapter in Sect. 7.2 after reinterpreting the tower
of modular curves {Y (N )}N as an example of a Shimura variety limN Y (N ).
←−
Since we have a universal elliptic curve E, we can identify the functor
T → I1,α (T ) = Eαord (T ) with

IsomS1 (μpα /S1 , E[pα ]◦/S1 )(T ) := {φp : μpα /T ∼

= E[pα ]◦/T := E[pα ]◦ ×S1 T },
where the right-hand side is the collection of isomorphisms μpα /T ∼
= E[pα ]◦/T
over T of finite flat group schemes for each S1 -scheme T . We will prove the
irreducibility as a scheme of this “Isom” functor in Sect. 7.2.

6.3 Deformation of Ordinary Elliptic Curves

Let W be a complete discrete valuation ring with residue field F = Fp (we
fix an algebraic closure of the finite field Fp ). We regard W ⊂ Cp and put
W = i−1 p (W ). If W = W (F) (the ring of Witt vectors with coefficients in
F; i.e., completion of the integer ring of the maximal unramified extension
of Qp inside Cp ), then W is a strict henselization of Z(p) . See [BCM] IX.1
for Witt vectors and [NMD] Sect. 2.3 for Henselian rings. In this section, we
relate the deformation theory of abelian schemes over local Wm -algebras for
Wm = W/pm W to that of Barsotti–Tate groups. We describe deformation
theory of a given Barsotti–Tate group and a given elliptic curve following
Katz’s exposition principally [K1]. There is a more global version of the theory
due to Chai [Ch1] and another due to Moonen [Mo].

6.3.1 A Theorem of Drinfeld

Let B be a local W -algebra complete under mB -adic topology with B/mB = F

for the maximal ideal mB of B. Recall the category CL/B of complete local
B-algebras sharing the same residue field with B. Let G : CL/B → AB be
an abelian fppf-sheaf. Recall the notation S(Bf ppf ), which is the category
of abelian fppf sheaves over B. Let I be an ideal of B such that I ν+1 = 0
and N I = 0 for an integer N equal to a power of p. Define two functors
 : CL/B → AB by
GI , G


GI (R) = Ker(G(R) → G(R/IR)) and G(R) = Ker(G(R) → G(R/mR )),

where mR is the maximal ideal of R. When G(R) = HomCL/B (R, R)(= G(R)) 
for R = B[[T1 , . . . , Tn ]] [that is, G/B = Spf(R)/B ] and the identity element 0
is corresponding to the ideal (T1 , . . . , Tn ), we call G a formal (Lie) group. If G
is formal, then the map HomCL/B (R, R)  φ → (φ(T1 ), . . . , φ(Tn )) identifies
GI (R) with the set IR × IR × · · ·× IR (n times) endowed with a formal group
law.
Suppose that G/B is a formal Lie group. For any integer m, the endomor-
phism mG sending x to mx of G induces a continuous algebra endomorphism
262 6 Elliptic and Modular Curves over Rings

m∗G : R → R. By Lemma 4.84, it induces multiplication by m on the tangent

space TG/B . Thus,

NG (Ti ) ≡ N Ti mod (T1 , . . . , Tn )2 ,

and NG (GI (R)) = GI 2 (R) because N I = 0. Similarly, we have inductively

ν
NG (GI a (R)) = GI a+1 (R). Thus, NG (GI ) = {0}. We get the next result.
Lemma 6.43 We have GI ⊂ G[N ν ] if G is a formal Lie group, where G[m] =
Ker(mG : G → G) is the kernel of mG .
Theorem 6.44 (Drinfeld) Let G and H be abelian f ppf sheaves over ALG/B
and I be as above. Let G0 and H0 be the restriction of G and H to CL/(B/I) .
Suppose
(i) G is a p-divisible fppf sheaf;
(ii) H is formally smooth [so H(R) → H(R/J) is surjective for any nilpotent
ideal J];
(iii) H is a formal Lie group.

Then
(1) The modules HomS(Bf ppf ) (G, H) and HomS((B/I)f ppf ) (G0 , H0 ) are
p- torsion-free, where the symbol “HomS(Xf ppf ) ” stands for the homo-
morphisms of abelian f ppf sheaves over CL/X .
(2) The natural map

“reduction mod I” : HomS(Bf ppf ) (G, H) → HomS((B/I)f ppf ) (G0 , H0 )

is injective.
(3) For any f0 ∈ HomS((B/I)f ppf ) (G0 , H0 ), there exists a unique homomor-
phism Φ ∈ HomS(Bf ppf ) (G, H) such that Φ mod I = N ν f0 . We write as
in [K1] “N ν f ” for Φ even if f exists only in HomS(Bf ppf ) (G, H) ⊗Z Q.
(4) In order for f ∈ HomS(Bf ppf ) (G, H), it is necessary and sufficient that
“N ν f ” kills G[N ν ].

Proof. The first assertion follows from p-divisibility, because if pf (x) = 0 for
all x, taking y with py = x, we find f (x) = pf (y) = 0 and hence f = 0.
We have an exact sequence: 0 → HI → H → H0 → 0; so we have another
exact sequence:
mod I
0 → Hom(G, HI ) → Hom(G, H) −−−−−→ Hom(G, H0 ) = Hom(G0 , H0 ),

which tells us the injectivity since HI is killed by N ν and Hom(G, H) is p-

torsion-free.
To show (3), take f0 ∈ Hom(G0 , H0 ). By the surjectivity of H(R) →
H0 (R/I), we can lift f0 (x mod I) to y ∈ H(R). The class y mod Ker(H →
H0 ) is uniquely determined. Since Ker(H → H0 ) is killed by N ν , for any
 6.3 Deformation of Ordinary Elliptic Curves 263

x ∈ G(R), N ν y is uniquely determined; so x → N ν y induces a morphism of

functors: “N ν f ”: G(R) → H(R). Then (3) follows from Lemma 4.17.
Assertion (4) is then obvious from the p-divisibility of G. The uniqueness
of f follows from the p-torsion-freeness of Hom(G, H).

6.3.2 A Theorem of Serre–Tate

Let A/B be the category of abelian schemes defined over B. We consider a

category DEF (B, B/I) of triples (A0 , D, (), where A0 is an abelian scheme
over B/I, D is a p-divisible Barsotti–Tate group over B, and ( : D0 ∼
= A0 [p∞ ],
where D0 = D ⊗Spec(B) Spec(B/I). A morphism

φ : (A0 , D, () → (A0 , D , ( )

of DEF (B, B/I) is a pair of morphisms φBT : D → D in HomBT/B (D, D )

and φA : A0 → A0 in HomGSCH/B/I (A0 , A0 ), making the following diagram
commutative:
φA
A0 [p∞ ] −−−−→ A0 [p∞ ]
7 7
⏐
⏐
⏐
⏐
D0 −−−−→ D0 .
φBT

We have a natural functor A/B → DEF (B, B/I) given by

A → (A0 = (A mod I) = A ⊗B B/I, A[p∞ ], ι)

for the canonical isomorphism ι : A[p∞ ] ⊗B B/I ∼

= A0 [p∞ ].
Theorem 6.45 (Serre–Tate) Let the notation be as above. The above func-
tor, A/B → DEF (B, B/I), is a canonical equivalence of categories.
Our proof is self-contained without quoting any outside reference if A is an
elliptic curve. In general, we assume the existence of a lift of A0 to an abelian
scheme over B (a result of Grothendieck; see [CBT] Chap. 5).
Proof. We use the notation introduced in Theorem 6.44; thus, N is a p-
power such that N I = 0, and ν > 0 is an integer such that I ν+1 = 0. As
A, A , A[p∞ ], A [p∞ ], D, D are p-divisible objects in S(Bf ppf ), we can apply
Theorem 6.44, taking G, H to be any of two groups as above.
We first show that the functor is fully faithful. We have a natural map of
sets:

HomA (A, A ) → HomDEF ((A0 , A[p∞ ], idA0 ), (A0 , A [p∞ ], idA0 ))

sending a morphism φ : A → A of group schemes to (φ|A0 , φ|A[p∞ ] ), where

A0 and A0 are the fibers of A and A over Spec(B/I), respectively. Applying
Theorem 6.44 (2) to G = A and H = A , this map is injective, as an abelian
264 6 Elliptic and Modular Curves over Rings

variety is a p-divisible abelian fppf sheaf. This proof of injectivity only uses
f0 : A0 → A0 induced by f .
We now show surjectivity using f |A[p∞ ] . Applying Theorem 6.44 (3) again
to G = A and H = A , for any given f0 ∈ HomA/B/I (A0 , A0 ), we have a lift
g:=“N ν f ” in HomA (A, A ) of N ν f0 . By Theorem 6.44 (4), we need to show
that g kills A[N ν ]. By the unicity of the lift, N ν f = g over A[p∞ ]. Since N
is a p-power, A[N ν ] ⊂ A[p∞ ] is killed by N ν f ; hence, A[N ν ] ⊂ Ker(g), as
desired. Thus, f = g/N ν , and the map is surjective.
We now show that (A0 , D, () ∈ DEF (B, B/I) comes from an abelian
scheme over B. When E0 is an elliptic curve, by Corollary 6.17, there ex-
ists an elliptic curve E/B such that E ×S S0 = E0 for S = Spec(B) and
S0 = Spec(B/I). In general, it is known that we can lift A0 to an abelian
scheme over B. This follows from the deformation theory of Grothendieck
([GIT] Sect. 6.3 and [CBT] Chap. V). This lifting is particularly easier if A0
is ordinary and B/I is F. Indeed, by a theorem of Tate’s, A0 has complex
multiplication. By the theory of abelian varieties with complex multiplica-
tion, A0 can be lifted to a unique abelian scheme over B with (the same)
complex multiplication (the canonical lift), because isomorphism classes of
such abelian varieties of the CM type correspond bijectively to lattices (up to
scalar multiplication) in a CM field. In any case, we do not need to specifically
lift A0 to a CM abelian variety (just the existence of a lift is sufficient).
Write X/B for a lift of A0 ; hence, X ×S S0 ∼
= A0 . Then we have an isomor-
phism α0 : X0 [p∞ ] → A0 [p∞ ]. Then we have a unique lifting g : X[p∞ ] → D
of N ν α0 [by Theorem 6.44 (4) applied to G = X0 [p∞ ] and H = D]. Clearly,
g is an isogeny, whose (quasi-)inverse is the lift of N ν (α0 )−1 . Thus, Ker(g) is
a finite flat group subscheme of X. The geometric quotient of X by a finite
flat group subscheme exists as remarked in Sect. 4.3.7 (see also [ABV] Sect. 12
and [GME] Sect. 1.8). The quotient has to be a proper geometrically connected
group scheme and hence is an abelian scheme over B. Thus, dividing X by
the finite flat group scheme Ker(g), we get the desired A/B ∈ A/B .

6.3.3 Group Structure on Deformation Space

Recall that F is the fixed algebraic closure of Fp . Pick a complete local ring B
with residue field F. Recall the category CL/B of complete local B-algebras
with residue field F. Then ART/B is the full subcategory of CL/B made up
of Artinian local B-algebras with residue field F.
Let (E0 , ω0 )/F be a pair of an elliptic curve E over F and a generator
ω0 of H 0 (E0 , ΩE0 /F ) over F. Write π0 : E0 → Spec(F) for the structure
morphism with the zero section 0. Let E 0 be the formal completion of E0
along the origin 0. Suppose that (E0 , ω0 )/F is an ordinary elliptic curve. By
Lemma 4.72, we have E0 [pn ] ∼ = μpn × (Z/pn Z). This shows E 0 = μp∞ as
functors from ART/F into AB (Sect. 4.4.3); so η : E 0 ∼  m if we fix an
= G
isomorphism ηp◦ : μp∞ ∼ = E[p∞ ]◦ .
 6.3 Deformation of Ordinary Elliptic Curves 265

Write T E[p∞ ]et = limn E[pn ](F) for the Tate module of the maximal étale
←−
quotient of E[p∞ ], which is a free Zp -module of rank 1 (if we ignore the Galois
action). We consider the following deformation functor E : CL/B → SET S:
1  2
EE0 (R) = (E/R , ιE ) E/R is an abelian scheme and ιE : E ×SR SF ∼ = E0 .
(6.3.1)
As before “[ ]” indicates the set “{ }/ ∼=” of isomorphism classes of the objects
inside the straight brackets, and f : (E, ιE )/S ∼= (E  , ιE  )/S if f : E → E  is
an isomorphism of abelian schemes with the following commutative diagram:
f0
E ⊗B F −−−−→ E  ⊗B F
⏐ ⏐
⏐
ιE . ιE  ⏐
.
E0 E0 .
Since the category of abelian schemes over S of relative dimension 1 is equiv-
alent to the category of elliptic curves over S (Lemma 6.1), we have the
following definition equivalent to (6.3.1):
1  2
EE0 (R) = (E/R , ιE ) E/R is an elliptic curve and ιE : E ×SR SF ∼
= E0 .
(6.3.2)

Lemma 6.46 Assume that E0 is ordinary. Take (E, ιE )/B in EE0 (R) for an
Artinian local B-algebra R with residue field F. Let E  be the formal com-
pletion of E along the origin of E. Then there exists a canonical Zp -linear

homomorphism ϕE/R : Tp E[p∞ ](F) → E(R).
The construction of ϕE/R is given in the following proof.
Proof. Since R is an Artinian local ring with maximal ideal mR , we find a
positive integer ν so that mν+1 = 0, and hence pν+1 mR = 0. Since G = E 
R
ν 
is a formal Lie group over R, by Lemma 6.43, p kills GmR = E. Since E is
ordinary, the connected component E[p∞ ]◦ is a deformation of E0 [p∞ ]◦ ∼
= μp∞
over F, and by Corollary 4.83, E[p∞ ]◦ ∼
= μp∞ over R. Thus, the Barsotti–Tate
group E[p∞ ] is ordinary, and we have the multiplicative/étale extension of
Barsotti–Tate groups over ART/B

0 → E[p∞ ]mult → E[p∞ ] → E[p∞ ]et → 0.

Since E[p∞ ]mult over ART/R is prorepresented by E in CL/R , we may rewrite

the above exact sequence as an extension of fppf abelian sheaves:
 → E[p∞ ] → E[p∞ ]et → 0.
0→E (6.3.3)

Taking the prime-to-p part into our account, we have the following exact
sequence of abelian groups:
266 6 Elliptic and Modular Curves over Rings


0 → E(R) → E(R) → E(F) → 0.

Pick x ∈ E(F), and lift it to x̃ ∈ E(R). If x̃ is another lift, we have x̃ −


x̃ ∈ E(R); 
hence, pν (x̃ − x̃ ) = 0. In other words, pν x̃ ∈ E(R) is uniquely
determined by x, getting a homomorphism “p ”: E(F)[p ] = E[pν ](F) =
ν ν

 The above argument only uses the fact that mν+1 = 0; thus,
E[pν ]et (F) → E. R
it works for any integer n ≥ ν in place of ν, getting a commutative diagram
for any n ≥ ν:
“pn+1 ”
E[pn+1 ]et (F) −−−−− 
→ E(R)
⏐ ⏐
pE .
⏐ ⏐
.
n
E[pn ]et (F)
“p ”

−−−−→ E(R).

Passing to the limit, we get ϕE/R : Tp E[pn ]et (F) → E(R), sending x =
limn xn ∈ Tp E[p∞ ]et (F) to limn→∞ “pn ”(xn ). Here xn ∈ E[pn ](F) with
←−
pE (xn+1 ) = xn . 

Theorem 6.47 (Serre–Tate) Let Tp E0 = limn E0 [pn ](F) for a given ordi-
←−
nary elliptic curve E0/F , and consider it a constant group scheme over R (for
any given Artinian local B-algebra R with residue field F). The functor EE0
is representable by the formal torus
 m (R)) ∼
R → HomZp (Tp E0 ⊗Zp Tp E0 , G =G m (R),

and each deformation (E/R , iE ) ∈ EE0 (R) gives rise to the Serre–Tate coor-
dinate tE/R = tE/R,E0 : Tp E0 × Tp E0 → G  m (R). The last isomorphism is
∼
induced by a chosen isomorphism η : μp∞ = E0 [p∞ ]mult and its dual inverse
◦

η et = (η ◦ )∗ : Qp /Zp ∼
= E[p∞ ](F) [so Tp E0 ∼
= Zp by η et ].
Here we simply wrote HomZp for the abelian group of Zp -linear maps; thus,
strictly speaking, it is HomMOD/Zp .
Proof. This follows from Theorem 6.45 and the above lemma. An elliptic
curve E/R ∈ EE0 (R) deforming E0/F is determined by the Serre–Tate the-
orem by the extension (6.3.3), which gives rise to an extension class in
 By the Cartier self-duality of E[N ] (see Lemma 6.9),
ExtS(Rf ppf ) (E[p∞ ]et , E).

 n ] = E[pn ]mult = HomGSCH (E[pn ]et , μpn )

E[p /R

∼ HomGSCH ((Tp E[p∞ ]et ) ⊗Z p−n Z/Z, μpn )

= /R

∼
= HomGSCH/R (Tp E0 ⊗Z p−n Z/Z, μpn ),

where we consider Tp E0 ⊗Z p−n Z/Z a constant group scheme over R whose

fiber is given by Tp E0 ⊗Z p−n Z/Z. Passing to the limit, we get

E(R)  m/R ) = HomZ (Tp E0 , G
= HomGSCH/R (Tp E0/R , G  m (R)). (6.3.4)
p
 6.3 Deformation of Ordinary Elliptic Curves 267

The right-hand side is independent of the choice of E/R ∈ EE0 (R). Thus, the
extension group ExtBT (E[p∞ ]et , E[p∞ ]mult ) is isomorphic to

 m) .
ExtS(Rf ppf ) Tp E0 ⊗ Qp /Zp , HomZp (Tp E0 , G

By Lemma 6.46, we can associate (E  → E[p∞ ]  Tp E0 ⊗Z Qp /Zp ) in

ExtS(Rf ppf ) (Tp E0 ⊗ Qp /Zp , HomZp (Tp E0 , G m )) with a homomorphism ϕE/R :
Tp E0 → E = HomZp (Tp E0 , G  m ). In this way, we get a homomorphism

 m)
τ : ExtS(Rf ppf ) Tp E0 ⊗ Qp /Zp , HomZp (Tp E0 , G

 m)
→ HomZp Tp E0 , HomZp (Tp E0 , G (6.3.5)

sending E/R to ϕE/R .


 m ) , we can push out the
Starting with ϕ ∈ HomZp Tp E0 , HomZp (Tp E0 , G
module extension
i
0 → Tp E0 −
→ (Tp E0 ) ⊗Zp Qp → (Tp E0 ) ⊗Zp Qp /Zp → 0

to the following extension in S(Rf ppf ):

 m ) → Eϕ [p∞ ] → (Tp E0 ) ⊗Z Qp /Zp → 0.

0 → HomZp (Tp E0 , G (∗)
p

 m ) as an abelian fppf sheaf sends an object S/R in CL/R

Here HomZp (Tp E0 , G
to the module homomorphism group HomZp (Tp E0 , G  m (S)), and

 m) ,
Eϕ [p∞ ] = Coker i − ϕ : Tp E0 → ((Tp E0 ) ⊗Zp Qp ) × HomZp (Tp E0 , G
(6.3.6)
as the cokernel exists in the abelian category S(Rf ppf ) and by the exact
sequence (∗), it is a Barsotti–Tate group. By construction, τ (Eϕ [p∞ ]) = ϕ,
and we recover the original extension of Barsotti–Tate modules. Thus, τ is
bijective. Thus, we have


E(R)
Theorem 6.45
=  m)
ExtS(Rf ppf ) Tp E0 ⊗ Qp /Zp , HomZp (Tp E0 , G
τ 
∼
= HomZp Tp E0 , HomZp (Tp E0 , G  m) .

However, we also have

 
 m) ∼
HomZp Tp E0 , HomZp (Tp E0 , G m ,
= HomZp Tp E0 ⊗Zp Tp E0 , G

sending ϕE/R : Tp E0 → HomZp (Tp E0 , G  m ) to tE/R : Tp E0 ⊗Zp Tp E0 → G

m
∼
given by tE/R (a ⊗ b) = ϕE/R (a)(b). The identification Tp E0 = Zp comes from
(η ◦ )∗ : E0 [p∞ ](F) = E0 [p∞ ]et (F) ∼
= Qp /Zp . Then this isomorphism induces
268 6 Elliptic and Modular Curves over Rings

m ∼
HomZp Tp E0 ⊗Zp Tp E0 , G  m) ∼
= HomZp (Zp , G =G m.

This finishes the proof.

We are going to give an explicit description of tE/R . We recall some facts
from the Cartier self-duality of E[pn ]/R (see Lemma 6.9). Let φ : E → S and
φ : E  → S be the structure morphisms for S = Spec(R) for an Artinian

B-algebra R. Let f : E → E/R be an isogeny over R; hence, Ker(f ) is a finite
flat group scheme over R. Pick x ∈ Ker(f ), and let L ∈ Ker(f ∗ ) ⊂ Pic(E/R 
)
 ∗ ∗
be the line bundle on E with 0E  L = OS . Thus, f L = OS because L ∈
−1
Ker(f ∗ ). Cover E  by open affine subschemes Ui so that L|Ui = φ i OUi .
Since 0∗E  L = OS , we may assume that (φi /φj ) ◦ 0E  = 1. Since f : E → E 
is finite, it is affine. Write Vi = f −1 (Ui ) = Spec(OUi ). Then f ∗ L|Vi = φ−1
i OVi
with φi = φi ◦ f , and we have, regarding x : S → Ker(f ),

φi ◦ x φ ◦ f ◦ x φi ◦ 0E 
= i = = 1.
φj ◦ x φj ◦ f ◦ x φj ◦ 0E 

Thus, φi ◦ x glue into a morphism [x, L] : S → Gm , and we get the perfect

pairing in Lemma 6.9

ef : Ker(f ) × Ker(f ∗ ) → Gm
∼ Ker(f ∗ ).
inducing Ker(f )∗ =
We apply the above argument to f = pnE : E → E, write the pairing as en ,
and record the following points already shown from the construction in the
above proof:
Lemma 6.48 We have
(P1) en (α(x), y) = en (x, α∗ (y)) for α ∈ End(E/R ).
(P2) Fix the identification E0 [pn ]mult = μpn ⊂ E0 [pn ]. Then en induces an
isomorphism of group schemes: E[pn ]mult ∼ n et
/R = HomGSCH/R (E0 [p ] , μpn /R ),
n
where we regard E0 [p ] as a constant group scheme over R with fiber
E0 [pn ].
(P3) Taking the limit of the above isomorphisms with respect to n, we find

∼
E  m) ∼
= Hom(Tp E[p∞ ]et , G  m)
= Hom(Tp E0 , G

as formal groups, where we again regard Tp E0 as a constant group

∼
scheme over R with fiber Tp E0 = limn E0 [pn ](F). In particular, E  m.
=G
←−
We are now ready to describe the Serre–Tate coordinate tE/R . In large
part, this is a summary of the proof of Theorem 6.47. Since R ∈ CL/B is
a projective limit of local B-algebras Rn with a nilpotent maximal ideal, we
have G m (R) = lim G  (R ); hence, tE/R = lim tE /R for En = E ⊗R Rn .
←−n m n ←−n n n
 6.3 Deformation of Ordinary Elliptic Curves 269

Therefore, we may assume that R is a local Artinian B-algebra with a nilpo-

tent maximal ideal mR . Then, by Lemma 6.43, E(R)  is killed by pν for suf-
ficiently large ν. Taking a lift x̃ ∈ E(R) of x ∈ E(F) = E0 (F) (such that x̃
mod mR = x), x̃ is determined modulo Ker(E(R) → E(F)) = E(R),  which is
a subgroup of E[p ] if n ≥ ν. By the smoothness of E/R , a lift x̃ ∈ E(R) of
n

x ∈ E(F) = E0 (F) always exists. Thus, pn x̃ ∈ E(R) is uniquely determined


by x ∈ E0 (F). If x ∈ E[pn ](F) = E0 [pn ](F), pn x̃ =“pn ”x ∈ E(R) by defini-
tion, getting a homomorphism “p ”:E0 [p ](F) → E(R).
n n  We have an obvious
commutative diagram (if n ≥ ν):
n+1
∼ “p ”

E0 [pn+1 ](F) −−−−→ E0 [pn+1 ](F) −
−−−−→ E(R)
⏐ ⏐ ⏐
pE0 ⏐. pE0 ⏐.
⏐
.
n
∼ “p ”

E0 [pn ](F) −−−−→ E0 [pn ](F) −−−−→ E(R),

which gives rise to a morphism Tp E0 → E(R). Thus, the structure of the
∞
Barsotti–Tate group E[p ]/R is uniquely determined by the extension class
of the exact sequence of fppf sheaves:
 ∞ ]/R → E[p∞ ]/R −
0 → E[p → E[p∞ ]et
π
/R → 0. (6.3.7)

Take x = limn xn ∈ Tp E0 = Tp E[p∞ ]et with xn ∈ E0 [pn ](F). Lift xn to

←−

vn ∈ E(R) so that π(vn ) = xn . Then, for “pn ”: E0 [pn ](F) → E(R),

tn (x) = “pn ”vn ∈ E(R).

The value tn (xn ) becomes stationary if n ≥ n0 , and taking the limit of tn (xn )
as n → ∞, we get t(x) ∈ E(R)  ∼
= HomZp (Tp E0 , G m (R)). Then we define
tE/R (x, y) = t(x)(y). Taking the dual (η0 ) : E0 [p ](F) ∼
◦ ∗ ∞
= Qp /Zp of the level
structure η0◦ : μp∞ ∼
= E0 [p∞ ]mult , we identify Tp E0 with Zp . Then we redefine
tE/R ∈ G  m (R) by tE/R (1)(1) for 1 ∈ Zp .

Theorem 6.49 (Serre–Tate) Fix a level structure η0◦ : μp∞ ∼

= E0 [p∞ ]mult .
Then we have
(1) The functor EE0 is represented by the formal scheme
 m) ∼
HomZp (Tp E0 ⊗Zp Tp E0 , G =Gm

by tE/R (x, y) → tE/R = tE/R,E0 = tE/R,E0 (1, 1).

(2) tE/R (x, y) = tE/R (y, x) under Abel’s identification: E = Pic0E/R = E ∗ .

(3) Let f0 : E0/F → E0/F be a morphism of two ordinary elliptic curves
with the dual map f0∗ : E0 → E0 . Then f0 is induced by a homomor-
phism f : E/R → E/R 
for E ∈ EE0 (R) and E  ∈ EE0 (R) if and only if
tE/R (x, f0∗ (y)) = tE  /R (f0 (x), y).
270 6 Elliptic and Modular Curves over Rings

Proof. The first assertion is an explicit version of Theorem 6.47 as described

before the statement of the theorem.
We now prove (3). By Theorem 6.45, we have a lift f : E → E  of f0 if and
only if we have a lift f |E[p∞ ] : E[p∞ ] → E  [p∞ ]. By our push-out construction
(6.3.6), having a lift f |E[p∞ ] is equivalent to the existence of a morphism ? of
Barsotti–Tate groups making the following diagram commutative:

 m ) −−−−→ E[p∞ ] −−−−→ Tp E0 ⊗Z (Qp /Zp )
→
HomZp (Tp E0 , G
⏐ ⏐ ⏐
p

∗⏐ ⏐ ⏐
◦f0 . .? .f0 ⊗1

 m ) −−−−→ E  [p∞ ] −−−−→ Tp E  ⊗Zp (Qp /Zp ).
→
HomZp (Tp E0 , G 0

There are two ways of constructing ?: We may take the vertical arrow ?L :
E[p∞ ] → E  [p∞ ] made by the push-out of the left square, and we may take ?R :
E[p∞ ] → E  [p∞ ] made by the pullback (a fiber product) of the right square.
The morphism f |E[p∞ ] (making the above diagram commutative) exists if and
only if ?L =?R (= f |E[p∞ ] ). By the construction of the Serre–Tate coordinate,
the push-out ?L is determined by an element tE/R (·, f ∗ (·)) of

Ext(Tp E(F) ⊗
Qp   Qp  
Zp , Hom(Tp E (F), Gm )) = Ext(Tp E0 ⊗ Zp , Hom(Tp E0 , Gm ))
%↓ %↓
 m)
Hom(Tp E(F) ⊗ Tp E  (F), G =  m ).
Hom(Tp E0 ⊗ Tp E0 , G
Here Ext = ExtS(Rfppf ) and Hom = HomZp . In the same way, the pullback ?R
is determined by an element tE  /R (f (·), ·) of the same extension group. Thus,
having fE[p∞ ] is equivalent to tE/R (·, f ∗ (·)) = tE  /R (f (·), ·).
Assertion (2) follows from the self-duality E ∼ = E ∗ = Pic0E/S (Albanese
covariant functoriality) and the canonical identity E ∼ = (E ∗ )∗ .

6.3.4 Computation of Deformation Coordinates

Let S = Gm/Z and S = G  m/W . Thus, S = Spf(W [t, t−1 ]) for W[t, t−1 ] =
−1
limn W [t, t ]/(t − 1), which is isomorphic to the formal power series ring
n
←−
W [[T ]] for T = t − 1. Fix a level structure η0◦ : μp∞ ∼ = E0 [p∞ ]mult . By
Cartier self-duality, we get the identification η0 : Qp /Zp ∼
et
= E0 [p∞ ]et . We
consider the universal deformation E/S of E0/F . Since E[p ]/S is étale and
n et

S = Spf(W [t, t−1 ]), E[pn ]et = Spec(An ) for an étale algebra
 An over W [t, t−1 ].
n et ∼ −n n
Since E[p ] = p Z/Z by η0et , An ⊗W [[T ]] F = Fp = p−n Z/Z F as F-algebras.

Then, by Hensel’s lemma (see [BCM] III.4.6), An ∼ = p−n Z/Z W [[T ]], so that
we have a commutative diagram:
∼ 
An −−−−→ p−n Z/Z W [[T ]]
⏐ ⏐
mod p.
⏐ ⏐ mod (p,T )
.
n ∼ 
Fp −−−et−→ p−n Z/Z F.
η0
 6.3 Deformation of Ordinary Elliptic Curves 271

Thus, η0et automatically induces η et : Qp /Zp ∼

= E[p∞ ]et . Then, by duality, we
get η ◦ : μp∞ ∼
= E[p ∞ ◦
] . This shows the following result:
Lemma 6.50 The new deformation functor
?  @
EIg (R) = (E, ιE , ηE , ηE )/R (E/R , ιE ) ∈ EE0 (R)
et ◦

is again represented by S and EIg ∼

= EE0 by the association
et ◦
(E, ιE , ηE , ηE )/R → (E, ιE )/R .
et
Here ηE : Qp /Zp ∼
= E[p∞ ]et (resp., ηE
◦
: μp∞ ∼
= E[p∞ ]◦ ) is the level structure
et ◦
inducing η0 (resp., η0 ) on the special fiber E0 .
Thus, E has the level structure η et : Qp /Zp ∼
= E[p∞ ]et and η ◦ : μp∞ ∼
= E[p∞ ]◦
◦ et −n
induced by η0 and η0 . Let C ⊂ E[p ] be a lift of η (p Z/Z). Since 0 →
et n

μpn /S → E[pn ]/S → p−n Z/Z → 0 is nonsplit, C is not defined over S but
is defined over an fppf extension of S.  The following lemma, determining the
minimal fppf extension carrying C, is taken from [Br1] Sect. 7, though our
proof is slightly different from the one given there.
Proposition 6.51 The above group scheme C cyclic of order pn is étale over
OS[μpn , t1/p ] = W
n n
[t, t−1 ][μpn , t1/p ]. Once we embed W in Qp , there are
pn different choices of étale group scheme Cζ cyclic of order pn indexed by
ζ ∈ μpn (Qp ), which is finite flat over W
n
[t, t−1 ][ζ · t1/p ] but cannot descend to
a proper W [t, t−1 ]-subalgebra of W
n
[t, t−1 ][ζ · t1/p ].
In the following proof, we make explicit a canonical way of associating μpn 
ζ → Cζ .
Proof. Since C is étale cyclic of order pn , its image covers E[pn ]et ; hence, we
can lift η et ( p1n ) to a generator γ of C. Note that taking a lift xm of η et ( p1m )
with xn = γ, we have t := limm→∞ “pm ”(xm ). In other words, γ gives rise to
γ = (“pn ”)−1 (limn→∞ “pm ”(xm )), which is a pn th root of t. Thus, γ = t1/p
n

up to ζ ∈ μpn , and hence, C is étale over W

n
[t, t−1 ][ζ, t1/p ].
Another way of seeing this is to look into the following commutative dia-
gram:
→ 
μp∞ −−−−→ E[p∞ ] −−−−→ Qp /Zp
⏐ ⏐ ⏐
n⏐ ⏐ ⏐
t →tp . F n. . (6.3.8)

μp∞ −−−−→ E[p∞ ]/E[pn ]◦ −−−−→ Qp /Zp .
→
n
From construction, we get tE[p∞ ]/E[pn ]◦  = tp  . Strictly speaking, the coor-
/Gm E/Gm
dinate tE[p∞ ]/E[pn ]◦  is the Serre–Tate coordinate tE[p∞ ]/E[pn ]◦ ,E (pn ) of the
/Gm m
/G 0
(pn ) n ◦ ∞
deformation space of E0 = E0 /E0 [p ] relative to the p -level structure
272 6 Elliptic and Modular Curves over Rings

at the lower exact sequence of the above diagram. We have another com-
mutative diagram, making a quotient of E[p∞ ]/E[pn ]◦ by the image of C in
E[p∞ ]/E[pn ]◦ (which is isomorphic to the original E):

μp∞ −−−−→ E[p∞ ]/E[pn ]◦ −−−−→ Qp /Zp
⏐ →
⏐ ⏐
⏐
.
⏐ ⏐x →pn x
V n. . (6.3.9)

μp∞ −−−−→ E[p∞ ] −−−−→ Qp /Zp .
→

Since the endomorphism [p] : x → px on E factors [p] = F  V = V  F for

F  : E(1/p) → E, V : E → E(1/p) , F : E → E(p) , and V  : E(p) → E,
C = Ker(V n ) can only be defined over W
n
[t, t−1 ][t1/p ] for a choice of pn th
1/pn 1/pn n
root t of t; hence, it is of the form ζ · t once we make a choice t1/p .
 
By abusing the notation, we hereafter write V and F also as V and F if
confusion is unlikely. Let C1 ⊂ E[pn ] be the cyclic subgroup of order pn étale
over W
n
[t, t−1 ][μpn , t1/p ] such that its specialization at t = 1 is the unique
étale factor of E0 [pn ] of the canonical lift E0 (having complex multiplication).
n
We hereafter write t1/p for the canonical choice of the pn th root of t giving
the Serre–Tate coordinate of E/C1 .
We want to make ζ explicit. Note that E0 has complex multiplication by
an order R of the imaginary quadratic field M in which p splits: pR = pp,
(p)
E0 [p] = Ker(F ), E0 [p] = Ker(V ) for the Frobenius map F : E0 → E0 with
∞
, and E0 [p∞ ] = E0 [p∞ ] ⊕ E0 [p ] (see Corollary 6.40).
(1/p)
dual V : E0 → E0
∞
Thus, E0 [p ] is connected. Take the lift E0 of E0 corresponding to the origin
tE0 /W = 1. By our construction, E0 has complex multiplication by R. Then
the exact sequence E0 [p∞ ]◦ → E0 [p∞ ]  E[p∞ ]et splits over W : E0 [p∞ ] =
E0 [p∞ ]◦ ⊕E[p∞ ]et as tE0 /W = 1. Thus, we must have E[p∞ ]◦ = E0 [p∞ ] ∼ = μp∞ ,
◦ ∞
and we have a canonical projection π : E0 [p ](Qp )  μp∞ (Qp ) (induced by
η ◦ ). Let C0 = C ×E E0 ⊂ E0 . We then have π ◦ (C0 )(Qp ) ⊂ μp∞ (Qp ), and this
subgroup π ◦ (C0 )(Qp ) is generated by ζ = π ◦ (γ). If C  is another étale cyclic
subgroup with π ◦ (C0 ) = π ◦ (C0 ) for C0 = C  ×E E0 ⊂ E0 , then C and C0 are
étale coverings of W
n
[t, t−1 ][ζ ·t1/p ] whose fibers at t = 1 coincide. This implies

that C = C under the universal étale covering studied in Sect. 4.2.4. Write
this group C as Cζ , since the isomorphism class of C as an étale covering of
 m is determined by ζ. Identify W
G [[t, t−1 ] with W [[T ]] for T = t−1 and embed
it into Qp [[T ]]. We then let Gal(Qp /Qp ) act on Qp [[T ]] through coefficients:
 
( n an T n )σ = n aσn T n for σ ∈ Gal(Qp /Qp ). Then σ(Cζ ) = Cζ σ and hence
W [ζ] is the minimal ring over which Cζ is defined.
Here is another look at Corollary 6.40:
Corollary 6.52 Suppose that E0 is defined over Fq for q = pf . Let E0 be
the elliptic curve over W with tE0 /W = 1. Then E0/W has endomorphism φ
lifting the qth-power Frobenius endomorphism F f of E0/Fq , and hence E0 has
 6.4 Elliptic Curves with Complex Multiplication 273

complex multiplication by an imaginary quadratic field isomorphic to Q[F f ] ⊂

EndW (E0 ) ⊗Z Q.

Proof. By the above proof, tE0 /W = 1 implies the connected–étale sequence

of E0 [p∞ ] splits; so E0 [p∞ ] = E0 [p∞ ]◦ ⊕ E0 [p∞ ]et . Since E0 [p∞ ]et is étale
over W , as a Galois module, we have E0 [p∞ ]et ∼ = E0 [p∞ ](F) on which F f
∞ et
acts; hence, F lifts to φ ∈ EndW (E0 [p ] ). By the Cartier self-duality of
f et

E0 [p∞ ], F f lifts to φ◦ ∈ EndW (E0 [p∞ ]◦ ); so we have the lift φdiv = (φ◦ ⊕φet ) ∈
EndW (E0 [p∞ ]) = EndDEF ((E0 , E0 [p∞ ], idE0 )) of F f . Then by the equivalence
of category in Theorem 6.45,

EndDEF ((E0 , E0 [p∞ ], idE0 )) = EndW (E0 ),

which implies φ ∈ EndW (E0 ) corresponding to φdiv lifts F f ∈ EndF (E0 ).

By Theorem 6.6, Q[φ] ∼
= Q[F f ] is an imaginary quadratic field, and also by
F + V ≡ 0 mod p, p splits in Q[F f ]. This finishes the proof.
f f

The elliptic curve E0/W as in the above corollary is called the canonical lift
of E0/F .

6.4 Elliptic Curves with Complex Multiplication

In the previous section, we started with an elliptic curve defined over a finite
field Fq and lifted it to W (F). By the existence of Frobenius endomorphism,
any ordinary elliptic curve over a finite field has complex multiplication by
an imaginary quadratic field M . In this section, as was traditionally done by
Deuring and more generally by Shimura–Taniyama–Weil [ACM], we start with
a CM elliptic curve over C and describe its canonical association to orders of
M . We fix a prime p and an identification Cp ∼ = C as fields compatible with
ip i∞
our embeddings Cp ← Q → C.

6.4.1 CM Elliptic Curves

Fix an imaginary quadratic field M ⊂ Q in which the fixed prime p splits into
(p) = pp, where ip : Q → Cp indices
 the
 prime p; in other words, writing O
for the integer ring of M , p = x ∈ O|x|p < 1 .
For each lattice a ⊂ M whose p-adic completion ap is identical to Op =
O ⊗Z Zp , we consider the complex torus E(a)(C) = C/a, where we wrote a
for the lattice {i∞ (a) ∈ C|a ∈ a} in C. By a theorem in [ACM] 12.4, this
complex torus is algebraizable to an elliptic curve E(a) having CM by M over
a number field.
Let F be an algebraic closure of the finite field Fp of p-elements. We write
W for the p-adically closed discrete valuation ring inside Cp unramified over
Zp with residue field F. Thus, W is isomorphic to the ring W (F) of Witt
274 6 Elliptic and Modular Curves over Rings

vectors with coefficients in F. Let W = i−1p (W ), which is a strict henselization

of Z(p) = Q ∩ Zp . In general, we write W for a finite extension of W (F) in Cp ,
which is a complete discrete valuation ring. We suppose that p is unramified in
M/Q. Then the main theorem of complex multiplication ([IAT] Sects. 5.3–4 for
elliptic curves and more generally [ACM] 18.6 for abelian varieties) combined
with the criterion in [ST] of a good reduction over W tells us that E(a) is
actually defined over the field of fractions K of W and extends to an abelian
scheme over W [still written as E(a)/W ]. In the case of elliptic curves, it is
easy to see a good reduction as follows. Since the isomorphism class over
C of an elliptic curve with complex multiplication is determined by its C-
points, E(a)(C) = C/a. Indeed, by the Weierstrass equation we described in
Sect. 2.3.4, the Riemann surface C/a can be embedded into P2 (C), giving a
unique elliptic curve E(a)/C up to isomorphisms. Multiplication by α ∈ M
induces E(a)/C ∼ = E(αa)/C . Thus, the ideal classes of the order

O(a) = {α ∈ M |αa ⊂ a}

are in bijection to the isomorphism classes of CM elliptic curves E(a)/C with

EndC (E(a)) = O(a). The ideals and its classes are at most countably many.
For σ ∈ Aut(C), we have EndC (E(a)σ ) = O(a). Thus, the J-invariant J(E(a))
can have at most countably many conjugates under field automorphisms of
C; hence, J(E(a)) is in a finite extension of Q, and as we have seen in Corol-
lary 2.41, E(a) is defined in a finite extension K of Q. In particular, the ideal
classes are finitely many (see [IAT] Exercise 4.12). Since the p-adic Tate mod-
ule Vp = Tp E(a)⊗Z Q has rank 1 over Mp = M ⊗Q Qp , the action of Gal(Q/K)
on Tp E(a) produces a character ϕ : Gal(Q/K) → Mp× . Thus, the field of ratio-
nality of E(a)[p∞ ] over K is an abelian extension of K. Write K  for the p-adic
closure of K in Cp . If E(a) is a specialization of the Tate curve over any finite
extension of O = W ∩ K,  its Tate period q is equal to J −1 (E(a)) up to units
in O, and the field of rationality of E(a)[p∞ ] is a nonabelian infinite extension
of K by Corollary 2.56. This is impossible as it is an abelian extension of K.
In other words, we have |J −1 (E(a))|p ≥ 1, and so J(E(a)) ∈ O. Then E(a)
extends to an elliptic curve over W ∩ K by Corollary 6.32. Moreover, since p
is arbitrary, J(E(a)) is an algebraic integer (this fact can be proven directly
by an elementary way; see [IAT] Sect. 4.6). Thus, we get
Proposition 6.53 An elliptic curve with complex multiplication extends to
an elliptic curve with complex multiplication over the integer ring of a finite
extension of Q.
In particular, all endomorphisms of E(a)/W are defined over W. We write
θ : M → End(E(a)) ⊗Z Q for the embedding of M taking α ∈ M to the
complex multiplication by α on E(a)(C) = C/a.
 6.4 Elliptic Curves with Complex Multiplication 275

6.4.2 Order of an Imaginary Quadratic Field

Let O(a) = {α ∈ O|αa ⊂ a}. Then O(a) is an order of M , that is, a subring
of the integer ring O that spans M . The order O(a) is determined by its
conductor ideal c ⊂ Z, which is the annihilator of the Z-module O/O(a). In
other words, O(a) = Oc := Z + cO.
Exercise 6.54 If c is the annihilator of O/O(a) in Z, prove that O(a) =
Z + cO and that any order is of the form Z + cO for an ideal c of Z.
Fix a prime ideal l = (l) ⊂ Z and set Oe = Z + le O (the order of conductor
le ). The following three conditions for a fractional Oe -ideal a are equivalent
(cf. [IAT] Proposition 4.11 and (5.4.2) and [CRT] Theorem 11.3):
(I1) a is Oe -projective;
(I2) a is locally principal;
(I3) a is a proper Oe -ideal [that is, Oe = O(a)].
Here a is locally principal means that for each prime ideal q of Oe , the local-
ization a(q) is a principal ideal of the local ring Oe,q . An R-module M for a
noetherian ring R is R-projective if R is isomorphic to a direct summand of an
R-free module of finite rank. An Oe -ideal is Oe -projective if it is Oe -projective
as an Oe -module. Thus, Cle := Pic(Oe ) is the group of Oe -projective frac-
tional ideals modulo principal ideals. The group Cle is finite and is called the
ring class group modulo le .

6.4.3 Algebraic Differential on CM Elliptic Curves

Since f∗ ΩE(a)/W = 0∗E(a) ΩE(a)/W is locally free of rank 1 for the stricture
morphism f : E(a) → Spec(W), it is free of rank 1 as W is a discrete valuation
ring. We choose and fix a differential ω = ω(O) on E(O)/W so that

H 0 (E(O), ΩE(O)/W ) = Wω. (Ω1)

As long as E(O ∩ a) is an étale covering of both E(a) and E(O), ω(O) induces
a differential ω(a) first by pullback to E(O ∩ a) and then by pullback inverse
from E(O∩a) to E(a). Writing ap for the p-adic closure of a in Mp , if ap = Op ,
π πR
this étaleness of the covering E(O) ←−L− E(O ∩ a) −−→ E(a) holds, as Ker(πL )
and Ker(πR ) have order prime to p and hence étale. So ω(a) is well defined
with H 0 (E(a), ΩE(a)/W ) = Wω(a).
Exercise 6.55 Prove the following facts:
π
→ E  of elliptic curves over W is étale if deg(π) is prime
1. An isogeny E −
to p;
2. E(a ∩ O)/W → E(a)/W is étale if ap = Op .
276 6 Elliptic and Modular Curves over Rings

There is one more case where ω(a) is well defined. Take the étale subgroup Cζ
for a primitive pn th root ζ ∈ μpn (Cp ) of unity as in Proposition 6.51 of the
universal deformation E/W of E0 = E(O) ⊗W F. Note that the canonical lift
E0 of E0 is exactly E(O) ×W W by Corollary 6.52. Let C ζ = Cζ ∩ E(O) =
Cζ ×E E(O), regarding E(O) as the fiber of E at t = 1 for the canonical
coordinate t of the Serre–Tate deformation space. Then, for a suitable proper
ideal aζ of On for l = p which we describe later, we have E(aζ ) = E(O)/C ζ
and π : E(O) → E(aζ ) is an étale covering defined over W [ζ] by Proposi-
tion 6.51, where pn is the rank of the locally free group scheme C ζ over W [ζ].
Thus, the pullback inverse (π ∗ )−1 : ΩE(O)/W[ζ] → ΩE(aζ )/W[ζ] is a surjective
isomorphism, and for ω(aζ ) = (π ∗ )−1 ω(O), we thus have

H 0 (E(aζ ), ΩE(aζ )/W[ζ] ) = W[ζ]ω(aζ ) for ζ ∈ μpn (Cp ). (Ω2)

The differential ω(a) is sometimes called the Néron differential on E(a).

6.4.4 CM Level Structure

Since E(Oe )/W has a subgroup, C(Oe ) = O/(Z + le O) ⊂ E(Oe ) isomorphic

étale locally to Z/le . This subgroup C(Oe ) is sent by multiplication by a to
C(a) ⊂ E(a)/W , giving rise to a Γ0 (le )-level structure C(a) on E(a).
For Oe -ideals m of b, we write bm for the m-adic completion bm =
limn b/mn b. Abusing language, for an ideal f ⊂ Z, we put bf = limn b/fn b.
←− ←−
Further abusing notation, we write aF for an O-ideal F, the F-adic closure of
a in MF = OF ⊗O M . Let a be locally principal fractional ideal of Oe . We
choose a local generator aF of aF . Multiplication by aF induces an isomorphism
Oe,F ∼ = aF .
For our later use, we choose ideals F and Fc of O so that F ⊂ Fcc and
F+Fc = O. The product C = FFc will be the conductor of the Hecke character
we study. We let f = F ∩ Z and f = Fc ∩ Z, and so f ⊂ f . We define a level-f2
structure on E(a): Supposing that a is prime to fOe , we have af ∼ = Of =
OF × OFc , which induces a canonical identification:
∼
if (a) : f−1 /Z = f−1 /Z ∼
= F−1 /O −−−−−→ F−1 aF /aF ⊂ E(a)[f]. (6.4.1)
x →aF x

This level structure induces if (a) : E(a)[f]  f−1 /Z by the Cartier self-duality
of E(a)[f]. In this way, we get many quintuples:

(E(a), if (a), if(a), C(a)[l], ω(a)) ∈ M(Γ0 (f2 ) ∩ Γ1 (f) ∩ Γ0 (l))(W) (6.4.2)

as long as le is prime to p, where C(a)[l] = {x ∈ C(a)|lx = 0}. We often

write φf for the pair (if , if ) of level-f structures as above. A precise definition
of the moduli scheme of Γ0 -type: M(cl−e (aac )−1 ; f2 , Γ0 (l)) classifying such
quintuples will be given in Sect. 8.1.3. The point x(a) = (E(a), if (a), if(a)) of
the moduli scheme Y (Γ0 (f2 ) ∩ Γ1 (f)) = M(Γ0 (f2 ) ∩ Γ1 (f))/Gm forgetting the
differential ω(a) is called a CM point x(a) associated with E(a).
 6.4 Elliptic Curves with Complex Multiplication 277

6.4.5 Adelic CM Level Structure

In Corollaries 6.40 and 6.52, we started by choosing a p∞ -level structure

η ◦ : μp∞ → E0 [p∞ ] of characteristic-0 CM elliptic curve. If we start with a CM
elliptic curve over C, we have a canonical p∞ -level structure. First, we suppose
ap = Op [and suppose that (p) = pp in O as before]. Then E(a) = C/i∞ (a)
by complex uniformization with respect to the Weierstrass equation for the
differential ω∞ (a) = dx y = du. By ap = Op = Op ⊕ Op (with canonical
isomorphism Op = Zp = Op induced by the inclusion Z ⊂ O), we have

E(a)(C) = Mp /Op ⊕ Mp /Op .

Here the ordering of writing—that is, Mp /Op comes at the right side of
exp
Mp /Op —is important. In complex uniformization E(a)(C) = C/(Zz + Z) = ∼
C× /q Z for a basis (z, 1) of a andq = exp(2πiz) by the exponential map
 1
u → e(u) := exp(2πu), n pn Z + Zz/Zz is sent to the canonical level
structure μp∞ → E(a)(C). This corresponds to Mp /Op → E(a)[p∞ ], and 1
in the basis (z, 1) is put on the right end traditionally.
 u →e(u)
Identify Mp /Op with Qp /Zp and then Qp /Zp with n p−n Z/Z −−−−−→
μp∞ (C). We get η∞ ◦
(a) : μp∞ ∼= E(a)[p∞ ] canonically given. By the Cartier
dual inverse, we get η∞ (a) : Qp /Zp ∼
et ∞
= E(a)[p ]. Since W is strictly Henselian,
η∞ (a) descends to the étale level structure η et (a) = ηpet (a) over W, again
et

by the Cartier dual inverse, we get the descent η ◦ (a) = ηp◦ (a) to W of the
◦
connected level structure η∞ (a). Since E(a)/W = E(a) ×W W is the canonical
lift of E(a) ×W F, we recover a canonically chosen two-level structure

ηpord (a) = ηpet (a) × ηp◦ (a) : Qp /Zp × μp∞ /W ∼

= E(a)[p∞ ]/W if ap = Op . (6.4.3)

Outside p, for a prime q = p, E(a)[q ∞ ] is an étale q-divisible group [as qE(a) :

x → q · x is an étale map]. Since W is strictly Henselian, the identification
E(a)[q ∞ ](C) = Mq /aq over C extends uniquely to give η div : MA / a(p) ∼
(p∞)
=
 (p∞)
N,pN E(a)[N ], where  = a ⊗Z Q (the
(p) (p)
a = limN,pN a/N a and MA
←−
prime-to-p finite adeles of M ). By taking the Pontryagin dual, we have

a(p) ∼
η (p) = η (p) (a) :  = T (p) E(a) = ←
lim E(a)[N ]. (6.4.4)
−
N,pN

Here T (p) E(a) is the prime-to-p Tate module of E(a).

Replacing E(a) by isomorphic E(αa) for α ∈ M × , we may assume that
a ⊃ O with ap = Op . Then C = a/O ⊂ E(O), and E(a)(C) = E(O)/C
over C. Since ap = Op , C has order prime to p; hence, η et (O) brings C into
E(O). We now take the subgroup C ζ = Cζ ×E E0 of E0 = E(O) ×W W in
the computation of Cζ above Corollary 6.52. Then π ◦ (γ) = ζ in E0 /C ζ for
γ = η et ( p1n ). This implies C ζ is a cyclic subgroup generated by γζ −1 over C.
278 6 Elliptic and Modular Curves over Rings

Exercise 6.56 Explain why π ◦ (γ) = ζ implies that C ζ is a cyclic subgroup

generated by γζ −1 .
Definition 6.57 Taking aζ ⊃ O such that C ζ ⊕ C ∼ = aζ /O, we may re-
gard C ζ ⊕ C as a finite flat group subscheme in E(O) defined over W.
Then we have E(aζ ) = E(O)/(C ζ ⊕ C), and the bottom lines of the com-
mutative diagrams (6.3.8) and (6.3.9) induce the canonical level structure
η ◦ (aζ ) : μp∞ → E(aζ )[p∞ ] defined over W[μpn ]. Then, by the Cartier du-
ality, we get the identification η et (aζ ) : Qp /Zp ∼
= E(aζ )[p∞ ]et .
In short, we get a test object (E(aζ ), η ◦ (aζ ), η et (aζ ), η (p) (aζ ))/W[ζ] .

6.4.6 Zeta Function of CM Elliptic Curves

By Proposition 6.53, the elliptic curve E(a) is defined over a number field
K and extends to an elliptic curve over the integer ring OK . Write O(a) for
the order of a. Since ap = Op , we have O(a)p = Op . Thus, we may regard
p as a proper O(a)-ideal [i.e., we just write p for p ∩ O(a)]. By the proof of
Corollary 6.52, for the Frobenius automorphism φ : W → W , Eφ0 = E0 /E0 [p]◦ .
Thus, we get E(a)φ = E(p−1 a) as E(a)[p] = E(a)[p]◦ . Consider Tl (E(a)) =
limn E(a)[ln ] ∼
= al = Tl (E(p−1 a)) (for a prime l = p) as al = (p−1 a)l . Thus,
←−
the action of φ induces a Zl -linear automorphism

η (p) (a) η (p) (p−1 a)

φl : al = Tl (E(a)) → Tl (E(p−1 a)) = al .

 (p) )× .
Consider (φl )l an element in (O
×
Define ρ : (MA(p∞) ) → G(A(p∞) ) by αη (p) (a) = η (p) (a) ◦ ρ(p) (α). Since
(p)

 (p) ∩ M , if the level

the action of φ is multiplication by the unit (φl )l in O
(p)
group Γ contains ρ ((φl )l ), we can conclude

x(a)φ = x(p−1 a) as a point of the modular curve YΓ of prime to p level Γ .

(6.4.5)
This is a special case of Shimura’s reciprocity law we state later as Proposi-
tion 7.24 (see [IAT] Chap. 6 and [EDM] Sect. A5).
As described in [IAT] Sect. 7.8 (and [EDM] Sect. 14), the Hasse–Weil zeta
function L(s, E(a)) := L1 (s, E(a)) (defined in (3.1.5)) can be identified with a
Hecke L-function L(s, ψ)L(s, ψ) of its field of definition K for an everywhere
unramified Hecke ideal character ψ : {fractional ideal of K} → M × . Here
are some details of this fact: Since complex multiplication by α ∈ M on
E(a) induces multiplication by α on ΩE(a)/K as is clear from the complex
uniformization E(a)(C) = C/a, K has to contain M . Write Φ = φf for the
Frobenius element in Gal(Q/K) for a prime P|p in OK . Thus, the action of Φ
on Tl (E(a)) = limn E(a)[ln ] ∼
= al (for a prime l = p) gives rise to a M -linear
←−
endomorphism of T (E(a)). Since Φ satisfies X 2 − (F + V )X + pf = 0 for the
Frobenius map F and its dual V (relative to Φ), we find that on Tl (E(a)),
 6.4 Elliptic Curves with Complex Multiplication 279

considering it an O(a)l -module by complex multiplication, the action of Φ is

the multiplication by F ∈ M . Thus, ψ(P) = F ∈ M × for the prime P of K.
This tells us that ψ has values in M × , and by (6.4.5),

x(NK/M (P)−1 a) = x(a)Φ on YΓ .

Here, again, we regard NK/M (P) as a proper prime ideal of the order O(a) =
{α ∈ M |αa ⊂ a} [in other words, for any prime ideal L of O with O(a)L = OL ,
we consider L to be a proper prime ideal of O(a) by taking the intersection
L∩O(a)]. In particular, NK/M (P) is a principal O(a)-ideal generated by ψ(P).

Exercise 6.58 Give a detailed proof of the fact that NK/M (P) is a principal
O(a)-ideal generated by ψ(P).
7
Modular Curves as Shimura Variety

Modular varieties classifying abelian varieties with a level structure, given

endomorphism subring and polarization, by making the level structure finer
and finer, give rise to a tower of varieties. This tower has a strikingly big
automorphism group, which can be described by an adele group of an algebraic
group. Such a tower with a big adelic automorphism group is called a Shimura
variety (of PEL type; see [PAF]) because Shimura was the first to realize that
the symmetry given by well-described automorphisms is essential in studying
arithmetic problems and automorphic forms defined over the variety (see [Sh4]
and his earlier papers quoted there, including [Sh2]). We interpret here the
modular curves and their tower as a prototypical example of Shimura varieties.
Since each elliptic curve has a canonical polarization coming from Abel’s map
E/S ∼= Pic0 (E/S ), in this book, we forget about polarization.

7.1 Shimura Curve

A Shimura variety is a fundamental object made out of a pair of a reduc-

tive group G/Q and its hermitian symmetric domain G(R)/C(R)Z(R) for a
maximal compact subgroup C(R) and the center Z(R). Such a pair produces
a tower of varieties defined over a canonical field of definition characterized
by an explicit description of special points under Galois action (local reci-
procity law). The tower has an unusually large automorphism group (global
reciprocity law) coming from symmetry of the action of the adele group G(A).
The interaction of local and global reciprocity laws is a part of the axioms for-
mulated by Deligne (cf. [D5] and [PAF] Sect. 7.2.1) after Shimura’s invention
of geometric reciprocity laws to characterize such pairs. We study here the
simplest example when G = GL(2)/Q , which is deeply related to the classical
theory of elliptic modular forms (this was originally treated in [IAT] Chaps. 6
and 7, but our treatment is slightly more ring theoretic). We put more em-
phasis on p-integral models (for the prime p we fixed) of the Shimura curve

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 281

in Mathematics, DOI 10.1007/978-1-4614-6657-4 7,
© Springer Science+Business Media New York 2013
282 7 Modular Curves as Shimura Variety

of prime-to-p level and the Igusa tower over it, as we seek applications to
integrality of L-values and p-integral modular forms defined over the tower.

7.1.1 Elliptic Modular Function Fields

We recall the elliptic modular function field in [IAT]

 Chap. 6 (see also [EDM]
Sects. 14 and A5). We consider a field K given by pN Q(μN ) inside Q; hence,
ip
K → Qp . Take a p-adic place P of K given by ip and write W ⊂ K for the
discrete valuation ring of P. We thus have a continuous embedding ip : W →
Qp , and for the maximal ideal m of W, F = W/m is an algebraic closure of Fp .
Put G1 = SL(2)/Q as an algebraic group and GI := GL1 (Zp ) × SL2 (A(p∞) ).
We embed diagonally Z(p) -points of the standard
  T ⊂ G1 (of
diagonal torus
the upper triangular Borel subgroup P = ( a0 a−1 ∗
) a ∈ GL(1) of SL(2)) into
 0   0 
GI so that a0 a−1 is sent to a ∈ GL1 (Zp ) at p and a0 a−1 ∈ SL2 (Q ) at all
primes #  p.

 P = T  U for U (A) = {( 0 1 ) |u ∈ A} and

Definition 1 u
 a 7.1 Decompose
×
T (A) = 0 a−1 |a ∈ A .
0

We consider the modular curve Y (N )/Z[ N1 ] for an integer N prime to p that

classifies pairs (E, φN )/A , where E is an elliptic over A and φN : (Z/N Z)2 ∼
=
E[N ] = Ker(N : E → E) is an isomorphism of finite flat group schemes over
R. The level structure φN specifies a primitive root of unity ζN ∈ μN via
the Weil pairing ζN := φN (1, 0), φN (0,
 1). Over C, we identify ζN with the
√
2π −1
canonical generator ζN = exp N of μN (C). Thus, Y (N ) has a scheme
structure over Z[μN , 1
N ], but we may consider it defined over Z[ N1 ], composing
the morphism Spec(Z[μN , N1 ]) → Spec(Z[ N1 ]). We write Y (N )ζN when we
consider Y (N ) to be defined over Z[ζN , N1 ]. Then it classifies (E, φN )/A , with
φN (1, 0), φ(0, 1) = ζN for a specific primitive N th root ζN ∈ A. If we think
of it as a scheme over Z[ N1 ], we just write it as Y (N ). For the fixed prime p,
let

 a b   
Γ0 (pm )p = ∈ G(Zp )c ∈ pm Zp ,
c d
/   0
Γ1 (pm )p = a b ∈Γ
c d
0 (pm )p d − 1 ∈ pm Zp .

Definition 7.2 We consider the level structure φp of type Γ = Γ? (pm )p ⊂

G(Zp ) (? = 0, 1) given as follows: φp is a subgroup étale locally isomorphic to
μpm if Γ = Γ0 (pm )p , and φp : μpm → E[pm ] (a closed immersion of finite flat
group schemes) if Γ = Γ1 (pm )p .
We studied in Sect. 6.2 the moduli scheme Y (N, Γ )/B over a base ring B/Z(p) ,
which classifies triples (E, φN , φp )/R for a level-Γ structure φp (at p) over B-
algebras R. The ring B there is a discrete valuation ring over Z(p) (or actually
 7.1 Shimura Curve 283

any algebra over smaller Z[ N1 , μN ]). This type of level structure has already
been studied in earlier sections (cf. Sect. 2.2), and over Z(p) [μpn ] (or over a
complete discrete valuation ring W ⊃ Z(p) [μpn ]), we know the representability
(sometimes as a coarse modulus) of the functor
1 2
R → EΓ (N ),Γ (R) := (E, φN , φp )/R

by a modular curve Y (N, Γ ). In Sect. 6.2.12, this functor was denoted by Eαord
if Γ = Γ1 (pα )p (to emphasize the exclusion of supersingular elliptic curves
of characteristic p). We consider the p-integral Shimura curve (of prime-to-p
level)
(p)
Sh/Z(p) = lim Y (N )/Z(p)
←−
pN

[regarding these schemes as Z(p) -schemes].

If we regard the open/affine curves Y (N ) [resp., Y (N, Γ )] as a scheme over
Spec(Q[μN ]), for N prime to p, Y (N, Γ )/Q[μN ] is geometrically irreducible.
Inverting all integers, that is, over Q, we denote

ShΓ/Q = lim Y (N, Γ )/Q , Sh/Q = lim Y (N )/Q (including N divisible by p)

←− ←−
pN N

(regarding these schemes as Q-schemes). We will later see that ShΓ/Q = Sh/Γ
as a geometric quotient as in [GME] Sects. 1.8.3 and 3.3. Write μ× N ⊂ μN for

the set of all primitive N th roots of unity, and let Z(1) = limN μ×
×
←− N . For each
 ×
ζ = (ζN )N ∈ Z(1) , let

Y (N, Γ )ζ/B = Y (N, Γ )ζN ×Z(p) [μN ] B, Y (N )ζ/B = Y (N )ζN ×Z(p) [μN ] B.

In this chapter, the base ring B is often W, F, or K. The proschemes with

Zariski topology as discussed in Sect. 5.1.4
(p)
YΓ,ζ/K = lim Y (N, Γ )ζN /K and Yζ/W = lim Y (N )ζ/W (7.1.1)
←− ←−
pN pN

give geometrically irreducible components of ShΓ/Q ×Q K (indexed by ζ).


Once we identify Z(1)  for ζ = (ζN = exp(2πi/N ))N
= limN μN (C) with Z,
←−
 the component Y
corresponding to 1 ∈ Z,,
(p)
gives the neutral component
ζ/W
(p)
of Sh/Z(p) ×Z(p) W [i.e., the components containing the image of the identity
of G(A(∞) ) in the expression of Lemma 7.8]. We simply write the neutral
(p) (p)
component as Y/W . If convenient, we write ShG(Zp )/Z(p) for Sh/Z(p) (abusing
the notation). Deligne–Kottwitz’s interpretation is functorial, relating ShΓ/B
to the covariant functor
{(E, η (p) : (A(p∞) )2 ∼
= V (p) (E), φp )/R }
ALG/B  R → ∈ SET S.
prime-to-p isogenies
284 7 Modular Curves as Shimura Variety

In place of isomorphisms, an equivalence relation on the category {(E, η (p) ,

φp )/R } is given by isogenies of degree prime to p; hence, (E, η (p) , φp )/R is
equivalent to (E  , η  , φp )/R if we have an invertible isogeny ϕ ∈ HomELL
(p)

(E, E  ) ⊗Z Z(p) such that η  = ϕ ◦ η (p) and φp = ϕ ◦ φp . To understand

(p)

Shimura’s symmetry by the adele group G(A) in a geometric way, it is imper-

ative to replace “isomorphisms” by “isogenies.” In short, we have
Theorem 7.3
{(E, η (p) : (A(p∞) )2 ∼
= V (p) (E), φp )/R }
ShΓ (R) ∼
= , (7.1.2)
prime-to-p isogenies
where R runs over Z(p) -algebras if Γ = G(Zp ) and B-algebras (B = F or Q)
if Γ = Γ? (pm )p with m > 0 (? = 0, 1), V (p) (E) = A(p∞) ⊗Z limpN E[N ].
←−
We will prove this theorem after some preparation in Sect. 7.1.4.
(p)
We write X/B (resp., XΓ/B ) for B = K, W for the normalization of P1 (J)
(p) (p)
in Y/B (resp., YΓ/B ), which gives a smooth compactification of Y/K and
YΓ/K , as seen in Sect. 6.2.7. Write FΓ for the function field K(XΓ ) and F(p)
for K(X (p) ) (the arithmetic modular function fields). Since f ∈ FΓ is a ratio
h
g of modular forms
h, g of the same weight, as in (6.2.2), it has Laurent
q-expansion f = ξ c(ξ, f )q ξ in the Laurent series ring K((q)) = K[[q]][q −1 ].
By the above theorem, (u, g) ∈ GI [u ∈ GL1 (Zp ) and g ∈ SL2 (A(p∞) )]
acts on ShΓ by
(E, η (p) , φp ) → (E, η (p) ◦ g, φp ◦ u).
The action of produces an embedding
τ : GI /{±1} → Aut(FΓ1 (p∞ )p /K) = Aut(YΓ1 (p∞ )p /K ).

The action of τ (z, g) on FΓ is on the left and has the following property
(shown by Shimura;
 0 e.g.,
 [IAT] Theorem 6.23 or [PAF] Theorem 4.14). Simply
write a := (a, a0 a−1 ) ∈ GL1 (Z(p) ) × SL2 (Z(p) ) ⊂ GI [the matrix a0 a−1
0
in
T (Z(p) ) being diagonally embedded in SL2 (A )]. Then, for f ∈ FΓ , we have
(∞)

τ (a)(f )(z) = f (a−2 z); (7.1.3)

−1
a 0 
hence, we have τ (α)(f )(z) = f (α (z)) for α = 0 a−1 . This formula is valid
for general α ∈ GL2 (Z(p) ) if f ∈ F(p) (so our “τ ” is the inverse of Shimura’s
“τ ” in [IAT] Chap. 6 and “[·]” in [EDM] Sect. 14.2).
Definition 7.4 We define a valuation vΓ : FΓ → Z ∪ {∞} by

vΓ (f ) = inf ordp (c(ξ, f )) for f = c(ξ, f )q ξ ∈ FΓ .
ξ
ξ

We write vm for vΓ if Γ = Γ1 (pm )p .

 7.1 Shimura Curve 285

The valuation vΓ is well defined because f can be written as hg for h, g ∈

Gk (Γ (N ) ∩ Γ, Q) for sufficiently large k (ampleness of ω) and as shown in
[IAT] Chap. 8, Gk (Γ (N ) ∩ Γ, Q) is generated by modular forms with integer
q-expansion coefficients; thus, ordp (c(ξ, f )) is bounded below over ξ. Thus,
the valuation v0 : F(p) → Z ∪ {∞} has a standard unramified extension
vΓ : FΓ  Z ∪ {∞}. Here are some easy facts:
Lemma 7.5 Let the notation be as above.
1. If a ∈ GL1 (Z(p) ) ∼
= T (Z(p) ), then

c(ξ, τ (a)(f )) = c(a2 ξ, f ),

and the diagonally embedded T (Z(p) ) ⊂ GI preserves the valuation vΓ .

(p) (p) (p)
2. The vertical divisor X/F := X/W ⊗W F of X/W is a prime divisor (geo-
metrically irreducible) and gives rise to a unique valuation of F(p) , whose
explicit form is given by the valuation v0 .

Proof. The first assertion follows directly from (7.1.3). By the existence
(p)
of a smooth compactification X/W of Y (p) over W, Zariski’s connected-
(p)
ness theorem (Theorem 5.7) tells us that Y/F = Y (p) ×W F is irreducible.
(p)
Thus, the vertical Weil prime divisor X/F on the smooth arithmetic surface
(p) (p)
X/W gives rise to a unique valuation. To see this, writing Y/W = Spec(R)

(because it is affine), we have R = pN RN for the noetherian normal domain
RN := R0 (Γ (N ), W) of Krull dimension 2 with Y (N ) = Spec(R0 (Γ (N ), W)).
(p)
So the principal ideal (p) = pR is the prime ideal corresponding to Y/F =
Spec(R/(p)). Since Y (N ) is finite (integral) over P1 (J)−{∞} over the discrete
(p)
valuation ring W, the ring RN has Krull dimension 2. The tower Y/W is an
étale cover over Y (N )ζN /W for N ≥ 3 prime to p, as Y (N )ζN is a fine modulus
of EΓ (N ),ζN . Thus, the localization RN,(p) of RN at (p) is a normal noetherian
local domain of dimension 1, and it is a discrete valuation ring(e.g., [CRT]
Theorem 11.2). Again by the étaleness of Y (p) /Y (N ), R(p) = N RN,(p) is
(p)
a discrete valuation ring. By the irreducibility of X/F , a W-integral modu-
(p)
lar form of level away from p vanishes on the divisor X/F if and only if its
q-expansion vanishes modulo p by Lemma 6.36 and the remark following the
lemma. Thus, the valuation v0 is the one corresponding to the valuation ring
(p) (p)
R(p) and to the vertical prime divisor X/F ⊂ X/W .

7.1.2 Complex Points of Shimura Curve

We study complex points of the Shimura curve. As already √remarked,

 over
2π −1
C, we identify ζN with the canonical generator ζN = exp N of μN (C).
286 7 Modular Curves as Shimura Variety

1
Write G/Z for the affine algebraic group GL(2) = Spec(Z[a, b, c, d, ad−bc ])
defined over Spec(Z) and Z/Z for its center [see Example 4.58 (5)].
Write
 a b  the homogeneous coordinate of P1 (C) as column vectors [ xy ]. Then
g = c d ∈ G(C) acts on P1 (C) by the usual matrix multiplication:
? @
[ xy ] → g [ xy ] = ax+by
cx+dy .

Since the center Z(C) acts trivially, this action factors through P GL2 (C) =
G(C)/Z(C). Since G(R) leaves P1 (R) stable, G(R) acts on P1 (C) \ P1 (R) ∼ =
C − R, where we identify P1 (C) \ P1 (R) with C − R, sending the homogeneous
coordinate [ xy ] to the inhomogeneous one z = xy ∈ C.
Let H = {z ∈ C|i(z − z) > 0} (the upper half-complex plane); hence,
C − R = H  H for the lower half-plane H (the complex conjugate of H). Thus,
∼
 P (C) \ P (R) = H  H. Tracking down the
1 1
G(R) acts
 a on above isomorphisms,
for g = c d ∈ G(R) and z ∈ C − R, we have g(z) = az+b
b
cz+d . Put

O(R) = {x ∈ G(R)|x · t x = 1} and SO2 (R) = {x ∈ O(R)| det(x) = 1}.

Here x → t x indicate the “transpose” of matrices x. These are closed sub-
groups of G(R) under Euclidean topology. We start with an easy exercise:
Exercise 7.6 Prove
1. G(R)+ := {g ∈ G(R)|g(H) ⊂ H} is equal to {g ∈ G(R)| det(g) > 0}.
2. If g(z) = z for all z ∈ H, then g ∈ Z(R). 
θ sin θ 
3. SO2 (R) = r(θ) := −cos sin θ cos θ θ ∈ [0, 2π) .
√
Lemma 7.7 The map: g → g(i) (i = −1 ∈ H) induces an isomorphism of
real analytic manifolds
G(R)/Z(R)O(R) ∼
= G(R)+ /Z(R)SO2 (R) ∼
= SL2 (R)/SO2 (R) ∼
= H.
In particular, Z(R)SO2 (R) = {g ∈ G(R)+ |g(i) = i}.
Proof. By the exercise above, SO2 (R) = {r(θ)|0 ≤ θ ≤ 2π}, and G(R)+ acts
on H by z → g(z). By a simple computation, we confirm √ r(θ)(i) = i for
θ ∈ R. If g = ac db with det(x) = 1 satisfies g(i) = i (i = −1), we have
ai + b = (ci + d)i = −c + di; hence, a = d and b = −c, resulting in det(g) =
a2 + b2 = 1, and so we can find θ ∈ [0, 2π) such that g = r(θ). Thus, SO2 (R)
is the stabilizer of i ∈ H in SL2 (R). We thus have SL2 (R)/SO2 (R) → H. The
√
map is surjective because gz (i) = z = x + iy for gz = y −1 ( y0 x1 ). By this
fact, for g ∈ SL2 (R), the expression g = gz r(θ) uniquely determines z ∈ H
and θ ∈ [0, 2π); thus, we can take z = x + iy ∈ H and θ as a coordinate
system (x, y, θ) of SL2 (R), and by this choice, the set-theoretic morphism
g → g(i) is an isomorphism SL2 (R)/SO2 (R) ∼ = H of real analytic manifolds.
Since G(R)+ = Z(R)SL2 (R) and G(R) = G(R)+ O(R), we get
G(R)/Z(R)O(R) ∼
= G(R)+ /Z(R)SO2 (R) ∼
= SL2 (R)/SO2 (R)
as Z(R) acts trivially on H.
 7.1 Shimura Curve 287

Here is an adelic version of the above lemma.

Lemma 7.8 For the adele ring A, the procurve Y has a canonical expression
Y (C) = G(Q)\G(A)/Z(Q)Z(R)SO2 (R) = G(Q)\((HH)×G(A(∞) )). Writing
the class in Y (C) of (z, g) ∈ (H  H) × G(A(∞) ) as [z, g], we have
−1
[z, γ (∞) g] = [γ∞ (z), g] for γ ∈ G(Q).
Proof. Recall the topology of GLn (A). We give a profinite (compact) topology
on GLn (Z) = lim GLn (Z/N Z). Thus, U ⊂ GLn (Z)  is an open neighborhood
←−N
  We simply write
of 1 if and only if U ⊃ Un (N ) = (1 + N Mn (Z)) ∩ GLn (Z).
Γ(N ) for U2 (N ) ⊂ G(A). In A , Q ∩ Z
× ×  = Z = {±1}. Thus, Q× is closed
× ×
× × ×
in A (this fact is not true for FA ⊃ F for a number field F with infinite unit
group OF× , for example, a real5quadratic field). Thus, Z(Q) ⊂ Z(A) ⊂ G(A)
is closed, and hence Z(Q) = U⊂G(Z)  U · Z(Q) for open compact subgroups

U ⊂ G(Z). Choose a complete representative set {c} inside Z × for

Cl(N ) := Q× \A× /R× × × ×

+ U1 (N ) = A /Q R+ U1 (N ). (7.1.4)
Note that Cl(N ) = ∼ (Z/N Z) by sending the integer 0 < j < N prime to
×

N to its image in Z× ×
N ⊂ Z (see Exercise 7.9). By the strong approximation
theorem, SL2 (Q) is dense in SL2 (A(∞) ) = SL2 (A)/SL2 (R) (see Exercise 7.9
again), det : G(A) → A× induces G(Q)\G(A)/Γ(N )G(R)+ ∼ = Cl(N ). Indeed,
from density, we see
SL2 (Q)U (N ) = SL2 (A(∞) ) = Ker(det : G(A(∞) → Gm (A(∞) ))).
Thus, we have 4
G(A) = G(Q)tc Γ(N )G(R)+
c∈Cl(N )
a b √
a√ −1+b
for tc = ( 0c 01 ). The projection G(R)+  c d → c −1+d
∈ H induces

G(Q)\G(Q)tc Γ(N )G(R)+ ∼

= (G(Q) ∩ t−1  + ∼
c Γ (N )G(R) tc )\H = Γ (N )\H,

because tc normalizes Γ(N ); so

  
G(Q) ∩ t−1  
c Γ (N )G(R) tc = γ ∈ SL2 (Z) γ ≡ 1 mod N .
+


Since Y (N )ζNc /Q[μN ] (C) = Γ (N )\H and Y (N )/Q (C) = c Y (N )ζNc /Q[μN ] (C),
we have Y (N )/Q (C) = G(Q)\G(A)/Γ(N )Z(Q). Passing to the limit, we get

Y (C) = lim Y (N )(C)

←−
N
,
= G(Q)\((H  H) × G(A(∞) ))/ (Z(Q)Γ(N )) (7.1.5)
N

= G(Q)\((H  H) × G(A(∞) ))/Z(Q),

288 7 Modular Curves as Shimura Variety
5
since N Z(Q)Γ(N ) = Z(Q) inside G(A(∞) ).
For γ ∈ G(Q) ⊂ G(A), by definition, we have [γ∞ (z  ), γ (∞) g] = [z  , g].
Making a variable change, z = γ∞ (z  ), we get [z, γ (∞) g] = [γ∞
−1
(z), g] as in
the lemma.
Exercise 7.9 Prove the following facts:
5 
1. Z(Q) = U⊂G(Z)  U · Z(Q) for open compact subgroups U ⊂ G(Z).

2. (Z/N Z)× ∼ = Cl(N ) := A× /Q× Γ1 (N )R×

+.
3. SL2 (Zp ) is generated by Up = {α(u)|u ∈ Zp } and its transpose t Up =
{t α(u)|u ∈ Zp }, where α(u) is the upper unipotent matrix with upper
right corner entry u.
 [use (3)].
4. SL2 (Z) is dense in SL2 (Z)
5. SL2 (Q) is dense in SL2 (A(∞) ) (strong approximation theorem).
It is standard to identify C − R = H  H with the set of complex structure
on V (R) = V ⊗Q R. For each z ∈ C − R, the basis (z, 1) over R on C gives
rise to the identification V (R) = R2 ∼
= C(i.e., a complex structure) by ( ab ) →
0 −1
−a + bz = (a, b)J1 ( 1 ) for J1 = 1 0 . If we identify V (R) = C as two-
z

dimensional real vector spaces as above, multiplication by u ∈ C× on V (R)

gives rise to an embedding hz : C× → G(R) [having values actually in G(R)+ ].
Recall the group homomorphism ρz : C× → G(R) given in Sect. 1.3.4 by
ρz (u) [ z1 ] = [ zu
u ]. Noting
1ρ 2
1
j(ρz (u), z) = ρz (u) [ z1 ] = [ zu
z (u)(z)
u ], (∗)
 
we have hz (u) = J1 ρz (u)J1−1 = t ριz (u), where j( ac db , z) = cz + d and g ι =
det(g)g −1 . The above identity (∗) implies ρz (u)(z) = z and j(ρz (u), z) = u,
and we see easily from Lemma 7.7 that ρz (C× ) is the stabilizer of z, and hence
Im(hz ) is the stabilizer of −z −1 = J1 (z). Since we have
X = {h : C× → G(R)} ∼
= {Im(h)} ∼
=C−R
by associating z with the stabilizer in G(R) of z, we find

ghz t g −1 = hg−1 (z) for the linear fractional transformation z → g(z),

t

(7.1.6)
as J1 t gJ1−1 = g ι = det(g)g −1 , where h is supposed to be induced from a mor-
phism of group schemes from ResC/R Gm into GL(2)/R . In this way, we identify
H  H with X. The isomorphism H  H ∼ = X sending z to hz is equivariant
under the action of G(R), making the following diagram commutative:
v →gv
V (R) −−−−→ V (R)
⏐ ⏐
⏐
ριg−1 (z) (u)=t hg−1 (z) (u).
⏐ ι
.ρz (u)=t hz (u) (7.1.7)
V (R) −−−−→ V (R).
v →gv
 7.1 Shimura Curve 289

Since any z = x + iy ∈ H (x, y ∈ R) can be written as z = gz (i) for gz =

√ −1 y x
y ( 0 1 ), we conclude from the above exercise that z is the unique fixed
point of t hz (C× ) in H.

7.1.3 Elliptic Curves Up to Isogenies

Recall A(Σ∞) = {x ∈ A|xl = x∞ = 0 for l ∈ Σ} for a set of rational primes

Σ. We fix such a finite set Σ. Let V = Q2 be a column vector space, and
put V (A(Σ∞) ) = VA(Σ∞) := V ⊗Q A(Σ∞) . We fix an alternating pairing Λ0 :
V ∧V ∼ = Q given by Λ0 ((a, b), (a , b )) = a b − ab 
 . Then V (A
(Σ∞)
) is an
A (Σ∞)
-free module of rank 2. Let Z(Σ) = Q ∩ l∈Σ Zl . We consider the
fibered category ELL(Σ) over SCH/Z(Σ) defined by the following data:
(Objects) elliptic curves;

(Morphisms) Hom(Σ) (E/S , E/S ) = HomELL (E, E  ) ⊗Z Z(Σ) .

A linear morphism φ : E → E/S gives rise to an isomorphism in ELL(Σ)
if deg(φ) = 0 and is prime to Σ. Such a morphism is called a prime-to-Σ
isogeny, and if Σ = ∅, we just call a prime-to-∅ isogeny an isogeny.
For an object E/S of ELL(Σ) , we take a maximal point s = Spec(k(s)) ∈ S
and a geometric point s = Spec(k(s)) ∈ S(k(s)) over s, and we con-
(Σ)
sider the Tate module T (Σ) (E) = Ts (E) = limN E[N ](k(s)) prime-to-
←−
Σ, where N runs over all positive integers prime to Σ. We then define
(Σ)
V (Σ) (E) = Vs (E) = T (Σ) (E) ⊗Z A(Σ∞) . The module V (Σ) (E) is an A(Σ∞) -
free module of rank 2 and has an Z  (Σ) -lattice T (Σ)(E), where we have written
 
Z (Σ)
= l∈Σ Zl . Since N is invertible in Z(Σ) , E[N ] is étale over S; so,
through the projection π1 (S, s)  Gal(k(s)/k(s)) (Corollary 4.55), the alge-
(Σ)
braic fundamental group π1 (S, s) naturally acts on E[N ](k(s)), Ts (E), and
(Σ)
Vs (E).
A full-level structure prime to Σ on A is an isomorphism η (Σ) : V (A(Σ∞) ) ∼ =
(Σ)
Vs (E) = Vs (E) ⊗A A (Σ∞)
of A (Σ∞)
-modules, picking a geometric point s in
each connected component of S. Here Σ is a set of rational primes containing
all primes not invertible over  the base S (often Σ = ∅ or is made of a single
prime p). We write ZΣ = l∈Σ Zl . When Σ = ∅, we write η (resp., ELLQ )
instead of η (∅) [resp., ELL(∅) ]. When Σ = {p}, as before, we write η (p) for
η (Σ) and ELL(p) for ELL(Σ) .
Since we can restrict things to each connected component, we may assume
that S is connected. Take the fundamental functor Fs as in Remark 4.52,
and fix a fundamental pro-object P = {Pi }i∈I in item 3 of Sect. 4.2.3. Let
ϕ = limi ϕi be a universal element in limi Fs (Pi ). Fix an elliptic curve E/S .
←− ←−
Consider the small étale site Set over S (see Sect. 4.1.10). Take the Galois
category C ⊂ Set of all connected coverings of S in Set as in Remark 4.52.

The sheaf of sets LV (Σ) whose values at a connected covering S/S in C

with the unique φi : Pi → S (see Sect. 4.2.3 item 3) are given by the
290 7 Modular Curves as Shimura Variety

set H 0 (π1 (S  , s ), Isom(V (A(Σ∞) ), Vs (E/S  ))) [of π1 (S  , s )-fixed points in
(Σ)

Isom(V (A(Σ∞) ), Vs (E/S  ))], where s is a unique geometric point of S  such
(Σ)

that s = Fs (φi )(ϕi ). Here Isom(V (A(Σ∞) ), Vs (E/S  )) is the set of A(Σ∞) -
(Σ)

(Σ)
linear isomorphisms of the V (A(Σ∞) ) onto Vs (E/S  ). This is the sheaf of
level structures. Pick η (Σ) ∈ Isom(V (A(Σ∞) ), Vs (E/S  )). Then γ ∈ π1 (S  , s )
(Σ)

(Σ)
[resp., g ∈ G(A(Σ∞) )] acts on η (Σ) through its action on Vs (E/S  )) [resp.,
the natural left action of G(A(Σ∞) ) on V (A(Σ∞) )].

Lemma 7.10 The right action of G(A(Σ∞) ) and the action of π1 (S  , s ) com-
mute, and the definition of the sheaf is independent of the choice of s .

Proof. Clearly, S  → Isom(V (A(Σ∞) ), Vs (E/S  )) is a local functor (hence a

(Σ)

sheaf of sets). Then g ∈ G(A(Σ∞) ) acts through V (A(Σ∞) ) as η (Σ) → η (Σ) ◦ g.

On the other hand, E[N ]/S  for N invertible is an étale group scheme over
S  ; so the fundamental group π1 (S  , s ) acts on its fiber E[N ]s at s and on
(Σ)
its projective limit Vs (E/S  ). Thus, the action of the fundamental group is
(Σ)
through the target Vs (E/S  ); so they commute.
We consider the level structures η : VA(∞) ∼ = Vs (A) and η (p) : VA(p∞) ∼
=
(p)
Vs (A). An element g ∈ G(A) acts on η [and on η ] by η → η ◦ g. In
(p)

particular, σ ◦ η with σ ∈ π1 (S, s) can be written as η ◦ ks (σ) for a unique

ks (σ) ∈ G(A). For a closed subgroup Γ ⊂ G(A(∞) ), the level-Γ structure
η = η Γ := η ◦ Γ is defined over S if σ ◦ η = η ◦ ks (σ), with ks (σ) ∈ Γ
for all σ ∈ π1 (S, s) for each chosen s. Changing s to another point t in the
same connected component gives isomorphisms (called paths) ιs,t : π1 (S, s) ∼ =
π1 (S, t) and ιTs,t : Ts (A) ∼ = Tt (A), which satisfy the compatibility condition
ιTs,t (σ(x)) = ιs,t (σ)(ιTs,t (x)) (see Sect. 4.2 in the text and [ECH] Sect. I.5); so
if η is defined over S, we have

ιTs,t (η ◦ ks (σ)v) = ιTs,t (σ ◦ η(v)) = ιs,t (σ) ◦ (ιTs,t (η(v))).

Thus, giving η defined over S at s is equivalent to giving ιTs,t ◦ η again defined

over S at t, and so we may forget about the choice s.  

For a closed subgroup Γ ⊂ G(A(∞) ) with G(ZΣ ) × Γ (Σ) , we consider the

quotient sheaf LV (Σ) /Γ , which is the sheafication of the presheaf

S/S → {Γ (Σ)-orbits fixed by π1 (S  , s ) of η (Σ) }

for the right action η (Σ) → η (Σ) ◦ u [u ∈ Γ (Σ) ]. Here η (Σ) runs over
Isom(V (A(Σ∞) ), Vs (E/S  )), and if S  is not connected, the right-hand side is
(Σ)

the disjoint union of the sets (each defined for each connected component). We
define a level-Γ structure η (Σ) over S to be a section η (Σ) ∈ (LV (Σ) /Γ )(S).
When Γ is sufficiently small (i.e., a so-called neat subgroup, for example,
 7.1 Shimura Curve 291

Γ = Γ(N ) with N ≥ 3 or Γ = Γ1 (N ) with N ≥ 4), by Theorem 6.6, we have

AutGSCH (E, η) = {idE } for all possible pairs (E, η)/S over all S/Q . Then
we do not need to take sheafication; so η is just a Γ -orbit of η (Σ) . In [PAF]
(4.25) in 4.2.1, η (Σ) is defined to be the Γ -orbit η (Σ) ◦ Γ as a global section of
LV (Σ) /Γ over S. Note here that a literal Γ -orbit for nonneat Γ may not have
necessary local functoriality, and the correct definition of the level-Γ structure
for nonneat Γ has to be this sheaf-theoretic orbit. All the assertions in [PAF]
Chap. 4 are valid, taking sheaf-theoretic orbits even for nonneat Γ . For many
instances, we assume Γ to be open compact.
We consider the following functor from SCH/Q into SET S:
1 2
EΓQ (S) = (E, η Γ )/S ,

where η Γ is a level-Γ structure as defined above for Σ = ∅, and [ ] = { }/ = ∼

indicates the set of isomorphism classes in ELLQ of the objects defined over
S in the brackets. A Q-linear morphism φ ∈ HomQ 
F (E, E ) is an isomorphism
  
between pairs (E, η)/S and (E , η )/S if φ ◦ η = η . Pairs (E, η)/S giving rise
to an element EΓQ (S) are often called a test object of level Γ .
We restate Theorem 7.3 in a slightly different fashion.
Theorem 7.11 The Shimura curve Sh/Q represents the functor E1Q over Q
for the trivial subgroup 1 made of the identity element of G(A(∞) ).
This was stated in a basically equivalent but possibly slightly different way
and proved in [Sh3], [IAT], and [D3] 4.16–21. Through the action of G(A(∞) )
2
on A(∞) , g ∈ G(A(∞) ) acts on the level structure by η → η ◦ g and hence
on the variety Sh from the right. If Γ is open and sufficiently small [so that
Aut((E, η)/S ) = {1} for all test objects (E, η)/S ], by definition, we have, as
a geometric étale quotient (cf. [GME] Proposition 1.8.4), ShΓ = (Sh/Γ )/Q
[whose complex points are given by G(Q)\(X × G(A(∞) ))/Γ ] represents EΓQ
over Q. This point will be made clear in the proof.
We now give an outline of the proof of the representability, reducing it to
the representability of a functor classifying elliptic curves up to isomorphisms,
not up to isogenies.

Proof. Since E1Q (S) = limΓ EΓQ (S) = limN E Q (S) for Γ running over open
←− ←− Γ (N )
compact subgroups with the obvious projection (E, η Γ  ) → (E, η Γ ) if Γ  ⊂ Γ ,
we study EΓQ for (sufficiently small) open compact subgroups Γ .
Let G1 = SL(2) ⊂ G and Gad = G/Z = P GL(2). First, note that the
images of gΓ g −1 ∩ G1 (Q) and gΓ g −1 ∩ G(Q)+ in Gad (Q) are equal, where
G(R)+ = {x ∈ G(R)| det(x) > 0} and G(Q)+ = G(Q) ∩ G(R)+ . Indeed,
if γ = gΓ g −1 ∩ G(Q)+ , det(γ) ∈ Q× ×  × = {1}; hence,
+ ∩ det(Γ ) ⊂ Q+ ∩ Z
γ ∈ SL2 (Z). So, by Lemma 7.8, ShΓ (C) can be embedded into ShΓ1 (C) for
Γ1 = G1 (A(∞) ) ∩ Γ . This also follows from the fact that the moduli problem
with respect to Γ1 is neat without having any nontrivial automorphisms. Let
292 7 Modular Curves as Shimura Variety

L ⊂ V be a lattice. We may assume that L = a∗ ⊕ b for a pair (a, b) of

two fractional ideals in Q, where a∗ = a−1 [but we regard a∗ as the dual
of a by the natural pairing (x, y) → xy on Q × Q, hence the notation a∗
rather than a−1 ]. Since all ideals of Z are principal, we hereafter assume that
a = b = Z, but we keep this notation (a, b) to distinguish the left/right
factor. For each point hz ∈ X, we have a unique point z ∈ (C − R) fixed by
hz (C× ) (in this way, we have identified H with the connected component X+
of X containing hi ; see Sect. 7.1.2). By changing the identification V = Q2 ,
we may assume that z ∈ H. The action of hz (C× ) on VR = V ⊗Q R gives a
structure of a complex vector space of dimension  1 on VR ; that is, VR = C via
(a, b) → −a + bz = (a, b)J1 · t (z, 1) for J1 = 01 −10 . Then L ⊂ V gives rise
∗
to the lattice Lz = a + bz (the image of L in C = VR ). Set L  = L ⊗Z Z  ⊂
(∞)
VA = V ⊗Q A(∞) , and define an elliptic curve Ez/C with Ez (C) = C/Lz .
Then we have T (Ez ) = L,  which induces ηz : VA(∞) ∼ = V (Ez ) and gives rise to
a level-N structure φN : N −1 L/L ∼ = Ez [N ] for any N > 0.
×
Define Cl(Γ ) = A(∞) / det(Γ )Q× ∼ × × ×
+ = A /Q det(Γ )R+ , which is the
quotient of Cl(N ) if Γ ⊃ Γ(N ) and hence is a finite group if Γ is open.
Let Cl(N ) = (Z/N Z)× , which is naturally a quotient of Z  × . Let Z(1)
 =

limN μN (Q), and identify it with Z = limN Z/N Z by Z/N Z  m ↔ ζN for m
←−   ←−
ζN := exp 2πi N for all positive integers N . We set Cl(N ) = μN and define
μΓ by the following commutative diagram:
× 
Z −−−−→ ClΓ
⏐ ⏐
⏐
.
⏐
.
 × −−−−→ μΓ ,
Z(1)


and write ζΓ for the “standard generator” of the group μΓ . On μΓ and on


Z(1), the absolute Galois group acts by the natural (nontrivial) Galois action,
and (Z/N Z) × μN  (m, ζ) → ζ m ∈ μN gives rise to a natural action of Cl(Γ )
on μΓ (we write this action multiplicatively as ζ → ζ z ). We fix a complete
×
representative set {c ∈ A(∞) } for Cl(Γ ) and put c = cZ  ∩ Q. Though this is
 ×
not necessary, we often assume that c ∈ Z ; and under this choice, c = Z, and
we may assume that a = b = Z and Γ ⊂ G(Z).  Thus, we take L = Z ⊕ Z ⊂ V .
Q
For each isogeny class of (E, η)/S ∈ EΓ (S), we functorially find a unique
 =
test object (E  , η  )/S representing a unique class in Cl(Γ ) such that η  (L)
T (E). Take a complex point s : Spec(C) → S with fiber Es = E ×S s and
consider π1 (Es , 0s ) for 0s = 0Es . Note that Es (C) = C/π for a lattice π ⊂ C.
Since C is simply connected, π1top (Es (C), 0s ) = π; hence,
 = lim N −1 π/π = lim E[N ](k(s)) = T (Es ). (7.1.8)
 = π ⊗Z Z
π1 (Es , 0s ) = π
←− ←−
N N


Thus, for any Z-lattice M of V (E) = T (Es ) ⊗Z Q, we have a unique elliptic
curve EM/S and an isogeny f : EM → E such that π(f ) ⊗ Q : V (EM ) →
 7.1 Shimura Curve 293

V (E), sending T (EM ) = π1 (EM , 0) to M . Apply this to M = η(L)  and write

EM as E  . We have the natural exact sequence π1 (Es , 0s ) → π1 (E, 0) 
π1 (S, s) as in Theorem 4.54; thus, we have the conjugate action of π1 (S, s)
on π1 (Es , 0s ), which is compatible with π(f ) as E and η  (L)  are invariant

under the action. Thus, E descends to S, and we get the desired object
(E  , η  )/S . The uniqueness of this test objects follows from the triviality of
the automorphism group AutS (E  , η  ). See [PAF] pages 135–136 for a slightly
different argument of the construction of (E  , η  )/S .
We now have a unique test object (E  , η  )/S with η  (L) = T (E  ). If
two such choices are isogenous, the isogeny between them has to be an iso-
morphism. Thus, we get an isomorphism of functors: EΓQ (S) ∼
 = EΓ (S) :=

c∈Cl(Γ ) EΓ,c (S), where
/  0

EΓ,c  = T (E  ), η  (1, 0), η  (0, 1)E  = ζ c ∈ μΓ / ∼
(S) = (E  , η  )/S  η  (L) =.
Γ


Here ·, ·E  : T (E  ) × T (E  ) → Z(1)( μΓ ) is the projective limit of the
self-duality pairing E [N ] × E [N ] → μN , and ∼
 
= is the isomorphism (not
an isogeny). As we now see, following the argument we presented earlier,

this functor EΓ,c is represented by a scheme Y (c, Γ ) over a specific abelian
extension kΓ of Q dependent on Γ (see below for a description of kΓ for some
specific Γ ’s). See [PAF] Sect. 4.2 for this process for more general families of
abelian varieties (of higher dimension).
Recall the principal congruence subgroup of level N

Γ(N ) = Ker(GL(L)
  GL(L/N L)) = Ker(GL2 (Z)
  GL2 (Z/N Z))

of G(A(∞) ) for an integer N > 0. Having a level-Γ(N ) structure η  is equiv-

alent to having a level-Γ (N ) structure φN := η  mod Γ(N ); in other words,
giving η  is equivalent to giving an isomorphism of locally free group schemes
η
φN : (Z/N Z)2 ∼
= N −1 L/L ∼
= E  [N ].

Thus, EΓ(N ),c is the standard modulifunctor classifying the level structure for
the principal congruence subgroup Γ(N ):
  
φ : (Z/N Z)2 ∼
= E[N ]
EΓ(N ),c (S) = EΓ (N ),ζNc (S) = (E, φ)/S  /∼
=.
and φ(1, 0), φ(0, 1) = ζN
c

As we have verified in Sect. 6.2.10, this functor is represented by a geometri-

cally irreducible affine curve Y (N )ζNc /Q[μN ] . Define c(φ) ∈ (Z/N Z)× = Cl(N )
c(φ)
by φ(1, 0), φ(0, 1) = ζN . Extending this definition, for a level-Γ test object
(E, η), taking N so that Γ ⊃ Γ(N ), we define c(η) to be the image of (c(η)
mod Γ(N )) in Cl(Γ ).
294 7 Modular Curves as Shimura Variety

Over kΓ (N ) = Q[μN ], the component Y (N )ζNc of ShΓ(N ) represents the

functor EΓ (N ),c . This irreducible component in turn corresponds to the com-

ponent G(Q)\ X × G(Q)tc Γ(N ) /Γ(N ) ⊂ ShΓ(N ) (C) for tc = ( 0c 01 ). The
choice ζ = ζN gives rise to the identification Q[μN ] = Q[X]/(ΦN (X))
with Q[ζN ] for the cyclotomic polynomial ΦN (X), and an automorphism
σ ∈ Gal(Q[ζ]/Q) changes the identification by ζ → ζ σ , whose action is in-
duced by φN → φN ◦ ( 0c 01 ) for a unit c ∈ Z  × such that ζ σ = ζ c . In other
words, the action of ( 0 1 ) ∈ G(A ) on Sh/Q brings Y (N )ζN /Q[ζ] ⊂ ShΓ(N )
c 0 (∞)

to its σ-conjugate Y (N )σζN = Y (N )ζNσ /Q[ζ] in ShΓ(N )/Q .

Summing up all these, we have
4
EΓ(N ) = EΓ(N ),c over SCH/Q[μN ] , (7.1.9)
c∈Cl(N )

which implies
4
ShΓ(N )/Q[μN ] = Y (N )ζNc over Q[μN ]. (7.1.10)
c∈Cl(N )

Since det(tc ) = c, this corresponds to the decomposition

4
G(A(∞) ) = G(Q)tc Γ(N ).
c∈Cl(N )

Since the Galois group permutes Y (N )ζ , the right-hand side of (7.1.10) de-
scends to the base Q, and we obtain the model ShΓ(N ) over Q, because Y (N )
is a quasi-projective normal curve (if N ≥ 3). Since a normal curve over a
field is smooth (cf. Corollary 2.11), Y (N ) (with N ≥ 3) is smooth over Q.
Since E1Q (S) = limN EΓQ(N ) (S), the procurve Sh/Q = limN Y (N )/Q represents
←− ←−
E1Q , and also Sh/Q is smooth. This finishes the proof of the theorem. We will
give a more direct proof of smoothness below in the proof of Theorem 7.13.

Remark 7.12 The set ℘(C) of isomorphism classes of elliptic curves over C
with differential is in one-to-one onto correspondence to the set of lattices Lat
in C as seen in Sect. 2.3.3. The set E1Q (C) is a union of G(A(∞) )-orbits each
isomorphic to
9 = {L
Lat  = Zw
 1 + Zw
 2 |(w1 , w2 ) is a basis of (A(∞) )2 over A(∞) }.

To describe this fact in a more down-to-earth manner, pick (E, η)/C ∈ E1Q (C)
and write E(C) = C/Lw for Lw = Zw1,∞ + Zw2,∞ with a basis w =
 = lim L/N L, which has a basis w = (w1 , w2 )
(w1,∞ , w2,∞ ) of C over R. Let L
←−N
 induced by (w1,∞ , w2,∞ ). Since E[N ] ∼
over Z = L/N L canonically, we have
T (E) = L  = lim L/N L; thus, we get ηw : VA(∞)  (a, b) → aw1 + bw2 ∈
←−N
T (E). Then we have a bijection
 7.1 Shimura Curve 295

9
{(E, ηw ◦ g)|g ∈ G(A(∞) )} ↔ Lat
 This explains well why the action
given by ηw ◦ g → (ηw ◦ g)−1 (T (E)) = g −1 L.
9
η → η ◦ g is interpreted as the action of g −1 on Lat.

7.1.4 Integral Shimura Curve

(p)
We fix a rational prime p. To construct a canonical scheme Sh/Z(p) with
∼ ShGL (Z ) , we use the functor E (p) , taking Σ = {p}.
Sh(p) ×Spec(Z(p) ) Q = 2 p Γ
This functor was studied by Kottwitz in [Ko] for general Shimura varieties of
PEL type (though for modular curves, it is implicit in the work of Shimura and
Igusa). A closed subgroup Γ ⊂ G(A(∞) ) is maximal at p if Γ = G(Zp ) × Γ (p) .
Here we have written Γ (p) = {x ∈ Γ |xp = 1}. In this section, we suppose that
Γ is maximal at p.
Consider the following fibered category ELL(p) over SCH/Z(p) given by
(Objects) elliptic curves;
(Morphisms) HomELL(p) (E, E  ) = HomELL (E, E  ) ⊗Z Z(p) .
This means that to classify test objects, we now allow only isogenies with
degree prime to p (called “prime-to-p isogenies”).
Recall the lattice L = Z2 ⊂ V = Q2 ; hence, Λ0 (L ∧ L) = Z. Consider test
objects (E, η (p) )/S . The level-Γ structure η (p) is the Γ -orbit in LV (p) /Γ (in
the sheaf-theoretic sense as before) of an A(p∞) -linear isomorphism

η (p) : V (A(p∞) ) = V ⊗Q A(p∞) ∼

= V (p) (E) = T (E) ⊗Z A(p∞) ,

which is supposed to satisfy the following requirement:

·,·
T (p) (E) ∧ T (p) (E) −−→ A(p∞)
×
is proportional to Λ0 : V ∧ V ∼
= Q up to a scalar c(η (p) ) in A(p∞) ; in short,
we have

η (p) ((1, 0)), η (p) ((0, 1)) = c(η (p) )Λ0 ((1, 0), (0, 1)) = c(η (p) ).

Here ·, · : T (p) E × T (p) E → Z (p) (1) is the limit bilinear form lim ·, ·N
←−N,pN
 
of the self-duality pairing ·, ·N on E[N ]. Identifying Z with Z(1), taking
1 ∈ Z  to lim ζN for ζN = exp( 2πi ), we consider ·, · to have values in
←−N N
 (p) ⊂ A(p∞) . Then we consider the following functor from Z(p) -schemes into
Z
SET S.
? @
(p)
EΓ (S) = (E, η (p) )/S . (7.1.11)

Here [·] indicates isomorphism classes in ELL(p) (so, in the classical language,
“prime-to-p isogeny classes”).
296 7 Modular Curves as Shimura Variety
(p)
Theorem 7.13 The p-integral Shimura curve Sh/Z(p) represents the functor
(p)
EG(Zp ) over Z(p) for the closed subgroup G(Zp ) of G(A(∞) ). The procurve
(p)
Sh/Z(p) is smooth over Z(p) and satisfies the following canonical identities:

Sh/Z(p) = lim Y (N )/Z(p) , Sh/Z(p) ×Spec(Z(p) ) Q ∼

(p) (p)
←− = ShG(Zp) = ←
lim Y (N )/Q .
−
N,pN N,pN

Proof. Let Z× × ×
(p)+ = Zp ∩ Q+ . As long as Γ is maximal at p, we can iden-
× ×
tify Cl(Γ ) = A(∞) /Q× + det(Γ ) with A
(p∞)
/Z×
(p)+ det(Γ
(p)
). Thus, we may
 (p) ×
choose the representative set {c} in (Z ) (and hence we may assume the
self-duality of L at p). By the same process of bringing EΓQ isomorphically to

EΓ/Q [for an open, compact subgroup Γ ⊂ G(Z)  maximal at p], the functor

is equivalent to EΓ/Z(p) defined over SCH/Z(p) ; thus, it is representable over
(p) 
Z(p) , giving a canonical model ShΓ/Z(p) over Z(p) . The functor EΓ/Z (p)
is a

disjoint union of functors EΓ,c indexed by c ∈ Cl(Γ ), where
?  @

EΓ,c (S) = (E, η (p) )/S η (p) (L)
 = T (p) (Es ) and c(η (p) ) ≡ c mod det(Γ ) .
(7.1.12)
Since η (p) ∈ (LV (p) /Γ )(S), at the geometric point s ∈ S, we have a small
étale neighborhood U  s such that η (p) is the image of a full prime-to-p-level
 c ) := η (p) (L
structure η (p) over U , and we define η (p) (L  c ) [which is independent

of the choice of η because Γ · L = L].
(p) 
(p)
A subtle point is to relate Sh/Z(p) to Sh/Q . Since the above process of iden-
tifying functors EΓQ(N ) and EΓ (N ) ends up with the functor EΓ (N ) independent
(p)

of p [which is represented by Y (N )/Z(p) ] as long as N is prime to p, we con-

clude that Sh(p) = limN,pN Y (N )/Z(p) and Sh(p) ⊗Z(p) Q ∼ = (Sh/G(Zp )). Since
←−
  ∼ 
Q has a strict class number 1, we have L = L for any other lattice L ⊂ V .
Therefore, we were able to fix the standard one L.
In the Hilbert modular cases, if the base field has nontrivial ideal classes,
it is essential to allow all isomorphism classes of standard lattices L to de-
fine a functor like EΓ (N ) classifying abelian varieties of GL(2) type over an
order of the base totally real field. This problem is more acute at p because
over Z(p) , Tp (E) does not determine Lp . Over Fp or Fp , the Tp E has rank
lower than 2 = rank L. The self-duality at p of L has to be imposed to over-
come this point (see the argument just above Remark 7.4 in Sect. 7.1.5 of
[PAF]). Writing G1 for the derived group (i.e., the commutator subgroup) of
G, we also implicitly used the density of G1 (Q) = SL2 (Q) in G1 (A(∞) ) (the
strong approximation theorem: Exercise 7.9) in order to know that geometri-
(p)
cally irreducible components of ShΓ are indexed by the class group Cl(Γ ):
π0 (ShΓ/Q ) ∼
(p)
= Cl(Γ ).
 7.1 Shimura Curve 297
(p)
We now give a proof of the smoothness of Sh/Z(p) , assuming p ≥ 5 (and
after that, we explain how to do it when p = 2, 3). To see the flatness of
X := ShΓ(N ) over Z(p) , we look at the functor ℘Γ (N ) , which is represented
by MΓ (N ) . Since MΓ (N ) is a closed subscheme of E[N ] ×M1 E[N ] étale over
M1 by the construction in Sect. 6.2.10 and M1 is smooth over Z[ 16 ], MΓ (N )
is smooth over Z(p) . As seen before, Gm acts on MΓ (N ) , and Y (N )ζN =
Proj(RΓ (N ) ) = MΓ (N ) /Gm ; so Y (N )ζN = Spec(A) for the degree-0 compo-
nent A of RΓ (N ) . The action of Gm is free if N ≥ 3 as Aut((E, φN )/R ) = {1}
for all test objects (E, φN )/R of level Γ (N ) (see [GME] Sect. 2.6.4). Thus,
MΓ (N ) is a principal homogeneous space over Y (N )ζN if N ≥ 3. If Γ(N ) ⊂
√
Γ(24), t = 12 Δ is actually a unit of degree 1 in RΓ (N ) , and hence RΓ (N ) =
A[t, t−1 ] = A ⊗Z Z[t, t−1 ], which shows that MΓ (N ) = Gm × Y (N )ζN . This
shows that Y (N )ζN is smooth over Z[ 6N 1
, μN ], since MΓ (N )/MΓ (1)/Z[μ , 1 ] is
N 6N

étale and MΓ (1)/Z[μN , 6N

1
] is smooth. Since Z[ 6N , μN ]/Z[ 6N
1
1
] is étale, Y (N ) =

N is smooth over Z[ 6N ] and hence smooth

1
ShΓ(N ) = ResZ[ 6N
1 1 Y (N )ζ
,μN ]/Z[ 6N ]
over Z(p) . Then Sh(p) = limN,pN,24|N ShΓ(N )/Z(p) is smooth over Z(p) .
←−
Now we give a sketch of the proof when p = 2, 3. By an explicit construction
of the moduli Y (lq) of EΓ (lq) already used in the proof of Corollary 6.16
for sufficiently large two distinct primes l, q different from p, we know that
Y := Y (lq) is smooth over Z(p) . Then we can check in the same manner of
the proof of representability of ℘Γ (N ) in Sect. 6.2.10 that Y (lqN ) is a closed
subscheme in E[lqN ] ×Y E[lqN ] over Z[ lqN 1
] for the universal elliptic curve
E over Y . Then the above argument works again, and we get smoothness of
ShΓ(lqN ) over Z(p) if p  lqN . Thus, the limit Sh(p) = limN,pN ShΓ(lqN )/Z(p)
←−
is smooth over Z(p) .
There is a different argument. We remark that for a local Artinian Z(p) -
algebra R with finite residue field, any test object (E0 , ω0 ) over R/I (for an
R-ideal I) can be lifted to a test object (E, ω) over R (by Corollary 6.17).
If E0 has a Γ (N )-level structure φ0 for N prime to p, φ0 lifts uniquely
to φ : (Z/N Z)2 ∼ = E[N ] by the étaleness of E[N ]/R . Further, if N ≥ 3,
Aut((E, φN )/R ) is trivial; hence, the lift of φN is unique.
Pick a maximal point x0 of X := ShΓ(N ) . Consider the stalk OX,x0 with
maximal ideal m0 , which is a local ring over Z(p) with finite residue field k(x0 ).
By the definition of smoothness (taking flatness for granted), we need to show
that for any square-zero ideal I of an Artinian local ring R over Z(p) , any Z(p) -
algebra homomorphism ϕ0 : OX,x0 → R/I lifts to ϕ : OX,x0 → R. The map ϕ0
induces ϕ0 : Spec(R/I) → Spec(OX,x0 ) ⊂ ShΓ(N ) . Take (E0 , φ0 ) = ϕ∗0 (E, φ)
for the universal test object (E, φ)/ShΓ (N ) . Then we can lift (E0 , φ0 ) to (E, φ)
over R, which induces ϕ : Spec(R) → ShΓ(N ) by the universality such that
ϕ∗ (E, φ) ∼= (E, φ)/R . Since (E, φ)/R is the lift of (E0 , φ0 )/(R/I) , φ mod I =
φ0 , and hence ϕ factors through Spec(OX,x0 ), getting the corresponding ϕ :
OX,x0 → R, which lifts ϕ0 . Thus, by definition, ShΓ(N ) and its limit Sh(p)
298 7 Modular Curves as Shimura Variety

are smooth over Zp and hence over Z(p) (as smoothness only depends on the
completion).

Example 7.14 Let us return to the setting of Sect. 6.4; thus, we start with
an imaginary quadratic field M in which the prime p splits into (p) = pp,
with p corresponding to ip . For each lattice a ⊂ M , we made a tuple in
(6.4.4) x(a)/W = (E(a), η (p) :  a(p) ∼
= T (p) E(a)) of a CM elliptic curve E(a)
defined over W and level structures. Fixing a basis of  a(p) over Z (p) and
hence identifying  a ∼
(p)
= (Z  ) , we get a W-point (E(a), η )/W of Sh(p) (W)
(p) 2 (p)

for η (p) in (6.4.4). This is an example of a CM point. After specifying the

identification  a(p) ∼
= (Z (p) )2 , we often write this point as x(a) ∈ Sh(p) (W). If
we add the information of a p-adic level structure η ◦ : μp∞ → E(a)[p∞ ] and
η et : Qp /Zp ∼
= E(a)[p∞ ]et in Definition 6.57, we get a point, again written as
x(a), of the Igusa tower I over Sh(p) we describe in the following Sect. 7.2.

7.1.5 Finite-Level Structure

Slightly more generally, we take a discrete valuation ring W flat over Z(p)
 W is not necessarily equal to the dis-
as a base ring B. Hence, hereafter
crete valuation ring i−1
p (W ∩ ip ( pN Q[μN ])). We consider the base change
(p) (p)
ShΓ/W = Sh/Z(p) ×Spec(Z(p) ) Spec(W). Consider the following open compact
subgroups for an integer N ≥ 1:
/   0
Γ0 (N ) =  c ∈ N Z
a b ∈ G(Z)
c d

/   0
Γ1 (N ) = 
0 (N )d − 1 ∈ N Z
a b ∈ Γ
c d
/   0 (7.1.13)
Γ11 (N ) = 
1 (N )a − 1 ∈ N Z
a b ∈ Γ
c d
/   0
Γ(N ) = 1 (N )b ∈ N Z
a b ∈ Γ
c d 1
 .

We write Γ for Γj (N ) (j = 0, 1) or Γ11 (N ). Then we consider the functor

(p)
EΓ . We assume that W contains a primitive N th root. We suppose that N
is prime to p [hence, Γj (N ) is maximal at p]. Note that Cl(Γ ) = {1} for

Γ = Γj (N ). Then the disjoint union c∈Cl(Γ ) as in the previous section is
(p) ∼ 
over a singleton for such Γ , and we find EΓ = EΓ,1 if Γ = Γj (N ) (j = 0, 1),
(p) ∼ 
and EΓ = c∈(Z/N Z)× EΓ,c for Γ = Γ1 (N ). Thus, Yj (N ) = Y (Γj (N )) is
 1

geometrically irreducible for j = 0, 1. The functor EΓ assigns to each W-

algebra R the set of all isomorphism classes of test objects (E, φN )/R defined
over R, where φN is the following data:
• an exact sequence μN → E[N ]  Z/N over R if Γ = Γ11 (N );
• an embedding φN : μN/R → E[N ]/R if Γ = Γ1 (N );
 7.1 Shimura Curve 299

• a locally free group subscheme in E[N ] isomorphic to μN locally over ET/R

if Γ = Γ0 (N ).
As before, identify Z/N Z with μN/W by 1 → ζN , and regard the self-
duality pairing ·, · : E[N ] × E[N ] → μN as an isomorphism of group
schemes ·, · : E[N ] ∧ E[N ] ∼ = Z/N Z(1). Pick a level-Γ11 (N ) structure
φN : μN → E[N ]  Z/N . Then the image φN (ζN ) of ζN ∈ μN in E[N ]
and any choice of φN (1) ∈ E[N ] projecting down to 1 ∈ Z/N Z give rise to a
unique φN (ζN ), φN (1) ∈ Z/N Z× (1) as μN , μN  = 0.
Exercise 7.15 Prove that

φN (ζN ), x = φN (ζN ), x 

for any x, x ∈ E[N ] projecting down to 1 ∈ Z/N Z for a given exact sequence
φN : μN → E[N ]  Z/N (of finite flat group schemes).
Then we have the following expression of EΓ1 (N ),c :
1

1  2
EΓ1 (N ),c (R) = (E, φN : μN → E[N ]  Z/N Z)/R φN (ζN ), φN (1) = ζN
c
.
1
(7.1.14)
Exercise 7.16 Verify the expression (7.1.14) if N ≥ 4.
 =
If N ≥ 4, Aut((E, φN )/R ) = {1} for (E, φN ) ∈ EΓ1 (N ),c (R) [so if η (p) (L)
1

T (p) (E), η (p) is the really the orbit η (p) ◦ Γ11 (N ) before sheafication of
LV /Γ11 (N )]. This point is essential to answer the exercise above.
By this triviality of the automorphism of level-Γ11 (N ) test objects, EΓ1 (N ),c
1
is representable by Y (Γ11 (N ))ζNc /W (if p  N ≥ 4). In any case, if p  N , we

have a coarse moduli scheme Y (Γ )/W for EΓ,c with respect to the above three
choices of Γ , since we have Y (Γ ) = Y (N )/Γ , where γ ∈ Γ acts on level-Γ(N )
test objects (E, φN : (Z/N Z)2 ∼ = E[N ]) by φN → φN ◦ γ for the image γ of γ
in G(Z/N Z) (see [GME] Sect. 2.6).
Let TG ⊂ G be the diagonal torus given by
  
TG (R) = ( a0 d0 ) ∈ G(R)a, d ∈ Gm (R) .

By definition, TG ∼ = G2m by sending ( a0 d0 ) to (a, d) ∈ G2m . Often we write

t b
(a, d) for the diagonal matrix ( a0 0d ). On (E, φN : μN − → E[N ] −→ Z/N )/R ∈
 act by (a, d)(E, φN ) = (E, φ ), where φ :
EΓ1 (N ) (R), let (a, d) ∈ TG (Z) N N
1
t◦a d◦b
μN −−→ E[N ] −−→ Z/N with t◦a(ζ) = t(ζ a ) and d◦b(x) = d(b(x)). This action
 transitively
sends EΓ1 (N ),c isomorphically into EΓ1 (N ),adc , and hence TG (Z)
1 1
(p)
permutes geometrically irreducible components of ShΓ1 (N )/W .
1
300 7 Modular Curves as Shimura Variety

7.1.6 Adelic Action on Shimura Curves

We can let g ∈ G(A(∞) ) act on E1Q (R) by

(E, η)/R → (E, η ◦ g)/R ,

which gives a right action of G(A(∞) ) on the functor. This action obvi-
ously extends the action of u ∈ Γ ⊂ G(Z)  (defined earlier) to G(A(∞) ). By
Lemma 4.17, this induces a right action of G(A(∞) ) on Sh/Q . If g ∈ G(A(p∞) ),
(p)
the same action as above, (E, η (p) ) → (E, η (p) ◦ g), is well defined on E/W and
(p)
therefore extends to a p-integral action on Sh/W .
For a general open compact subgroup Γ ⊂ G(A(∞) ) maximal at p [not
 we define Y (Γ ) = Sh(p)
necessarily in G(Z)], Γ/Z(p) by the (geometric) quotient
Sh(p) /Γ , as Γ acts on Sh(p) through a constant finite group (see [GME] 1.8.3
for geometric quotients). Over Q, for any open compact subgroup Γ , we have
ShΓ/Q = Sh/Γ . Let Σ = ∅ or Σ = {p}.
(Σ)
Lemma 7.17 If Γ is sufficiently small with trivial Aut((E, η Γ )) for all test
(Σ) (Σ)
objects (E, η Γ ), Sh(Σ) is étale over ShΓ , and each geometric fiber of Sh(Σ)
(Σ)
over ShΓ is isomorphic to the group Γ .
We give a proof assuming 16 ∈ W [general cases can be treated using Y (lq)
for two primes l and q as we have done many times now].

Proof. Since the proof is the same for any choice of Σ, we assume Σ = ∅.
Since we have a commutative diagram
∼
Sh −−−−→ Sh
g
⏐ ⏐
⏐ ⏐
. .
∼
ShΓ −−−−→ Shg−1 Γ g
g

by the action of g ∈ G(A(∞) ), étaleness of the left vertical arrow is equivalent

to étaleness of the right vertical arrow. Thus, we may assume g −1 Γ g ⊂ Γ(24)
if Γ is sufficiently small [as maximal compact subgroups of G(A(∞) ) are all
conjugate to G(Z)]. Thus, we may suppose Γ = Γ(24). Since MΓ (24N ) is
a closed subscheme of E[24N ] ×M1 E[24N ] (for the universal elliptic curve
E/M1 ), which is étale over MΓ (24) ⊂ E[24] ×M1 E[24]. Write Y (24N )ζ24N =
Spec(AN ). Then AN is the degree-0 component of RΓ (24N ) . As we have al-
√
ready observed, t = 12 Δ is a unit of degree 1 in RΓ (24) . Thus, MΓ (24N ) =
Spec(AN [t, t−1 ]) = Gm × Y (24N )ζ24N , and ShΓ(24N ) = Y (24N ) is étale over

Y (24) = ShΓ(24) as Y (24N ) = c∈(Z/24N Z)× Y (24N )ζ24N c . Passing to the pro-
jective limit, Sh is étale (infinite) over Y (24). Since Sh 
Γ (24) = Sh/Γ(24) and
 7.1 Shimura Curve 301

Γ(24) acts freely on Sh [because Aut((E, φ24 )/R ) = {1}], we find that any
geometric fiber is one-to-one onto Γ(24), as desired.

We can further make a quotient by Z(A(Σ∞) )Γ for the center Z ⊂ G. The

action of z ∈ Z(Z(Σ) ) on (E, η) is induced by the prime-to-Σ isogeny z : E →
E, and Z(Z(Σ) ) acts trivially on Sh. Since Z(A(Σ∞) ) = Z(Z  (Σ) )Z(Z(Σ) ),

(Σ) (Σ)
ShZ(A(Σ∞) )Γ = Sh (Σ) )Γ .
Z(Z

 (p) )Γ = Z(Z)Γ
If Σ = {p}, Γ is maximal at p; hence, Z(Z  . Thus, assuming
Σ ⊂ {p}, we have
(Σ) (Σ)
ShZ(A(p∞) )Γ = Sh  .
Z(Z)Γ

 on
The action of (a, d) ∈ TG (Z) sends EΓ 
to EΓ,adc 
EΓ,c
, as we have observed.

Thus, z ∈ Z(Z) acts by sending the index c to z c [and hence, Y (Γ 1 (N ))ζ c ∼
2
= 1 N
Y (Γ11 (N ))ζ cz2 ]. This shows
N

4
Sh
(p) ∼
= Y (Γ11 (N ))ζNc /W and
 Γ1 (N )/W
Z(Z) 1
c∈Cl(N )/(Cl(N ))2

ShΓ0 (N )/W = ShZ(Z)

 Γ1 (N )/W = Y0 (N )/W . (7.1.15)

7.1.7 Isogeny Action

Recall the right action of g ∈ G(A(∞) ) on Sh/Q given by (E, η) → (E, η ◦ g).
Consider G := G(A(∞ )/Z(Q) (see [IAT] Theorem 6.23). The following fact
has been shown in [IAT] Theorem 6.23 (see also [PAF] Theorem 4.14):
Theorem 7.18 The action of the group G(A(∞) ) on Sh leaves any geometri-
cally irreducible component Y ⊂ Sh stable, and we have G = G(A(∞ )/Z(Q) =
AutSCH (Y/Q ). Each geometrically irreducible component Y is geometrically
defined over the maximal cyclotomic extension Qab /Q. The right action of
g ∈ G on [x, g  ] is given by

[x, g  ] → [x, g  g].

The image G+ in G of {g ∈ G(A(∞) )|0 < det(g) ∈ Q× } [containing

SL2 (A(∞) )] falls in AutSCH (Y/Qab ).
Here is an outline of the proof. For each elliptic curve E/C , we have
E(C) ∼= C/Lz with Lz = Zz + Z for z ∈ H. Note that T E = ← limN E[N ](C) =
−
−1 
limN N Lz /Lz = Lz ⊗Z Z. Identifying the Q-span Q · Lz with V = Q2
←−
by (a, b) → az + b, we get from this identification ηz : V (A∞) ) ∼ = V (E). The
point [z, 1] carries (E, ηz )/C by the moduli interpretation; hence, g[z, 1] = [z, g]
302 7 Modular Curves as Shimura Variety

corresponds to (E, ηz ◦ g)/C . Thus, the action (E, η) → (E, η ◦ g) induces a

homomorphism τ : G(A(∞) ) → AutSCH (Sh) realized by τ (g) : [z, 1] → [z, g].
Since Y contains a point of the form [z, g] by (7.1.5), τ (g) preserves Y ⊂ Sh,
and we get a continuous group homomorphism τ : G(A(∞) ) → AutSCH (Y/Q ).
Since Z(Q) ∩ Γ(N ) = {1}, Z(Q) ⊂ G(A(∞) ) is a closed subgroup. The
isogeny induced by α ∈ Z(Q) = Q× is an endomorphism of E/S as EndS (E)⊗Z
Q contains Q · idE ; so it acts trivially on E Q and hence trivially on Sh. Since
the value of the duality pairing on the N -torsion points of the universal elliptic
curve covers all roots of unity, Y has a scheme structure over Spec(Qab ). It
is proven in [IAT] Chap. 6 that the algebraic closure of Q in the function
field of Y is equal to Qab ; so Y is geometrically irreducible over Qab . The
map τ is compatible with the Artin reciprocity map [·, Q] : A× /Q× R× ∼
+ =
×
Gal(Q /Q) sending p ∈ Qp to the geometric Frobenius element at p. In
ab

short, the following diagram is commutative (see [IAT] Theorem 6.23):

τ (g)
Y −−−−→ Y
⏐ ⏐
⏐ ⏐
. .
Spec(Qab ) −−−−−−→ Spec(Qab ).
[det(g),Q]

Thus, τ (g) with 0 < det(g) ∈ Q× preserves each component.

By the following exercise, we conclude G → AutSCH (Y ). A difficult point
is to show the surjectivity of τ . For the function field F = FY of Y , the mor-
phism g → τ (g −1 ) is surjective onto Aut(F) by [IAT] Theorem 6.23. This is
sufficient as the category of algebraic function field of transcendental degree 1
over a field k is equivalent to the category of smooth proper, geometrically irre-
ducible curves over k (see Remark 5.12). A proof covering higher-dimensional
Shimura varieties is in [Sh4], and a scheme-theoretic proof is in [PAF]. Since
in this book, we only need injectivity of τ , we do not touch surjectivity.
 
Exercise 7.19 Using the fact Sh(C) = G(Q)\ X × G(A(∞) ) /Z(Q) (see
(7.1.5)), prove that τ : G(A(∞) ) → AutSCH (Y ) has kernel Z(Q).
(p) (p)
Taking the integral model Sh/Z(p) , we can think of AutSCH (Sh/Z(p) ). In the
(p)
same way as above, we get G(A(p∞) )/Z(Z(p) ) = AutSCH (Sh/Z(p) ) (see [PAF]
(p) (p)
Theorem 4.14). Since Sh/W is smooth, we can think of Sh/F = Sh(p) ×Z(p) F
for F = Fp and its ordinary locus Shord/F = Sh
(p) 1
[ H ]/F for the Hasse invariant
H. Each mod-p elliptic curve over x ∈ Sh (F) has a canonical lift giving
ord

rise to x̃ ∈ Sh(p) (W) (assuming that W has residue field F) and by definition
τ (g)(x̃) = τ
(g)(x) for g ∈ G(A(p∞) ). Note that {x̃ ∈ Sh(p) (W)|x ∈ Shord (F)}
(p)
is Zariski dense in Sh/W . Thus, {g ∈ G(A(p∞) )| det(g) ∈ Z(p) }/Z(Z(p) ) →
(p) (p)
AutSCH (Sh/F ), and by smoothness, the set π0 (Sh/C ) of connected
 7.1 Shimura Curve 303
(p)
components is in bijection to the corresponding mod p set π0 (Sh/F ) (Zariski’s
connectedness theorem: Theorem 5.7). Therefore, we get
(p)
{g ∈ G(A(p∞) )| det(g) ∈ Z(p) }/Z(Z(p) ) → AutSCH (Y/F )

(p)
for each irreducible component Y (p) of Sh/F . We have proved the injectivity of

Theorem 7.20 We have

{g ∈ G(A(p∞) )| det(g) ∈ Z(p) }/Z(Z(p) ) ∼

(p)
= AutSCH (Y/F ).

For the surjectivity, see [H06b].

Exercise 7.21 Why does the Zariski density of {x̃ ∈ Sh(p) (W)|x ∈ Shord (F)}
(p)
in Sh/W imply the injectivity of the above theorem?

7.1.8 Reciprocity Law at CM Points

 
Since Sh(C) = G(Q)\ X × G(A(∞) ) /Z(Q), we write [z, g] ∈ Sh(C) for the
image of (z, g) ∈ X × G(A(∞) ). A point [z, g] is called a CM point (a complex
multiplication point) if hz restricted to Gm × 1 ⊂ S/C = Gm × Gm has image
in a maximal torus Tz ⊂ G := GL(2) defined over Q. Since hz = J1 ρz J1−1 , to
have ρz defined over Q means that (1, z) has to be a basis of an imaginary
quadratic field Mz = Q(z) over Q. Then we have Tz ∼ = ResMz /Q Gm for an
imaginary quadratic field Mz over Q. If confusion is unlikely, we write M
for Mz . As before, we write O = Oz for the integer ring of M . The Z-span
a = Z + Zz is a lattice in M ; so we have CM elliptic curve E(a) and the adelic
level structure
 (p) )2 ∼  (p) )2 J1 [ z1 ] =  ∼
ηz(p) : (Z = (Z a(p) −
→ T (p) E(a)
(p)
as in Sect. 6.4.5. Then (E(a), ηz ) gives the point [z, 1] ∈ Sh(p) (W). We can
(p)
extend ηz to
2 ∼  2 J1 [ z1 ] =  ∼
ηz : Z =Z a−→ T E(a) = lim E(a)[N ](C),
←−
N

and (E(a), ηz ) is sitting over [z, 1] ∈ Sh(C). If we choose another basis w1 , w2

of   we have g ∈ G(Z)
a over Z,  such that J1 [ z1 ] = g [ w
w2 ]; then (E(a), ηz ◦ g)
1

is sitting over [z, g] ∈ Sh. If ap = Op , we will choose g ∈ G(Z),  whose p-

◦ et
component gp ∈ G(Zp ) is compatible with (ηp , ηp ); specifically, identifying
ap = Op × Op , we take gp given by gp [ z1 ] = [ w w2 ] for w1 = (1, 0) ∈ Op × Op
1

and w2 = (0, 1) ∈ Op × Op . If ap = Op , we take aζ as in Sect. 6.4.5 for

ζ = exp(2πiu/pn ) for u ∈ (Z/pn Z)× ; so aζ spanned by
304 7 Modular Curves as Shimura Variety
? −u+z @ 
pn = p−n −p−n u [ z1 ]
1 0 1
 n 
over Z. By (7.1.7), this operation corresponds to v → p0 u1 v = J1 t g −1 J1−1 v

−n −n
(v ∈ V (R)) for g  = p 0 −p 1 u . Thus, if we choose gζ = γu g for
 n 
γu = p0 u1 ∈ G(Q) [ζ = exp(2πiu/pn )], noting γu−1 (z) = z−u pn , we get,
from Lemma 7.8,
[z, gζ ] = [z, γu(∞) g] = [γu−1 (z), g],
which implies
(E(a), ηz ◦ gζ ) ≈ (E(aζ ), η z−u
n
◦ g)
p

sits on [z, gζ ], where “≈” indicates that there is an isogeny αζ : E(aζ ) → E(a)
such that αζ ◦ η z−u n
= ηz ◦ γu . Thus, we get the following result:
p

Lemma 7.22 Let the notation be as above. If ap = Op , (E(a), ηz ◦ g) is the

fiber at [z, g] ∈ Sh(C) of the universal elliptic curve over Sh. More generally,
for aζ with ζ = exp(2πiu/pn ), the test object (E(a), ηz ◦gζ ) ≈ (E(aζ ), η z−u ◦g)
pn
is the fiber at [z, gζ ] ∈ Sh(C) of the universal elliptic curve over Sh.
Exercise 7.23 Compute an explicit form of complex number a ∈ C× , which,
by the multiplication u → a · u, induces the isogeny αζ : E(aζ )(C) = C/aζ →
C/a = E(a)(C). Why is this number a uniquely determined by αζ ?
We let G(Q) act on the column vector space V = Q2 through the matrix
multiplication. The action of Tz on V makes V a vector space over M of
dimension 1 and gives rise to an embedding rz : Tz → G. Then the subspace
Vz = V ⊗Q C on which hz acts by its restriction μz = hz |Gm ×1 is preserved
by multiplication by M , yielding an embedding idz : M → C of M . Since
M/Q is imaginary quadratic, μz × μz = hz , we find that {idz , c = c ◦ idz }
for complex conjugation c is the full set Iz of complex embeddings of Mz into
C. Taking an elliptic curve A sitting on z ∈ X, we find that A has complex
multiplication by Mz . For each b ∈ Tz (A(∞) ) = MA×(∞) , we have the Artin
reciprocity image [b, M ] ∈ Gal(M ab /M ), where M ab is the maximal abelian
extension of M . Since Tz (R) is the centralizer of z, [z, γg] = [γ −1 (z), g] for
γ ∈ Tz (Q), and hence [z, g] → [z, rz (b)g] depends only on [b, M ] by class field
theory. Now we are ready to state Shimura’s reciprocity law for the CM point
[z, 1] (see [IAT] Theorem 6.31 and [EDM] Theorem A5.4):
Proposition 7.24 Let [z, 1] be a CM point in Sh/Q . Then the point [z, 1] is
M ab -rational, and for any b ∈ Tz (A(∞) ) and γ ∈ Tz (Q), we have

[b−1 , Mz ]([z, 1]) = [z, 1] · rz (b) = [z, rz (b)].

In [IAT] Theorem 6.31, for a modular function f ∈ F finite at [z, 1], it is proven
that f ([z, 1])[b,Mz ] = f τ (rz (b)) ([z, 1]) = f ([z, 1] · rz (b)), which is equivalent
to the above proposition as functions determine the point. Also, note that
 7.1 Shimura Curve 305

Shimura’s identification G = Aut(F) is given by g → τ (g −1 ), as his action on

F is from the right while ours is from the left by our normalization [we let
g ∈ G(A(∞) ) act on Sh from the right: (E, η) → (E, η ◦ g); thus, its pullback
action on F is a left action].
More generally, we take a point [z, g] = [z, 1] · g. By definition, [z, g]
is also a CM point (if we start with a CM point [z, 1]). Then we write
(Ex , Tx , Mx , rx , ηx ) for (Ez , Tz , Mz , g −1 rz g, ηz ◦ g). Since the action of g ∈
G(A(∞) ) is defined over Q, it commutes with the Galois action; so, writing
σ = [b−1 , Mx ], we have

σ([z, g]) = σ([z, 1] · g) = σ([z, 1]) · g = [z, rz (b)g] = [z, g] · rx (b).

Thus, we get the following interpretation:

Corollary 7.25 Let x = [z, g] be a CM point in Sh/Q . Then the point [z, g]
is M ab -rational, and for any b ∈ Tx (A(∞) ) and γ ∈ Tx (Q), we have

[b−1 , Mx ](x) = x · rx (b).

If b ∈ Tx (Q) = M × , [b−1 , M ] = id; so we have

x · rx (α) = x for α ∈ Tx (Q) = M × . (7.1.16)

To see this fact, note that End(Ex ) ⊗Z Q = M . So (Ex , ηx ◦ rx (α)) ≈ (Ex , α ◦
ηx ); therefore, as an element in E Q (C), (Ex , ηx ) is fixed by rx (Tx )(Q), as
stated. Since we only need (7.1.16), we do not give a proof of the reciprocity
law above, instead referring to Theorem 6.31 in [IAT].
Corollary 7.26 Let (Ex , ηx ) be the test object sitting over a geometric point
x ∈ Sh(Q) projecting down to x ∈ Y (N )(K) (N ≥ 3) for a finite extension
K/Q. Suppose Ex has complex multiplication by an imaginary quadratic field
M . Suppose that all elements in EndQ (Ex ) are defined over K. Then the J-
invariant J(Ex ) is an algebraic integer in K and Ex extends to an elliptic
curve with complex multiplication over the integer ring of K.
There is a more elementary proof in [IAT] Sect. 4.6 for the integrality of J(Ex ).
Here we give a moduli-theoretic proof.

Proof. Take any valuation ring V of K in which N is invertible. By Corol-

lary 6.32, if J(Ex ) ∈ V , Ex extends to an elliptic curve over V . Since the
integer ring OK is the intersection of all valuation rings of K, we conclude
that J(Ex ) is an algebraic integer, and Ex extends to an elliptic curve over
OK as we can change N .
Thus, we need to prove J(Ex ) ∈ V . Otherwise, for the residual character-
istic l of V , we have |q(Ex )|l < 1 since J = q −1 (1 + f (q)) for f (q) ∈ qZ[[q]], as
is well known (see Sect. 2.4.1). Then E over the completion V of V is a Tate
curve with Tate period q(Ex ) (see Theorem 2.54). By the construction of the
moduli Y (nN ) inside E[nN ] × E[nN ] in Sect. 6.2.10, the field of rationality
306 7 Modular Curves as Shimura Variety

K(xn ) of the image xn of x in Y (nN ) for any n ≥ 1 is a subfield of the field of

rationality of Ex [nN ] over K (with bounded index). By Shimura’s reciprocity
law above, K(xn )/K is abelian, which is impossible for infinitely many choices
of n by Corollary 2.56. Thus, J(Ex ) ∈ V . This finishes the proof.

7.1.9 Degeneracy Operators

Let l = (l) for a prime l > 0 be a prime ideal in Z. Then, for a level-N prime
to l with Γ ⊃ Γ(N ), if lA = A (for a Z[ 6N 1
]-algebra A), we define a morphism
of functors
1 2 1 2
[l] : ℘Γ ∩Γ0 (l) (A) = (E, φN , C, ω)/A → ℘Γ (A) = (E, φN , ω)/A

by sending (E, φN , C, ω)/A to (E/C, π ◦ φN , (π ∗ )−1 ω)/A for the projection

π : E → E/C, where C is a locally free subgroup of E étale-locally isomorphic
to μl . Here the phrase “étale-locally” means that there exists a faithfully
flat étale extension S of Spec(A) such that C ×A S ∼ = μl/S . Obviously, [l]
is a natural transformation; so, by pullback, we get the degeneracy operator
[l] : Gk (Γ ; A) → Gk (Γ ∩ Γ0 (l); A) given by f |[l](E, φN , C, ω) = f (E/C, π ◦
φN , (π ∗ )−1 ω). Replacing φN by a level-p∞ structure φp : μp∞ → E, we get
the corresponding map [l] : VΓ (R) → VΓ ∩Γ0 (l) . Choose the positive generator
l of l. Over complex numbers, we have
exp
Tate(q) = C× /q Z ←−− C/(2πi)(Z + Zz)

via w = exp(u), which has a canonical Γ0 (l)-structure μl ⊂ C× . Then

1 u →lu
Tate(q)/μl = C/(2πi)( Z + Zz) ∼= C/(2πi)(Z + Zlz) = Tate(q l ).
l
In the middle identity via u → lu, the differential du is sent to 1l du (as its
action on the tangent is multiplication by l). Thus, ωcan is sent to 1l ωcan on
Tate(q l ). Similarly, φN,can is sent to φN,can ◦ l. So we have
1
f |[l](q) = f (Tate(q l ), φN,can ◦ l, ωcan ) = lk · ψ(l)f (q l )
l
if the Nebentypus of f is ψ. This also applies to p-adic modular forms, as they
are the p-adic limit of classical modular forms (limit principle in Sect. 1.3.3).
In terms of Shimura varieties, the operator [l] : Sh → Sh corresponds
 l
to (E, η) → (E, η ◦ 0 l−1 ), where ll = (1, . . . , 1, l, 1, . . . , 1, . . . ) ∈ A× . The
1 0
l

reason for this expression is twofold: First, η → η ◦g corresponds to L 

 → g −1 L
 −1
for the lattice L = η (T E); second, on classical modular forms, the action is
given by z → ( 0l 01 ) (z) = lz, and by the effect of J1 as in Sect. 7.1.8, we have
J1 ( 0l 01 ) J1−1 is equivalent to ( 10 0l ). Since this action only affects the l-factor
TlE ⊂ T E (or, equivalently, the l-divisible group E[l∞ ] ⊂ E), we can have
only a nontrivial component at the place l.
 7.2 Igusa Tower 307

7.2 Igusa Tower

We defined the Igusa tower I = I1,∞ → · · · → I1,n → · · · → I1,1 → S1/F
in Sect. 6.2.12 for the ordinary locus S1 = X(N )[ H1 ] ⊂ X(N )/F . In this sec-
tion, we give a proof of the irreducibility of I1,m for each m = 1, 2, . . . , ∞
(p)
(Theorem 6.42). A key point is that the automorphism group of X/F is big,
p

containing G1 = SL2 (A(p∞) ), and the second key point is that Aut(I/S1 )
contains GL1 (Zp ) and the two actions on I/Fp commute. There are at least
two ways of showing irreducibility via the symmetry action on the Shimura
variety: (i) the use of the automorphism group of the function field of the
Shimura variety of characteristic 0 (cf. [PAF] Sects. 6.4.3 and 8.4.4), which
uses characteristic-0 results to prove the characteristic-p assertion; and (ii)
a purely characteristic-p proof following a line close to (i) (see [H09a]). In
this book, we follow the first method. There are some other arguments purely
in characteristic p (for example, Igusa’s original argument in [I] relying on
ramification at a supersingular point) to prove the same result (covering dif-
ferent families of reductive groups giving the Shimura variety) as sketched
in [Ch4] for the Siegel modular variety. In this section, we write F = Fp (an
algebraic closure of Fp ) and take W = W (F) (the ring of Witt vectors with
coefficients in F in [BCM] IX.1, or equivalently, the completed p-adic integer
ring of the maximal unramified extension of Qp in Cp ). Hereafter we assume
W = i−1p (W ), which is a strict henselization of Z(p) (see [NMD] Sect. 2.2 for
Henselian rings).

7.2.1 Axiomatic Approach to Irreducibility

Here is an axiomatic approach to prove the irreducibility of an étale covering

π : I → S of a smooth irreducible variety S over F = Fp . Write π0 (I) for the
set of connected components of I. We start with the following two axioms:
(A1) A group GI = T × G1 acts on I and S compatibly so that T acts on I/S ,
G1 acts on S, and G1 acts trivially on π0 (I).
(A2) T acts on each fiber of I/S transitively; so T acts transitively on π0 (I).
Under (A1–2), we study the stabilizer subgroup Tx in GI of a point x in a
connected component I ◦ of I and try to prove the following conclusion:
(G) {Tx }x for a collection of points x and G1 generate a dense subgroup of
GI .
Once we reach the conclusion (G), by the transitivity (A2), we obtain I ◦ = I,
getting the irreducibility of I.
A Shimura variety is said to be of PEL type (see [PAF] Sect. 7.1) if it
is a moduli variety of abelian schemes (of fixed dimension d) with a given
type of polarization P , having a given algebra B (with positive involution)
as a subalgebra of its endomorphism algebra, and a level structure η. The
308 7 Modular Curves as Shimura Variety

elliptic modular Shimura curve classifies elliptic curves E/S (abelian schemes
of dimension 1; Lemma 6.1, Theorems 2.32 and 6.3) and level structure η :
A2 ∼ = V (E). In this simplest case, the fixed endomorphism algebra is Q ⊂
End(E/S ) ⊗Z Q, and the polarization is well hidden as each elliptic curve has
a canonical polarization whose polar divisor is [0E ]. Indeed, the Néron–Severi
∼
group N S(E/S ) := Pic(E/S )/ Pic0 (E/S ) −−→ Z has a canonical generator
deg
[0E ]. For a higher-dimensional abelian scheme A/S , N S(A/S ) has a higher
rank, and a single A could have different polarizations.
In the setting of the Shimura variety Sh of PEL type (of level away from
a given finite set Σ of places), assuming we have a smooth integral compact-
ification of Sh over a p-adic discrete valuation ring W (see [ACS] 6.4.1), we
can verify the axioms (A1–2) for the following reasons: Compatibility with
the action in (A1) and the transitivity in (A2) follow from the definition. In
the case of a Shimura variety of PEL type, S is usually the ordinary locus
(the open locus on which a generalized Hasse invariant is invertible) of the
modulo p Shimura variety Sh/F of level away from a given finite set Σ of
places containing p and ∞. Then for the adele ring A(Σ) away from Σ, G1 is
often the adele group G1 (A(Σ) ) for a semisimple group G1/Q (G1 is the de-
rived group of the starting reductive group in Shimura’s data), and T is the
Zp -points T (Zp ) of the reductive part T of a parabolic subgroup P of G1 [as
this notation suggests, we apply our axiomatic approach to (G1 , P, T ) in Defi-
nition 7.1 to prove irreducibility of the elliptic Igusa tower]. Here P modulo its
unipotent radical is reductive by definition, and the quotient can be realized
as a subgroup of P , called the Levi subgroup (or the reductive part; see [LAG]
Sect. 30). If we choose Σ so that G1 (Ql ) is generated by unipotent elements
for all l ∈ Σ, G1 has no nontrivial finite quotient group (as unipotent groups
over characteristic-0 field are divisible). For any finite subcovering I  /S of I,
G1 acts on the finite set π0 (I  ) through a finite quotient of G1 ; so the action
is trivial, getting (A1).
In the above discussion of how to verify (A1), a key ingredient is that G1 is
large enough not to have finite (nontrivial) quotient. For the general Shimura
variety, this is deduced from the existence of smooth toroidal compactification
(if the Shimura variety is not projective; see [CSM], [DAV], and [ACS]) and
a characteristic-0 determination of the automorphism group of the Shimura
variety (principally due to Shimura; cf. [Sh4] II, [IAT] Theorem 6.23, and
[PAF] Theorems 4.14 and 7.7). The compactification in our Shimura curve
case is as described in Sect. 6.2.7. Alternatively, one can prove that G1 is large
by showing that the l-adic monodromy representation for primes l = p has
a large open image in G1 (A(Σ) ) (here an l-adic monodromy representation
is given by the action of the fundamental group of the Shimura variety on
the l-adic Tate module of the fiber at the base point). Indeed, C.-L. Chai
[Ch2] (in the symplectic case) has deduced the open image result via group
theory from the semisimplicity theorem of Grothendieck–Deligne of the l-adic
 7.2 Igusa Tower 309

representation. Chai’s method would work for l ∈ Σ (for an appropriate Σ)

in our setting.
◦
Let I/F be an irreducible component of I/F . We want to prove I ◦ =
π (S) = I (irreducibility). Then Gal(I ◦ /S) is the stabilizer of I ◦ ∈ π0 (I),
−1

and hence Gal(I ◦ /S) ⊂ T . If T = Gal(I ◦ /S), we get I ◦ = π −1 (S). Let D

be the stabilizer of I ◦ ∈ π0 (I) in GI . Pick a point x ∈ I (which can be a
generic point), and look at the stabilizer Tx ⊂ GI of x. Since gx (x) ∈ I ◦
(gx ∈ T ) by the transitivity of the action, we have gx Tx gx−1 ⊂ D. Then we
show that T = GI /G1 is generated topologically by {gx Tx gx−1 |x ∈ I}, which
implies T = Gal(I ◦ /S) = Gal(I/S) from (G); so I = I ◦ .
In the setting of the Igusa tower of a Shimura variety, we can have at least
three choices for the points x ∈ I:
(∞) A cusp, assuming that the group G = ResF/Q G0 for a quasi-split group
G0 over a number field F (acting on a tube domain). This is the proof
given in GSp(2n) in [DAV].
(cm) A closed point x ∈ I(F) is fixed by a maximal torus Tx of G anisotropic
at ∞; so gx Tx (Z(p) )gx−1 ⊂ D for Z(p) = Q ∩ Zp . A well-chosen finite set
of closed points X := {x} is enough to generate a dense subgroup of
D by {gx Tx (Z(p) )gx−1 }x∈X . This is Ribet’s choice in [Ri1] and [DRi] for
Hilbert modular varieties and is also taken in [H09a]. If one uses a CM
point (the so-called hypersymmetric point) carrying a product of copies
of CM elliptic curves, often one such point is sufficient.
(gn) Taking a coordinate system T = (T1 , . . . , Td ) around x ∈ Sh(W ) with (x
mod p) ∈ I ◦ (F) (so that OSh,x ∼ = W [[T1 , . . . , Td ]]) and take the valuation

vx ( c(α, f )T α ) = Inf α ordp (c(α, f )).
α

Then the decomposition group D of vx contains Tx (for all x ∈ I ◦ ),

and D is the stabilizer of the generic point of I ◦ containing x (this
choice is taken in [PAF] 8.4.4). The valuation vx corresponds to the
generic point of I ◦ . The point x is chosen to be a cusp in our case of
the elliptic modular Igusa tower (see Sect. 7.2.3). For the Hilbert–Siegel
modular variety and U (n, n) Shimura variety, the choice of the infinity
cusp works as well (cf. [PAF] 6.4.3).
Actually, there is (at least) one more choice. Igusa [I] completed his tower over
modular curves, adding supersingular points, and used such points to prove
his irreducibility theorem in the 1950s. Here we describe the method (gn) for
our Shimura curve, and the base point x we use is the infinity cusp.
Fix a prime p and an algebraic closure F of Fp . Throughout this section,
proofs of the results claimed are given assuming p > 3 (just for simplicity; see
[H09a] for the treatment in the case p = 2, 3).
310 7 Modular Curves as Shimura Variety

7.2.2 Mod-p Connected Components

We define a generic version of the Igusa tower and prepare necessary lemmas
to count the number of generic points of the Igusa tower (so, our goal in the
next subsection is to show that this number is equal to 1, i.e., irreducibility).
Recall the neutral component Y (p) of Sh(p) and its function field F(p) over
the fraction field K of W. Let S be the ordinary locus Y (p) [ H1 ]/F for the Hasse
invariant H. Then S is irreducible over F, because H is a global section of the
ample line bundle ω ⊗(p−1) over the compactification X/F of Y/F .
(p) (p)

We look into the Igusa tower in a local neighborhood of the generic point
(p) (p)
of the vertical irreducible divisor X/F ⊂ X/W . Consider the valuation ring V
of F(p) of the valuation v0 in Definition 7.4. Thus, the residue field V/mV is
the function field F(S) of S. Let E/Y (p) be the universal elliptic curve. Then
we consider the Cartesian diagram for EV = E ×Y (p) Spec(V):
→
EV −−−−→ E
⏐ ⏐
⏐ ⏐
. .
Spec(V) −−−−→ Y (p) .
→

Since any lift of a power of H is inverted in V, EV 

 = EV ×V V is an ordinary
 n
elliptic curve for the completed valuation ring V = limn V/p V. Thus, we can
m
←−
think of the functor IV,m
 = ImmV  (μpm , EV [p ]) from the category of p-adic

V-algebras 
to sets, which assigns to each p-adic V-algebra R = limn R/pn R
←−m
the set of closed immersions of finite flat groups: μpm /R → EV  [p ]/R de-

fined over R. Here the category of p-adic V-algebras is made up of p-adically
 
complete V-algebras with p-adically continuous V-algebra homomorphisms.
Lemma 7.27 We have canonical isomorphisms of formal schemes:

(∗)
m ◦ ∼
 ((Z/p Z)/V
m m et
IV,m
 = IsomV
 (μpm /V
 , EV
 [p ] ) = IsomV  , EV
 [p ] )
(∗∗)
∼  [p ] − EV
= EV m et
 [p
m−1 et
] ,

where the identity (∗) is given by taking the inverse of the Cartier dual map
and (∗∗) is given by φ → φ(1) (1 ∈ Z/pm Z) for φ ∈ IsomV ((Z/p Z), E[p ] ).
m m et

In particular, IV,m

 is an étale finite covering over V,
/Spf(V)  and GL1 (Zp )
naturally acts on IV,m
 by its action on (Z/p Z)/V
m
.

Proof. Note that V is p-adically complete; so V

 is a Henselian local ring by
Hensel’s lemma (see [CRT] Theorem 8.3). Thus, the connected component
m ◦ m m
EV [p ] of EV
 [p ] is well defined by Proposition 4.68. If μpm → EV  [p ] is
 7.2 Igusa Tower 311

m ◦
a closed immersion sending identity to identity, it factors through EV
 [p ] .
Comparing the rank, we find that it is an isomorphism. Thus, we get
m ∼ m ◦
IV,m
 = ImmV
 (μpm /V
 , EV
 [p ]) = IsomV
 (μpm /V
 , EV
 [p ] ).

m ◦
In any case, EV [p ] is isomorphic to μpm /V
 étale locally. Since the Cartier
dual of μpm is isomorphic to Z/pm Z (Exercise 4.64), by the self-duality of
E[pm ] (see Lemma 6.9), we get the dual-inverse isomorphism
m ◦ ∼
 (Z/p Z, EV
 [p ] ) ⊂ Z/p Z ×V
m m et m m et
 (μpm , EV
IsomV  [p ] ) = IsomV  EV
 [p ] .

Thus, IV,m

 is an étale finite covering over V.
/Spf(V)  


Since IV,m

 it is affine (Lemma 4.24), and we may
is étale finite over Spf(V),
write I  = Spf(V  m ). Then V
 m is a semilocal normal V-algebra
 étale finite
V,m
flat over V;  so it is a product of complete discrete valuation rings whose
maximal ideal is, by étaleness, generated by the rational prime p.
(p)
Recall W = limn W/pn W, and take a modular form E on X/W lift-
←−
ing the Hasse invariant H (as in Sect. 6.2.12). Let X  (p) [resp., Y (p) ] be a
formal completion of X [ E ]/W (resp., Y [ E ]/W ) along X (p) [ H1 ]/F (resp.,
(p) 1 (p) 1

S := Y (p) [ H1 ]/F ).
 (p) [resp., Y (p) ] does not depend
Lemma 7.28 The p-adic formal scheme X
on the choice of the lift E.

Proof. Since the proof is the same, we deal with the case of X  (p) . Take an-
 
other lift E of H . By replacing E and E by its power, we may assume
a

that both E and E  are lifts of H a . Since E ≡ H mod p, E is invertible

on the topological space S of X  (p) [ 1 ]/W . Since X (p) [ 1 ]/W = Spec(R) is
E E
affine, writing R  = lim R/pn R, we have E  /E ∈ R, and E  ≡ E mod pR 
←−n
implies E  /E ≡ 1 mod p; so E  /E is invertible in R,  whose inverse is given by
∞    (p) [ 1 ]/W = Spec(R ),
1 + n=1 (E /E − 1) ∈ R. In other words, if we write X
n
E

R ⊂ R  and R ⊂ R  . Thus, we get R
  = R  , and hence, X
  (p) [ 1 ]/W =
E
X (p) [ 1 ]/W . 
E

Define, for Γ = Γ1 (pm )p , a W-scheme YΓ = ImmY (p) (μpm , E) and a p-adic
formal scheme YΓ/W = ImmY (p) (μpm , E) ∼ = E[pm ]et − E[pm−1 ]et over Y (p) ,
which is étale finite over Y (p) . We obtain YΓ/K as in (7.1.1) by the base
change YΓ/K ∼ = YΓ/W ×W K. We may regard YΓ/W as the formal completion
of YΓ/W along YΓ/F := IsomS (μpm , E[pm ]◦ ). By definition, we have an open
immersion
I  → Y  m
V,m Γ1 (p )p /W Y/W

×  (p) Spf(V),
312 7 Modular Curves as Shimura Variety

and V m is the product of the completions of valuation rings of F  m un-

Γ1 (p )p
 
ramified over V. Thus, Vm = Vm ∩FΓ1 (pm )p inside FΓ1 (pm )p ⊗V V is a semilocal
ring Vm with V  m = lim Vm /pn Vm = Vm ⊗V V. 
←−n
Similarly, we define, for N prime to p,

Y (N, Γ )/F = ImmY (N )[ H1 ] (μpm , E[pm ]) = IsomY (N )[ H1 ] (μpm , E[pm ]◦ ).

1
By definition, the moduli scheme Y (N, Γ )/F is a scheme over Y (N )[ H ]
(forgetting the level-p structure). We put IV,m = Spec(Vm ) and YΓ/F =
limpN Y (N, Γ )/F . Then
←−
YΓ1 (pm )p /F = IsomS (μpm , E[pm ]◦ ) =: Im

gives rise to the Igusa tower I  · · ·  Im  · · ·  I1  S over S. The set

◦ ◦
of generic points {ηIm
◦ ∈ I
m/F |Im/F ∈ π0 (Im/F )} is in bijection to π0 (Im ), and
 4
 m ⊗ Z F = Vm ⊗ Z F =
V ◦
F(Im ) (⇔ IV,m ⊗Z(p) F = {ηIm
◦ }).
p (p)
◦ ∈π (I )
Im I ◦ ∈π0 (Im )
0 m

By the definition of the action of (a, g) ∈ GI :

(E, η (p) , φp ) → (E, η (p) ◦ g, φp ◦ a),

the group GI := GL1 (Zp ) × SL2 (A(p∞) ) acts on IV,m  and hence on IV,m
(m = 1, 2, . . . , ∞), Spec(V) [by Lemma 7.5 (2)], FΓ , Im , YΓ/F , and YΓ/K .
Thus, we can make the étale quotient IΓ0 (pm ) := IV,m /GL1 (Z/pm Z).
Lemma 7.29 We have IΓ0 (pm ) = Spec(VΓ0 (pm ) ), and VΓ0 (pm ) is a valuation
ring finite flat over V sharing the same residue field with V.

Proof. As seen in Sect. 4.3.8, the connected component of a finite flat group
scheme over a Henselian local ring R with residue field F is uniquely deter-
mined. Thus, there is a unique connected subgroup of E (isomorphic to μpm
étale locally) if (E, φN )/R gives rise to an R-point of Y (N, Γ0 (pm ))/W . Thus,
for any m > 0, we have S/F = limpN Y (N, Γ0 (pm ))/F . This shows that the
←−
residue field of VΓ0 (pm ) is the function field of S and that the quotient field
of VΓ0 (pm ) is the field FΓ0 (pm ) . 


Since Vm /V is étale, we have

 Γ (pm ) = lim VΓ (pm ) /pm VΓ (pm ) = lim V/pm V = V,

V 
0 ←− 0 0 ←−
m m

and Vm is étale finite over VΓ0 (pm ) . This shows the following:
 7.2 Igusa Tower 313

Lemma 7.30 We have the following one-to-one onto correspondences:

/ 0
v : FΓ1 (pm )p → Z : v|FΓ0 (pm ) = vΓ0 (pm ) unramified over v0
↔ Max(Vm ) ↔ π0 (Im ) ↔ {ηIm
◦ },

where v is a p-adic valuation of FΓ1 (pm )p unramified (of degree 1) over v0 and
Max(Vm ) is the set of maximal ideals of Vm .
The correspondence is given by
◦ ◦
v ↔ mv = {x ∈ Vm |v(x) > 0} ↔ Im with F(Im ) = Vm /mv .

Lemma 7.31 The action of G1 := SL2 (A(p∞) ) fixes vm = vΓ1 (pm )p and each
element of π0 (Im ).

Proof. Since FΓ1 (pm )p /FΓ0 (pm )p is a finite Galois extension, the set of exten-
sions of vΓ0 (pm ) to FΓ1 (pm )p is a finite set, and by the above lemma, it is in
bijection with π0 (Im ). Thus, the action of SL2 (A(p∞) ) on π0 (Im ) gives a fi-
nite permutation representation of SL2 (A(p∞) ). Since SL2 (k) of any field k
of characteristic 0 does not have any nontrivial finite quotient group (because
it is generated by divisible unipotent subgroups by the following lemma), the
action of SL2 (A(p∞) ) fixes every irreducible component in π0 (Im ).

Exercise 7.32 Why does unipotent generation imply that SL2 (k) of any field
k of characteristic 0 does not have any nontrivial finite quotient group?
Here is the lemma on the unipotent generation of SL(2):
Lemma 7.33 Let K be a field. Then SL2 (K) and P SL2 (K) are generated
by unipotent elements.

Proof. Let H be a subgroup generated by all unipotent elements in SL2 (K)

and H be its image in P SL2 (K). If u is a nontrivial unipotent element, we find
an eigenvector v = 0 of V = K 2 fixed by u. Taking a base (w, v) of V over K,
we find u ( wv ) = ( aw+bv
v ) = ( a0 1b ) ( wv ). Taking the determinant, we find a = 1;
so u is a conjugate of ( 0 1b ). This shows that gHg −1 = H. Thus, H is a normal
1

subgroup of P SL2 (K). Since the upper triangular unipotent group acts by
translation on the affine space A1 (K) = K, it acts transitively on A1 (K). The
opposite unipotent subgroup t U acts transitively on P1 (K) − {0} ∼ = A1 (K),
and H acts transitively on P (K). Thus, for any g ∈ P SL2 (K), we find
1

h ∈ H such that h(∞) = g(∞); so h−1 g ∈ B, where B is the subgroup of

upper triangular matrices. Thus, if T ⊂ H for the diagonal torus T , we find
T · H = P SL2 (K).    −1   −1 
−1
Since ( x1 01 ) = 10 x 1 0 −x−1 1x , we have j(x) = x0 −x0 ∈ H.
 −1  x 0 0 1
Since j(−x)j(1) = x 0 x0 , we find that T ⊂ H. Thus, SL2 (K) and P SL2 (K)
are always generated by unipotent elements.
314 7 Modular Curves as Shimura Variety

7.2.3 Reciprocity Law and Irreducibility of Igusa Tower

Let v∞ = vΓ1 (p∞ ) , and define

/  0
(p∞) 
D = x ∈ (Z× p × SL2 (A )) v∞ ◦ τ (x) = v∞ .

Exercise 7.34 Prove that the subgroup Z× ×

(p) is p-adically dense in Zp ; hence,
∼
→ Z× is dense in T (Zp ) ∼
T (Z(p) ) − (p) = Z× and T (Z(p) ) · SL2 (A(p∞) ) is dense in
p
ι
GI = Z×
p × SL2 (A (p∞)
). Here an element α ∈ T (Z(p) ) is sent to (ι(α), α(p) ) ∈
l
Z×
p × SL2 (A
(p∞)
) with α(p) = (α, . . . , α, . . . ) ∈ SL2 (A(p∞) ) at primes l = p.

Since T (Z(p) ) and SL2 (A(p∞) ) fix v∞ (Lemmas 7.5 and 7.31), by the density
in Exercise 7.34, we conclude (G) for x given by the generic point associated
with v∞ in Sect. 7.2.1:
Theorem 7.35 We have D = GI /{±1}, and hence I is irreducible.
Note that Gal(I ◦ /S) is the stabilizer of I ◦ in Aut(I/S). Then, the irre-
ducibility of I follows from D = GI /{±1}, because this implies Aut(I/S) =
Gal(I ◦ /S), as argued in Sect. 7.2.1.
Let K (p) be an open compact subgroup of SL2 (A(p∞) ) and K = K (p) ×
GL2 (Zp ). Put YK = Y (p) /K (p) (which is the level-K modular curve). Let
IK = I/K (p) , which is the Igusa tower over YK . Since I is irreducible by
the above theorem, the quotient IK = I/K (p) is irreducible (as I  IK is a
dominant morphism). Thus, we have reproved
Corollary 7.36 (Igusa) The Igusa tower IK over YK/F is irreducible for
K = GL2 (Zp ) × K (p) for any open compact subgroup K (p) of SL2 (A(p∞) ).
The following corollary is called the q-expansion principle and is a con-
sequence of the irreducibility of Iα combined with the fact that the local
q-parameter gives the uniformizing parameter at a cusp of Y1 (N ) over Z[ N1 ].
Corollary 7.37 (q-expansion principle) Let L/Fp be a line bundle realized
in the function field of Iα/Fp (α = 1, 2, . . . , ∞). Let s be a cusp and U be any
Zariski open neighborhood of s ∈ Iα/Fp . If the q-expansion at s of a section
f ∈ H 0 (U, L) vanishes, then f vanishes on U .

7.2.4 p-Adic Elliptic Modular Forms

Pick a subgroup Γ ⊂ SL2 (Z) between Γ (N ) and Γ0 (N ), we consider the Igusa

tower Im,α over XΓ = X(Γ ) [the compactification of Y (Γ ); see Sect. 6.2.12].
Write Ẽ/XΓ for the smooth locus of the universal stable curve [extending the
universal elliptic curve over Y (Γ ) by the Tate curve over the infinitesimal
neighborhood of each cusp; see [DRa] for more details]. The scheme Ẽ has a
 7.2 Igusa Tower 315

group law over XΓ extending that of E. To have q-expansion finite at cusps, we

use Ẽ/XΓ in place of E/YΓ . Writing Sm = XΓ [ E1 ] ⊗W Wm for Wm = W/pm W
with a lift E of (a power of) the Hasse invariant, Im,α = IsomSm (μpα , Ẽ[pα ]◦ ).
Note here that Ẽ[pα ]◦ ×XΓ Sm is finite flat over Sm , because Tate(q)[pα ]◦ =
μpα , though Tate(q)[pm ] itself is quasi-finite nonfinite over Spec(W [[q]]). Thus,
Im,α is still étale finite over Sm . In other words, by an abuse of the notation,
writing Ẽ[pα ]et for the Cartier dual HomGSCH (E[p 8 α ]◦ , μpα ), Ẽ[pα ]et is an
étale group over Sm isomorphic to Z/p Z étale locally extending E[pα ]et
α
/YΓ
to XΓ , and we have Im,α = ∼ IsomS (Z/pα Z, Ẽ[pα ]et ), which is étale finite by
m
definition. Since Sm is affine, Im,α is also affine. We write Im,α = Spec(Vm,α ).
We have a tower of Wm -flat algebras:

Vm,0 ⊂ Vm,1 ⊂ · · · ⊂ Vm,α ⊂ · · · .

∼ ×
 ) = (Z/p Z) . By
α
These algebras are étale over Vm,0 and Gal(Vm,α /Vm,0
construction, we have Im,∞ = Spec(Vm,∞ ) for Vm,∞ = α Vm,α . Simply write
Pα for Ẽ[pα ]et as a locally free étale group scheme over Sm . Over Vm,α , we
have a canonical isomorphism (the universal level-p structure)

Ican = φp : μpα ∼
= Ẽ[pα ]◦ and t −1
Ican : Z/pα Z ∼
= Pα = Ẽ[pα ]et ,
−1

where t Ican is the Cartier dual inverse of Ican . We then define Vm,∞ = α Vm,α
and
V = VΓ = lim Vm,∞ and V = VΓ = V (Γ ; W ) = lim Vm,∞ .
−m
→ ←−
m

The space VΓ is the space of p-adic modular forms on Γ (originally defined

in Sect. 1.3.3). Indeed, by universality, we may regard f ∈ Vm,α as a function
of (E, φp : μpα → E[pα ], φN ) satisfying the following conditions similar to
(G1–3) for p-adically complete W -algebras R = limn R/pn R.
←−
∼
(V1) (E, φp , φN )/R = (E , φp , φN )/R ⇒ f (E, φp , φN ) = f (E  , φp , φN ) ∈ R.
  

(V2) If ρ : R → R is a continuous W -algebra homomorphism, then

f ((E, φp , φN ) ×R,ρ R ) = ρ(f (E, φp , φN )).

(V3) For all level structures φN of type Γ on Tate(q), we have

p , φN ) ∈ W [[q
f (Tate(q), zφcan 1/N
]] for all z ∈ Z×
p.

(s) We call f ∈ VΓ a p-adic cusp form if

p , φN ) ∈ q
f (Tate(q), zφcan 1/N
W [[q 1/N ]]

for any choice of φN and all z ∈ Z×

p.
316 7 Modular Curves as Shimura Variety

Let VΓ/B = V (Γ ; B) := VΓ/W ⊗  W B (p-adic completion of VΓ/W ⊗W B)

for a W -algebra B = limm B/pm B. Each element f ∈ VΓ/B is a function of
←−
(E, φp , φN )/R satisfying conditions (V1–3) for p-adically complete B-algebras
R (replacing W in the conditions by B).
Again, we note the consequence of the irreducibility of the Igusa curve.
Corollary 7.38 (q-Expansion Principle) If the q-expansion at the infinity
cusp of a p-adic modular form f ∈ VΓ/B over a p-adically complete W -algebra
B vanishes, f itself vanishes; that is, f (E, φp , φN ) = 0 for all test objects
(E, φp , φN )/R defined over p-adically complete B-algebras R.
The level-p structure φp of a p-adic test object (E, φp , φN )/R as in (V1–3)
is an isomorphism φp : μp∞ ∼ = E[p∞ ], which induces by Lemma 4.82,
φp : G ∼  Here E
 m = E.  is the formal completion of E along 0E ∈ E(R/pR).
  −1 ]) induces an in-
Thus, the invariant differential dt t of Gm = Spf(R[t, t
variant differential ωp so that φ∗p ω
p = t . Since ω ∈ H 0 (E, ΩE/R ) induces
dt


an invariant differential over E, we have H 0 (E, ΩE/R ) = H 0 (E,  Ω  ); so
E/R
p on E such that
we have a unique invariant differential ωp induced by ω
H 0 (E, ΩE/R ) = Rωp .

Definition 7.39 For each f ∈ Gk (Γ1 (N pα ); R), we define f((E, φp , φN )) =

f ((E, φp |μpα , φN , ωp ).

This association (E, φp , φN )/R → f((E, φp , φN )) clearly satisfies (V1–3) by

(G0–4), and we have a natural R-linear map
+
Gk (Γ1 (N p∞ ); R) := Gk (Γ1 (N pα ); R) → VΓ1 (N )/R .
α

Exercise 7.40 Prove the identity f(q) = f (q) of q-expansion at ∞.

By the above exercise, f → f preserve q-expansion; so, by the q-expansion
principle (applied to L = ω k ), f → f is an inclusion. If f, g ∈ Gk (Γ1 (N p∞ ); R)
has congruence f (q) ≡ g(q) mod pn R[[q]], then again by the q-expansion prin-
ciple, (f−
g)((E, φp , φN )R/pn R ) vanishes for any p-adic test objects (E, φp , φN )
over R/pn R; so f ≡ g mod pn VΓ1 (N )/R by the p-adic q-expansion principle.
In other words, the map f → f is p-adically continuous. Thus, we get
Proposition 7.41 We have a canonical p-adically continuous inclusion of
classical modular forms in Gk (Γ1 (N p∞ ); R) into the space of p-adic modular
forms VΓ1 (N )/R , preserving the q-expansion at ∞.
Remark 7.42 By this proposition, for G = Gk (Γ1 (N p∞ ); R), the p-adic
completion G  is a subspace of VΓ (N )/R . Though we can prove G  = VΓ (N )/R if
1 1
k ≥ 2 (cf. [H88b] Corollary 5.2), we do not need this fact. This justifies the con-
struction done in Sect. 1.3.6 of the Katz derivative df for f ∈ Gk (Γ1 (N p∞ ); R)
as a p-adic modular form.
 7.2 Igusa Tower 317

7.2.5 Reciprocity Law for Deformation Space

We start with a fixed CM point x = [z, g] and the associated elliptic curve
(Ex , ηx ) with complex multiplication by Mx . See Sect. 7.1.8 for the notation.
We choose z ∈ H ∩ idx (M ) so that O = Z + Z · z. Unless confusion seems
likely, we write M for Mx . We suppose that O → End(Ex ) for the integer
ring O of M . Take W = W (Fp ) and consider the reduction E0 modulo (p)
of Ex for the maximal ideal (p) ⊂ W . Suppose that E0 is ordinary; thus, p
splits (p) = pp in O. We assume E0 [p∞ ] ∼ = μp∞ (see Corollary 6.40). By this
choice, idx = idz defined in Sect. 7.1.8 coincides with ip |M for the embedding
ip : Q → Cp we fixed at the beginning. We write v for the p-adic place of M
associated with idx . Thus, the ordinarity of E0 is equivalent to

v = v ◦ c for the complex conjugation c ∈ Gal(M/Q). (ord)

Since x = [z, g], ηx = ηz ◦ g, and so the choice of g is tantamount to the choice
of the base of MA(∞) over A(∞) , sending the basis {−1, z} of L  z = Lz ⊗Z Z  to
−1 −1
g ( z ). We have chosen −1 in order to incorporate the conjugation by J1 we
made in (7.1.6) [because ( −1 z ) = J1 ( 1 )]. We then have Ex (C) = L\ (M ⊗Q R)
z

for a fractional ideal L ⊂ M identifying M ⊗Q R with C through a ⊗ t →

idx (a)t. This induces η (p) = ηz ◦ g (p) : M ⊗Q A(p∞) ∼
(p)
= V (p) (Ex ). Since
O ⊂ EndW (Ex ), we may assume that Lp = Op = O ⊗Z Zp [so gp ∈ G(Zp )
by our choice of z, so that Lz = O inside M ]. We are dealing with Kottwitz’s
moduli problem (as in (7.1.11) in Sect. 7.1.3). By reduction mod p, η (p) induces
(p)
a prime-to-p-level structure η0 on E0 . Let (E, ιE )/R be any deformation of
(E0 , ι0 )/F (F = Fp ) over Spec(R) for an Artinian W -algebra R. Since E[N ] for
(p)
N prime to p is étale over Spec(R), the level structure η0 at the special fiber
(p)
extends uniquely to a level structure ηE on E/R . Thus, the level structure is
insensitive to the deformation of the underlying triple (E0 , ι0 ). Therefore, for
the deformation functor similar to the one in (6.3.1):
?  @
= (E, ιE , ηE )/R (E, ιE , ηE ) mod mR = (E0 , ι0 , η0 ) ,
(p) (p) (p)

℘(R)

(p)
the forgetful morphism: (E, ιE , ηE )/R → (E, ιE )/R of ℘ into the original
deformation functor EE0 in (6.3.2) induces an isomorphism of functors; so
they have canonically isomorphic deformation spaces (though it would be
better to view that they are not equal).
We consider the Serre–Tate deformation space Sx representing ℘.
 We take
(p)
the Shimura–Igusa–Kottwitz model Sh/W over W and consider x = [z, g] as a
(p) (p)
W -point of a geometrically connected component Y/W of Sh/W . Abusing the
notation, we let S = Y (p) [ E1 ] [instead of X (p) ]; that is, we invert over Y (p) a
lift E of a power of the Hasse invariant H. Recall that the formal completion
Y (p) of Y (p) along Sm = S ⊗W Wm is uniquely determined independently of
318 7 Modular Curves as Shimura Variety

the choice of E and gives the ordinary locus of the universal elliptic curve E
(see Lemma 7.28). By our choice, x gives rise to a closed point of Y (p) .
Since the Serre–Tate deformation space G m carries the universal deforma-
(p)  m ) = E (p) (G
tion E = (E, η )/Sx , which is an element of EG(Zp ) (G
(p)  m ), by the
universality of the Shimura variety, we have an inclusion

ϕ : Sx → Y (p) such that ϕ∗ Eord = E (7.2.1)

for the universal quadruple Eord over Y (p) . Since η (p) lacks the information
about E0 [p∞ ], the identification of Sx with G  m has not yet been specified.
We can lift the morphism ϕ to the Igusa tower over  the formal completion
Y (p) of Y (p) [ E1 ]/W along S1/F . Then the identification j p−j /O ∼ = Ex [(p)∞ ]
induces
ηpet : Qp /Zp = Mp /Op ∼ ∞
= Ex [p∞ ]et = Ex [p ].
By the Cartier dual inverse, η et induces η ◦ : μp∞ ∼ = Ex [p∞ ]◦ = Ex [p∞ ]. Let

K be the field of fractions of W . Over the field K,  we can extend η (p) to
◦ ∼
ηp = ηp × ηp : Zp × Zp (1) = Op = Tp Ex . This choice is tantamount to the
ord et

choice of gp , which brings the base of Lp to the base given by the idempotents
−1p := (0, 1) of Op and 1p := (1, 0) of Op in Op × Op = Zp × Zp (1). We write
η ord = ηpord ×η (p) [this η ord incorporates the Galois action on Zp ×Zp (1), and if
we want to make explicit about ignoring the action, we write η = ηpord × η (p) ].
This ordering of Zp and Zp (1) is important as the canonical inclusion μpn →
C× /q Z for q = exp(2πiz) is induced by
1 1 1
→ n ∈ (2πi)(Z n + Zz)/(2πi)(Z + Zz),
pn p p

and as a convention, the basis of (2πi)(Z + Zz) is written as 2πit (z, 1) [i.e.,
the right-hand side 1 corresponding to the level-Γ1 (pn ) structure]. In other
−1 −1
words, as we have remarked, the action η → η ◦ g corresponds
? @to J?1 g @ J1
 0 −1  1 1
on the lattice side for J1 = 1 0 , and by this choice J1 −1pp = 1pp , we
do not need to worry about conjugating by J1 (so we forget about J1 ).
We can think of the deformation of (E0 , ι0 , η0ord )/Fp for η0ord = η ord mod p.
The p-part of the level-p structure η0ord provides the canonical identification
of the deformation space S with G  m . For any complete local W -algebra C
and any deformation E/C of E0 , E[p∞ ]et is étale over Spec(C); so, again,
the deformation is insensitive to the ordinary level structure. Thus, we get a
canonical immersion:

 m → I such that ϕ∗ Eord = E.

ϕη0ord : G (7.2.2)

Here Eord (resp., E) denotes the universal ordinary triple over I (resp., the
 m ).
universal triple over G
 7.2 Igusa Tower 319

The elliptic curve E x = (Ex , i, η ord ) is the fiber of E at a point tEx /W ∈


Gm (W ). Here tEx /W is an Zp -bilinear form on T E0 [p∞ ]et . Since any element
a ∈ O ⊂ End(E0/F ) can be lifted to Ex , by Theorem 6.49 (3), we have

tEx /W (i(α)y, y  ) = tEx /W (y, i(α)y  ) (α ∈ O), (7.2.3)

where α = c(α) for 1 = c ∈ Gal(M/Q). This forces tEx /W to be 0, that is,
tEx /W (y, y  ) is the constant 1 of the group G m identically, because tE /W
x
is also Zp -linear and Zp = Op . Indeed, the connected étale exact sequence
of Ex [p∞ ] does split by complex multiplication, and hence tEx /W = 1 by
definition.
We now compute the effect of the isogeny α : E0 → E0 (E0 = Ex/F and
α ∈ O) on the deformation space S.  Pick a deformation E/R of E0 = Ex/F for
an Artinian R ∈ CL/W , and we look into the following diagram with exact
rows:

 m (R)) → E[pn ](R) −

Hom(T E0 [pn7]et , G
π
→ E0 [p n et
⏐ ]−c(R)
α⏐ .α (7.2.4)
n et  π
Hom(T E0 [p ] , Gm (R)) → E[p ](R) −
n
→ E0 [pn ]et (R).
Take u = limn un ∈ T E0 [p∞ ]et , and lift it to v = limn vn for vn ∈ E(R) (but
←− ←−
vn ∈ E[pn ]). Then

 m ) for tn (un ) =“pn ”vn .

t(u) = lim tn (un ) ∈ Hom(T E0 [p∞ ]et , G
← −
n

Note that the identification of Hom(T E0 [p∞ ]et , G  m ) with the formal group E 
of E is given by the Cartier duality composed with the polarization; so if α
= limn α(“pn ”α−c (vn )) (if we allow fraction
1−c
is p-integral, α sends t to tα
←−
power of t, this is valid without assuming the integrality of α). Thus, the effect
of α on t is given by t → tα . Once the identification of S with G
1−c
 m is given
∞ ∼ ∞ et
(that is, a level-p structure η0 : Qp /Zp = E0 [p ] is chosen), nonzero
ord

α ∈ O acts on the coordinate t (of G  m ) by t → tα1−c .

Write Zp [t, t−1 ] for the formal completion of Zp [t, t−1 ] at the origin 1 ∈
S(F) for S = Gm . Identify Zp [t, t−1 ] with the ring made up of formal series:
    −1 ])
ξ∈Z a(ξ)t for a(ξ) ∈ Zp . Let T0 = Gm/Q . Since Sx = Gm = Spf(Zp [t, t
ξ

for the completion at the origin 1 ∈ Gm (F), s ∈ Zp = T0 (Zp ) acts on Sx by

×
 s
t → ts = ∞ n=1 n (t − 1) , which induces an automorphism of the formal
n


group Gm , and all Zp -linear automorphisms are obtained in this way. On a
point u ∈ G m (W ) = 1 + mW , the action induces u → us .
The inclusion Z → O induces an identification of p-adic rings Op with
Zp , which we fix in this paper and use always in the sequel. Note that Op =
Op × Op . This same inclusion, Z → O, induces an inclusion of Z(p) -tori
320 7 Modular Curves as Shimura Variety

T0 → Tx . Let T := Tx /T0 . By the identification above, the map O× ×

(p) → Op
given by α → α1−c induces an injective homomorphism

T (Z(p) ) → Z×
p = T0 (Zp ). (7.2.5)

Thereby, the action of T (Zp ) on S and that of T (Z(p) ) are compatible. The
torus T (Z(p) ) is isomorphic to the image of Tx (Z(p) ) in Shimura’s auto-
morphism group Aut(X (p) ) = G(A(p∞) )/Z(Q), and its action on Sx factors
through the action of GI on I via (7.2.2). The Zp -module structure of S given
by t → ts therefore commutes with the isogeny action of Tx on S. 
By the level structure ηpord (and its dual), we identify E x with G m and
Ex [p∞ ]et with Qp /Zp . In this way, we may identify the torus T with the
diagonal torus T of G1 = SL(2). The action of t ∈ T0 (Zp ) = Z× p on the
quotient Ex [p∞ ]et is given by the multiplication by t ∈ Z× , and hence the two
 −1  p
tori are identified by T0 (Zp )  t → 0 t ∈ T (Zp ) ⊂ SL2 (Zp ), taking the
t 0

lower diagonal entry of T as the coordinate of the quotient.

Change of level structure η ord → η ord ◦ a for a ∈ T0 (Zp ) is given by the
 −1 
action of an element a 0 a0 of the diagonal torus in T (Z)  ⊂ SL2 (A(∞) ),
which moves the point x ∈ I to a different point y = a(x) étale over the image
of x in ShK = P1 (j) [for K = G(Z)]  and brings the canonical coordinate at
x to that of the image y. In other words, the action of a by the change of η ord
to η ord ◦ a:
(E, ιE , η ord ) → (E, ιE , η ord ◦ a),
sends the deformation space Sx centered at (E0 , ι0 , η0ord ) on x to the different
deformation space Sy centered at (E0 , ι0 , η0ord ◦ a) on y = a(x) (as long as
the two triples are not isogenous). The action of rx : Tx (Q) → G(A(∞) ) and
the action of T (Zp ) via the change of level structure are compatible, since
the intersection of the images of the two groups in GI is trivial [and the p-
component T (Zp ) and the projection of rx (Tx (Q)) to the p-component G(Qp )
are both diagonal].
By the definition of rx given above, we have α ◦ η ord = η ord ◦ rx (α)
automatically. If rx (α) ∈ Tx (Z(p) ), it acts on I as an automorphism, while
rx (α) ∈ Tx (Q) may expand or shrink OI because it would induce a morphism
like the Frobenius map on the special fiber. The action of τ (rx (α)) sends the
1−c
canonical coordinate t into tα (identifying α with its image in Op = Zp ).

Lemma 7.43 If h ∈ GI fixes x and is an image of h̃ ∈ G(A(∞) ) with h̃p ∈

G(Zp ), then it is induced by an endomorphism α ∈ EndQ (Ex ) ⊗Z Q = M , and
1−c
h induces t → tα .

Proof. Since h fixes x, it has to preserve I and S by the irreducibility of I (a

theorem of Igusa; see Corollary 7.36). Take h̃ ∈ G(A(∞) ) with h̃p ∈ G(Zp ) pro-
jecting down to h. Thus, h̃p is in the upper triangular Borel subgroup B(Zp )
by Theorem 7.35. The Borel subgroup B is upper triangular with respect to
 7.2 Igusa Tower 321

the coordinate given by η ord (and its dual) under, which we identified as T0
and T . By the universality of Sh/Q , there exists an isogeny α : Ex → Ex such
that η (p) ◦ h̃ = α ◦ η (p) and η ord ◦ h̃ = α ◦ η ord . Since α ∈ End(Ex ) = O, we
have h̃ = rx (α) modulo Z(Q), and therefore, h is the image of rx (α) in GI .
Then the assertion follows from the above discussion.

Summing up the above discussion, we have the following fact:

Proposition 7.44 Let a ∈ T0 (Zp ) for T0 = Gm/Q . Then the action

(E, ιE , η ord ) → (E, ιE , η ord ◦ a)


induces an isomorphism: Sy ∼ = Sx (y = a(x)) sending f = ξ c(ξ)t
ξ
∈
   
Γ (Sy , OSy ) to f ◦ a(t) = ξ c(ξ)t ∈ Γ (Sx , OS
ξ
), where t (resp., t ) is the
 
canonical coordinate of Sx (resp., Sy ). For an isogeny α ∈ EndQ (Ex ) regarded F
1−c
as an element of Tx (Q) by rx , we have t ◦ τ (rx (α)) = tα .

7.2.6 Katz Differential Operator

We have defined the two-level structure ηpet and ηp◦ of the canonical lift Ex
of E0 := Ex ⊗W F, which automatically (and uniquely) extends to the level
structure η et ∼ ∞ et
and η ◦p : μp∞ ∼
= E[p∞ ]◦ over G m/W . Let
p : Qp /Zp = E[p ]
ip
ζn = e( p1n ) [the canonical generator of μpn (Cp ) we chose in Proposition 6.51].
By Proposition 6.51, after extending scalars to Spf(W [t1/p n
, t−1/pn ][ζn ]), the
finite flat group scheme E[pn ] splits as E[pn ]◦ × C1 , and η p mod pn induces
this splitting (though the splitting is up to the truncated Barsotti–Tate group
of order pn ). We consider an open compact subgroup Γ ⊂ G(Z  (p) ) containing
/  0
Γ(N )(p) = x ∈ G(Z  (p) )x ≡ 1 mod N · M2 (Z (p) )

(p)
for a positive integer N prime to p. Let IΓ be the Igusa tower over ShΓ =
Sh(p) /Γ . Then we have the following result in [Br1] Sect. 7:

Lemma 7.45 Consider S embedded in IΓ , and take a positive integer n with

pn ≡ 1 mod N . Let ζ = ζnu for 0 ≤ u < pn (u ∈ Z). Then the isogeny as in
Proposition 6.51


E ×G m Spf(W [t1/pn
, t−1/pn ][ζ])
π
−−−−→ E/Cζ /Spf(W [t1/p
n −1/pn
⏐ ⏐ ,t ][ζ])
⏐ ⏐
. .

Spf(W [t1/pn
, t−1/pn ][ζ]) −−−−−−→ 
Spf(W [t1/pn
, t−1/pn ][ζ])
n
t →t1/p ζ
 pn u   pn 0 
brings η ord to η ord ◦ g, where gp = 0 1
and gl = 0 1
for all primes l = p.
322 7 Modular Curves as Shimura Variety

Note here that E/Cζ is defined over Spf(W [t1/p  n

, t−1/pn ][ζ]) and do not
descend to G  m = Spf(W[t, t−1 ]) (as Cζ is only well defined over

Spf(W [t1/pn
, t−1/p ][ζ]).
n

Proof. Our proof is slightly different from the proof given in [Br1]. By Propo-
sition 6.51, the induced map in the bottom line of the commutative diagram
n
in the proposition is given by t → ζt1/p for the canonical coordinate t with
respect to η. Thus, we need to determine g. Since the connected-étale exact
sequence of E[pn ] splits over an fppf extension of G  m , it is canonical over

W [t1/pn
, t−1/p ], and the splitting is given by C1 (i.e., u = 0). Thus, up
n

to E[pn ], we have a well-defined η p mod pn : Z/pn Z × μpn ∼ = C1 × E[pn ]◦ .

 
More audaciously, if we work over R := n W [t1/p n
, t−1/pn ], we can split
the sequence even at the level of the Barsotti–Tate group E[p∞ ] canonically.
Thus, g ∈ G(A(∞) ) is well defined over R, and we can compute g at any
characteristic-0 fiber of E. Thus, we can detect g by the fiber at t = 1 (i.e.,
at Ex ), and we work at the specialization at t = 1. Writing simply η = η ord
and putting L  = η −1 (T Ex ) ⊂ (A(∞) )2 , then we need to have g −1 L/ L = Cζ u
ip
for the canonical generator ζ = e( p1n ). Writing γ = ηpet ( p1n ), as in the proof
of Proposition 6.51, Cζ is generated by γζ −1 = γζn−u . Note that at p, we
 p = Op in the proof of Proposition 6.51.
have chosen the basis (1p , −1p ) of L
Writing additively, we have ηp (γζ ) = −u
−1 −1 1
pn (−1p ) + pn 1p . Thus, we may take
gp given by ? @ ? @
−u 1
gp−1
1p pn (−1p )+ pn 1p
−1p = −1p
.
This shows gp is as given in the lemma. Outside p, gp Γ = gΓ because of
pn ≡ 1 mod N ; so the effect of gp and g is the same on IΓ ; hence, the result
follows.

Exercise 7.46 Let the assumption be as in the above lemma. Prove that the
quotient map E → E/η(μ n ◦ 
 1 p0n ) = E/E[p ] is defined over Gm induced by η →
η ◦ h for h with hl = 0 p n for all primes l and that the following diagram
is commutative:
π
E −−−−→ E/E[pn ]◦
⏐ ⏐
⏐ ⏐
. .

Spf(W
[t, t−1 ]) −−−−→
n
Spf(W
[t, t−1 ]).
t →tp

Here is another result from [Br1]:

u 
Lemma 7.47 Let α( pum ) = 10 p1m ∈ G(Qp ) regarded as an element of
G(A(∞) ) for a positive integer m and u ∈ Zp [so α( pum )l = 1 for any prime
l = p]. Then the isogeny action of α( pum ) on the Igusa tower I over Sh(p)
 7.2 Igusa Tower 323

preserves the universal deformation space of Ex (after extending scalars to

W [ζnu ] and induces t → tζnu ).
Since we computed the isogeny action of g and h incorporating the conjugation
by J1 , the isogeny action in the lemma already incorporates the conjugation
by J1 (so this corresponds to the action of z → α(u)(z) = z + pun on the upper
half-plane).
Proof. Since I = limΓ IΓ , we need to prove the result only for IΓ for an
←−
open compact subgroup Γ ⊂ G(A(p) ) as in Lemma 7.45. For any pum with
n−m
n ≥ m, we have pum = p pn u , and we can take n in Lemma 7.45 as large as
we want so that pn ≡ 1 mod N . Let ζ = ζnu . Inside E0/F = Ex ⊗W F, the
image C ζ of Cζ ⊂ E × W [t1/p n
, t−1/pn ][ζ] is equal to C 1 = E0 [pn ]. We have
m
G
g h
E0 −→ E0 → E0 /E0 [pn ] = E0 /(C 1 + E0 [pn ]) = E0 ,
:= E0 /C ζ = E0 /E0 [pn ] −
since C 1 = E0 [p ]. Thus, the action of gh preserves the origin of S = G
n  m,
and the isogeny action of gh preserves the deformation space. As for the
coordinates, we have
Lemma 7.45 n Exercise 7.46
t−
−−−−−−−
→ ζnu t1/p −−−−−−−−→ tζnu .
g h

pn u
Note that the action of gh = 0 pn = pn α( pun ). Since the global p =
(p, p, . . . , p, . . . ) ∈ G(A(∞) ) diagonally embedded in G(A) acts trivially on Sh
x →px m
as it is induced by self-isogeny E −−−−→ E, the action of the scalar pn on G
is the identity. Hence, we get the desired result.
Proposition 7.48 Let t be the canonical Serre–Tate coordinate of the uni-
versal deformation space S := G m of (Ex , η ord ). Then the Katz differential
 
operator d induces t dt on S := Gm .
d

This follows from [K1] Theorem 4.3.1, but we give a different proof without
using the Gauss–Manin connection on the deformation space.
Proof. We use the notation introduced between (1.3.9) and (1.3.10). Since a p-
adic modular form is a p-adic limit of classical modular forms, we only need to
verify the result for
classical forms. Then for a classical modular
 form f with q-
expansion f (q) = m∈Z a(m, f )q m and t-expansion f (t) = m∈Z c(m, f )tm
 we defined in (1.3.10) the operator d as
(over S),

df (q) = lim f |φn (q) = na(n, f )q n ,
n→∞
n

where we have chosen φn so that limn→∞ φn (m) = m p-adically. By (1.3.9),

we have  u
f |φn = p−n φ∗n (−u)f |α( n ),
p
n u∈Z/p Z
324 7 Modular Curves as Shimura Variety

where f |α(a)(z) = f (α(a)(z)) = f (z +a) for z ∈ H. By the q-expansion princi-

ple combined with the t-expansion principle, we have df (t) = limn→∞ f |φn (t).
By definition, the action of α( pun ) on H is given by z → α( pun )(z) = z + pun
for z ∈ H and by Lemma 7.47, we have α( pun )(t) = ζnu t for t ∈ G m . Then, by
−n
 ∗ mu
the definition of the Fourier transform, φn (m) = p u∈Z/pn Z φn (−u)ζn .
In particular, we have
 
f |φn (t) = p−n φ∗n (−u)c(m, f )(ζnu t)m
m u∈Z/pn Z
⎛ ⎞
  
= p−n ⎝ φ∗n (−u)ζnmu ⎠ c(m, f )tm = φn (m)c(m, f )tm .
m u∈Z/pn Z m

Passing to the p-adic limit with respect to n, we get

 df
df (t) = lim f |φn (t) = m · c(m, f )tm = t ,
n→∞
m
dt

as desired.
1−c
Remark 7.49 The action of ρ(α) for α ∈ Tx (Z(p) ) induces t → tα by
Proposition 7.44. Then the above lemma supplies us with the final missing
item in the proof of Lemma 1.33; so Lemma 1.33 has now been proven.

7.3 Elliptic Modular Forms of Slope 0

We keep the notation in the previous section and recall the one introduced in
Sect. 6.2.12. Take Γ(N )(p) ⊂ Γ ⊂ Γ0 (N )(p) , and write X for the compactified
modular curve XΓ . We have S0 = X[ E1 ], Sm = S0 ⊗W Wm = Spec(Vm,0 ), S∞ =
limm Sm , and Im,α = Spec(Vm,α ) for the αth layer of the Igusa tower over Sm .
←−
We have a p-divisible module VΓ on which Gal(Vm,∞ /Vm,0 ) = Z× p = Gm (Zp )
acts continuously. Here T = Gm . We construct a projector e acting on V out of
the Hecke operator U (p) commuting with the action of Z× p = Gal(Vm,∞ /Vm,0 ).
The important features of e (we are going to show) are
• e = limn→∞ U (p)n! (we recall the definition of U (p) in Sect. 7.3.3);
• V ord = eV has the Pontryagin dual, which is projective over W [[Gm (Zp )]];
• for any k ≥ 3, there is a canonical isomorphism

V ord [k] ∼
= eH 0 (S0 , ωk ⊗ Tp ) = eH 0 (X, ω k ⊗ Tp ) (Tp = Qp /Zp ),

where V[k] = {f ∈ V|zf = z k f for all z ∈ Z×

p } and V
ord
[k] = eV[k].

Here is how to prove the convergence of the projector e = limn→∞ U (p)n! .

For any finite p-torsion module M with an endomorphism u, the power un!
 7.3 Elliptic Modular Forms of Slope 0 325

stabilizes as n grows, giving an idempotent eu in the endomorphism algebra

End(M ), since End(M ) is a finite ring. For a p-divisible module M with an
endomorphism u, we assume that M = limi∈I Mi for finite modules Mi stable
−→
under u. Then the endomorphism eu = limn→∞ un! is well defined over Mi
for all i and hence over M . For a compact p-profinite torsion-free module
M with an endomorphism u, we take the Pontryagin dual pair (M ∗ , u∗ ),
which is p-divisible (cf. [FAN] Chaps. 1 and 3). Thus, eu∗ exists on M ∗ . Then
eu = limn→∞ un! (which is the dual of eu∗ ) exists as an endomorphism of M .

7.3.1 Control Theorems of p-Adic Modular Forms

Recall the invertible sheaf ω k over X1 (N ) as in Definition 6.29. Computing

the genus of X1 (N ), the Riemann–Roch theorem tells us that ωk is very ample
if k ≥ 3 (see [GME] Proposition 2.1.4 and Theorem 3.1.2).
Let (E, φN , ω) be the universal elliptic curve over Y1 (N ). For each element
(E, φN , ω) ∈ ℘Γ1 (N ) (R) defined over R (called a test object), we have a unique
morphism ι : Spec(R) → Y1 (N ) such that ι∗ (E, φN , ω) = (E, φN , ω). For each
section f ∈ H 0 (Y1 (N ), ω k ), we define ι∗ f = f (E, φN , ω)ω ⊗k . The function
(E, φN , ω) → f (E, φN , ω) satisfies (G0–2). Condition (G3) ensures that f
extends to X1 (N ). This reconfirms Definition 6.29:

H 0 (X1 (N )/R , ω k/R ) ∼

= Gk (Γ1 (N ); R) (canonically) (7.3.1)
for all Z[ 6N1
]-algebras R.
Let (E, φp , φN ) be the universal elliptic curve over Sm . Pick a section
f ∈ H 0 (Sm , ω k ). Since μp∞ carries a canonical differential ωcan = dt t , writing
α
μpα = Spec(Z[t]/(tp − 1)), we may regard f as a function of (E, φp , φN )
by f (E, φp , φN ) = f (E, φN , φp,∗ ωcan ). For each (E, φp , φN ) ∈ E∞ ord
(R) for
a Wm -algebra R, we have a unique morphism ι : Spec(R) → Im,∞ =
Spec(Vm,∞ ) such that (E, φp , φN ) = ι∗ (E, φp , φN ). Then ι∗ f is just a
function on f (E, φp , φN ) such that f (E, z −1 φp , φN ) = z k f (E, φp , φN ) for
z ∈ Gal(Vm,∞ /Vm,0 ) = Z× ×
p . We recall that the action of Gm (Zp ) = Zp is nor-
× ∞ et ∼
malized so that z ∈ Zp acts on the dual identification φp : E[p ] = Qp /Zp
et

of φp : μp∞ → E[p∞ ] via the multiplication by z; so z acts on φp by

φp → φp ◦ z −1 . In other words, we have z · f (E, φp , φN ) = f (E, z −1 φp , φN ) =
z k f (E, φp , φN ). This shows that

Vm,∞ [k] = H 0 (Sm , ω k )

and V[k] = H 0 (S∞/W , ωk ⊗ Tp ) = H 0 (S∞/W , ω k ) ⊗ Tp , (7.3.2)

where Tp = Qp /Zp . The last identity follows from the affineness of S0 . When
we generalize this point to classical groups bigger than G = GL(2)/Q , the
affineness is no longer true; so we need to work out this point (the base-
change property) carefully to bring Tp inside the cohomology group outside
326 7 Modular Curves as Shimura Variety

the cohomology group. In the elliptic modular case, simply by the affineness
of S0 , (7.3.2) shows that V[k] is p-divisible, and its direct summand eV[k] is
also p-divisible. We show that e contracts V[k] into H 0 (S0/W , ω k ⊗ Tp ).
We consider the following condition:
(F) corankW eV[k] = rankW Hom(eV[k], Tp ) is finite for an integer k.
In practice, this condition is often proven by showing

eH 0 (S0/W , ωk ⊗ Tp ) = eH 0 (X1 (N )/W , ω k ⊗ Tp ) = Gord

k (Γ1 (N ); Tp ), (7.3.3)

where

k (Γ1 (N ); R) = eGk (Γ1 (N ); R) and Gk (Γ1 (N ); Tp ) = Gk (Γ1 (N ); Zp ) ⊗ Tp .

Gord

The left-hand side (LHS) of (7.3.3) is p-divisible, since S0 is affine. The right-
hand side (RHS) is of finite corank, since X1 (N ) is projective. Thus, eV[k] is
p-divisible of finite corank.
Decompose Z× p = ΓT × Δ for a p-profinite group ΓT and a prime-to-p
finite group Δ. For simplicity, suppose that p > 2. Then Δ has order p − 1
prime to p, and ΓT is isomorphic to Zp . For the generator γ = 1 + p of
ΓT , we have W [[ΓT ]] ∼
 = W [[x]] = Λ via γ → 1 + x [i.e., γ s → (1 + x)s =
∞ s j × ord
j=0 j x ], and W [[Zp ]] = Λ[Δ]. Let V be the Pontryagin dual module of
eV. See [FAN] Chaps. 1 and 3 for generalities on topological groups (including
Pontryagin duality and profinite groups), and [LFE] Chap. 8 also contains a
short exposition on this subject. The Pontryagin dual for p-torsion modules M
(equipped with discrete topology) is given by M ∗ = Homcont (M, Tp ) for Tp =
Qp /Zp with discrete topology. Writing M = limi∈I Mi for finite submodules
−→
Mi of order pn(i) , we have

M ∗ = lim Hom(Mi , p−n Z/Z) ∼

= lim Hom(Mi , p−n(i) Z/Z),
←− ←−
i,n i

∗
and the topology on M is the profinite topology with respect to the finite
discrete groups Hom(Mi , p−n Z/Z). Then M ∗ is a compact profinite group.
The duality is perfect; so if M → Y  Z is an exact sequence of p-torsion
modules, Z ∗ → Y ∗  M ∗ is an exact sequence of profinite groups. In par-
ticular, if M is p-divisible and p-torsion, the multiplication by p is surjective;
so, by duality, multiplication by p on M ∗ is injective, which shows that M ∗
is torsion-free if M is p-divisible and p-torsion.
Assume that a profinite (noetherian) W -algebra R acts on M continuously.
For any closed ideal a ⊂ R, Pontryagin’s dual of M [a] = {x ∈ M |ax = 0} is
given by M ∗ /aM ∗ , where R acts on M ∗ continuously by the pullback (dual)
action. To see this, we choose a finite set of generators (a1 , . . . , ar ) of a and look
x →(a1 x,...,ar x)
into the exact sequence: 0 → M

[a] → M −−−−−−−−−−→ M r . Taking the dual,
(x1 ,...,xr ) → ai x i
we find that M ∗ r −−−−−−−−−−−
i
−−→ M ∗ → M ∗ /aM ∗ → 0 is exact, which
 7.3 Elliptic Modular Forms of Slope 0 327

shows M [a]∗ = M ∗ /aM ∗ . For any (continuous) W -algebra homomorphism

χ : R → W , applying the above fact to a = Ker(χ), the Pontryagin dual
of the χ-eigen-subspace M [χ] = {x ∈ M |ax = χ(a)x for all a ∈ R} is given
by the maximal χ-eigen-quotient M ∗ /aM ∗ for the χ-augmentation ideal a =
Ker(χ) = (a − χ(a))a∈R ⊂ R.
 = Hom(Δ, W × ), and write V[χ] for the χ-eigen-subspace of χ ∈ Δ:
Let Δ 

V[χ] = {v ∈ V|δv = χ(δ)v for all δ ∈ Δ}.

 with χ = k|Δ , we have
If eV[k] is of finite corank for one k, taking χ ∈ Δ
V[k] = V[χ][k], and then by duality, we have

Vord ⊗W [[Gm (Zp )]],k W = Vord [χ]/(x + 1 − γ k )Vord [χ]

= Homcont (V ord [χ, (x + 1 − γ k )], Tp )
∼
= HomZp (lim H 0 (X (N )/Wm , ω k/Wm ), lim p−m Z/Z)
−→ ord 1
m
−→ m
∼
= lim 0
HomZp (Hord (X1 (N )/Wm , ωk/Wm ), p−m Z/Z)
←−
m
∼
= lim 0
HomW (Hord (X1 (N )/Wm , ωk/Wm ), Wm )
←−
m
= HomW (Hord (X1 (N ), ω k ), W )
0 ∼
= HomW (Gord
k (Γ1 (N ); W ), W ). (7.3.4)

In the middle equality, we have assumed (7.3.3). Here the subscript or super-
script ord indicates the image of e.
Write Δ = Hom(Δ, W × ). Note here that each χ ∈ Δ  is induced by in-
∗
finitely many 0 < k ∈ X (T ). Decompose V ord
into the sum of χ-eigenspaces,
:
Vord = Vord [χ].

χ∈Δ

This is possible, as we assumed that Δ has order prime to p. If z → z k

coincides with χ on Δ, then Vord [χ] ⊗Λ,k W = Vord ⊗W [[Gm (Zp )]],k W . By
Nakayama’s lemma (Lemma 10.8), we have a surjective homomorphism of
Λ-modules:
π : Λs(χ)  Vord [χ],

where s = s(χ) = corankW eV[k]. If (F) holds for one k, it holds for all
κ ∈ X ∗ (T ) inducing χ, and π is an isomorphism for the following reason: s
is the minimum number of generators of Vord [χ] ⊗Λ,κ W over W . We know
that this module is W -free, because its dual V[κ] is p-divisible; so it is free of
5 an isomorphism moduloκ (1 + x) − γ for all
κ
rank s. The morphism π induces
κ inducing χ. Then Ker(π) ⊂ κ Ker(π mod (1 + x − γ )) = 0, and we get
)
Theorem 7.50 Suppose that (F) holds for one k. Then Vord = χ Vord [χ]
is Λ-free of finite rank, and if (7.3.3) holds for κ ∈ X ∗ (T ) with κ|Δ = k|Δ ,
then
328 7 Modular Curves as Shimura Variety

Vord ⊗W [[Z×
p ]],κ
W ∼
= HomW (Gord
κ (Γ1 (N ); W ), W ).

We write the corresponding subspace of cusp forms satisfying (s3) in Sect.

6.2.10 and (s) in Sect. 7.2.4 adding superscript “cusp”; so Vord,cusp ⊂ Vord
except for Sk = Gcusp
k . By the same argument, we get the corresponding
assertion:

Vord,cusp ⊗W [[Z×
p ]],κ
W ∼
= HomW (Sκord (Γ1 (N ); W ), W ).

We can also replace Γ1 (N ) by Γ0 (N ), χ for a character χ : (Z/N Z)× → W × .

Remark 7.51 Since we get a parallel statement replacing Γ1 (N ) (resp., the
phrase “modular form”) by Γ0 (N ), χ (resp., “cusp form”), hereafter we state
the result only for Gk and Γ1 (N ). Unless we note specifically, all the results
are valid for cusp forms and for (Γ0 (N ), χ).

7.3.2 Bounding the p-Ordinary Rank

Since S0 is affine, we have H 0 (S1 , ω k ) = H 0 (S0/W , ωk ) ⊗W W1 . If we have

0
a sequence f 1 , f 2 , . . . , f j of linearly independent sections in Hord (S1 , ωk ), we
can lift them to fi ∈ H 0 (S0/W , ω k ) so that f i = (fi mod p). Since S0 = X[ E1 ]
for a lift E of a power of the Hasse invariant H, we have

H 0 (S0/W , ωk ) = lim H 0 (X/W , ωk+n(p−1) )/E n .

−→
n

Thus, E m fi ∈ H 0 (X/W , ω k+m(p−1) ) for all i = 1, . . . , j for sufficiently large

m, and they are linearly independent. We now assume
(C) e(Ef ) = E(ef ) for all f ∈ H 0 (S1 , ω k ).

By this, e(E m fi ) are still linearly independent in Hord

0
(X/K , ωk+m(p−1) ); so
we have dimK Hord 0
(X/K , ω k+m(p−1) ) ≥ j. If rankW1 Hord
0
(S1 , ω k ) is infinite,
0 k+m(p−1)
the rank of Hord (X/K , ω ) grows as m grows. Thus, condition (F) for
all k follows from
(F ) dimK Gord
k (Γ1 (N ); Qp ) is bounded (independently of k).

Indeed, the Eichler–Shimura isomorphism combined with a calculation of

1
group cohomology Hord (Γ1 (N ), L(k; K)) proves much stronger:
(E) If k ≥ 3, dimK Gord
k (Γ1 (N ); K) depends only on k mod p − 1


for the projector e [H86b] Section 4. Here L(k; K) = kj=0 KX j Y k−j is the
K-vector space of homogeneous polynomials φ(X, Y ) in (X, Y ) of degree k on
which γ ∈ Γ1 (N ) acts by γ · φ(X, Y ) = φ((X, Y )γ). We can ease the condition
k ≥ 3 to k ≥ 2 if we replace Gordk (Γ1 (N ); K) by Gk (Γ1 (N ) ∩ Γ0 (p); K) in
ord

(E) (see [LFE] 7.2).

 7.3 Elliptic Modular Forms of Slope 0 329

7.3.3 Vertical Control Theorem

Let (E, φp , φN )/R be a p-adic test object (i.e., φp : μp∞ → E[p∞ ] and R is a
p-adic ring). For the moment, we assume that R is of characteristic 0. Each
subgroup C of order p outside the image of φp is étale; so we can think of the
quotient (E/C, φp , φN ) defined over a (possibly “radiciel”) finite extension R
of R. To make this R explicit, we may assume that R is a complete local
p-adic algebra (by taking a completion). Then, writing t for the Serre–Tate
coordinate of (E, φp , t φ−1
p ) for the Cartier dual inverse φp
t −1
of φ, we have
 1/p
R = R[t ] by (the version specialized to E of) Proposition 6.51. Thus,
R is R-free of finite rank; so, identifying R ∼ = Rp (column vector space)
as an R-module, we can write multiplication by r ∈ R on R as a matrix
form ρ(r) ∈ Mp (R); hence, t (a1 r, . . . , ap r) = ρ(r)t (a1 , . . . , ap ). Then we define
Tr = TrR /R : R → R by Tr(r) = Tr(ρ(r)), where right-hand side is the
matrix trace of ρ(r).
Definition 7.52 We define the U (p) operator acting on a (p-adic or classical)
geometric modular form f by
1 (∗) 1 
f |U (p)(E, φp , φN ) = Tr(f (E/C, φp , φN )) = f (E/C, φp , φN ).
p p
C

Since C ∩ Im(φp ) is trivial, φp induces φp for E/C. Since (E/C, φp , φN ) is

defined over R , (f (E/C, φp , φN )) ∈ R , and Tr(f (E/C, φp , φN )) is the trace
as defined above. The last equality (∗) is only valid when p is not a zero
divisor in R. In this case, the C’s are given by Cζ for ζ ∈ μp (R[μp ]) as
in Proposition 6.51 (or more specifically, the version specialized to E), and

σζ (f (E/C1 , φp , φN )) = f (E/Cζ , φp , φ
N ) for the automorphism σζ of R , send-
ing t  to ζ · t ; hence, the sum C is actually a trace. In this way, the
1/p 1/p

sum C in the above definition has to be understood as a trace from R
to R. From the definition, as long as the prime p is invertible in the base
ring R, we can verify conditions (G0–3) [or (V1–3)] for f |U (p). Computing
the q-expansion (see (7.4.1)), we find a(n, f |U (p)) = a(np, f ). Then, by the
q-expansion principle, the operator U (p) is well defined p-integrally over W
even if the definition of the operator involves division by the prime p. Since
T (n) = T (n )U (pe ) if n = n pe with p  n , the sum over C ∈ Cn in the defi-
nition of the operator T (n) can be separated into a p-part and a prime-to-p
part. Though the sum of the p-part corresponding to U (pe ) is actually the
trace as explained above, we hereafter always pretend it is a sum (since the
notation becomes simpler by this abuse and it does not do any harm as long
as readers have this fact in mind).
Since E ≡ 1 mod p, we confirm (C). Recall
∞
:
GΓ1 (N ) (R) = Gk (Γ1 (N ); R).
k=0
330 7 Modular Curves as Shimura Variety

We have a natural inclusion map: GΓ1 (N ) (R) → VΓ1 (N )/R , since we may regard
f ∈ Gk (Γ1 (N pα ); R) as a p-adic modular form by putting f (E, φp , φN ) =
f (E, φp |μpα , φN , ωp ) as in Proposition 7.41. One can prove the p-adic density
of D = GΓ1 (N ) (W )[ 1p ] ∩ V in V (see [GME] Corollary 3.2.4). Using this fact,
we can show that we can write V as a union of finite modules stable under
U (p); so e = limn→∞ U (p)n! exists. The final result is as follows.
Theorem 7.53 (Vertical control theorem) We have

∼ HomW (Gord
k (Γ1 (N ); W ), W ) if k ≥ 3,
V ⊗W [[Z×
ord
W =
2 (Γ1 (N ) ∩ Γ0 (p); W ), W )
p ]],k
HomW (Gord if k = 2.

Similarly, if we write Vcuspord

for the subspace of cusp forms in V ord and write
Vcusp for its Pontryagin dual (i.e., the cuspidal quotient of Vord ), the above
ord

result is still valid, replacing Vord and Gord

k
ord
by Vcusp and Skord .

7.3.4 Families of p-Ordinary Modular Forms

Recall the decomposition Gm (Zp ) = Z× p = ΓT × Δ for a finite group Δ and

ΓT ∼ = Zp . We have chosen a generator γ ∈ ΓT so that Zp  s → γ s ∈ ΓT
induces the isomorphism Zp ∼ = ΓT and Λ = W [[ΓT ]] ∼ = W [[x]] by γ ↔ 1 + x.
Here we have the relation γ −1 (1 + x) = (1 + T ) for the variable T in Chap. 3.
Let a(n) : V ord → Tp be the linear map associating f with its coefficient
of q n in the q-expansion; hence, a(n) is in the dual Vord . We now consider

G(χ; Λ) = HomΛ (Vord [χ], Λ).

With each Φ ∈ G(χ; Λ), we associate its q-expansion

∞

Φ(q) = a(n; Φ)q n ∈ Λ[[q]] with a(n, Φ) = Φ(a(n)) ∈ Λ.
n=0

Theorem 7.54 For each k ≥ 2, we have

(1) G(χ; Λ) is Λ-free of finite rank;
(2) G(χ; Λ) ⊗Λ,k W ∼ k (Γ1 (N ) ∩ Γ0 (p), χω
= Gord −k
; W ), where ω is the Te-
ichmüller character modulo p; 
(3) the above identification is induced by Φ → n a(n, Φ)(γ k − 1)q n ∈ W [[q]].
Proof. The Λ-freeness follows from the freeness of Vord [χ]. We only prove the
assertion when k induces χ on Δ; so χω −k is trivial. We have

G(χ; Λ) ⊗Λ,k W ∼
= HomΛ (Vord [χ], Λ) ⊗Λ,k W
∼
= HomW (Vord [χ] ⊗Λ,k W, W ) ∼
= HomW (HomW (Gord (Γ1 (N ); W ), W ))
k
∼
= Gord
k (Γ1 (N ); W ) k (Γ1 (N ) ∩ Γ0 (p); W ).
= Gord
 7.4 Hecke Algebras 331

Here is the explanation of how to obtain the last isomorphism in the above
sequence of isomorphisms. As is well known (see Corollary 6.34 and (7.4.1)),
the Hecke operator T (p) acts on f ∈ Gk (Γ1 (N ); W ) by
n
a(n, f |T (p)) = a(pn, f ) + a( , f |p),
p

where we put a(ξ, f ) = 0 if ξ ∈ Z and p is the diamond operator we define

after (7.4.1). Thus, in W [[q]], T (p) ≡ U (p) mod p if k ≥ 2, and the natural
inclusion Gk (Γ1 (N ); W ) → Gk (Γ1 (N ) ∩ Γ0 (p); W ) induces an inclusion:

k (Γ1 (N ); W ) → Gk (Γ1 (N ) ∩ Γ0 (p); W ).

Gord ord

By the theory of primitive forms ([MFM] Theorem 4.6.17; see also [H85] Sec-
tion 3), this inclusion is surjective if k ≥ 3 (not surjective if k = 2, for example,
if N = 1 and p = 11 or p ≥ 17). We leave the verification of assertion (3) to
the reader.

For a given element Φ ∈ G(χ; Λ), we get a family of p-ordinary elliptic modular
forms {Φ(γ k − 1)}k≥2 whose q-expansion coefficients depend (p-adic) analyt-
ically on the weight k ∈ Homcont (T (Zp ), Z×p ). Each element Φ ∈ G(χ; Λ)
is called a p-ordinary Λ-adic form, and {Φ(γ k − 1)}k≥2 is called the p-adic
analytic family of modular forms associated with a Λ-adic form Φ.
Remark 7.55 As we mentioned in Remark 7.51, there is a version of this for
Γ0 (N ) and cusp forms. For k ≥ 2, we have
1. F (Γ0 (N ), χ; Λ) is Λ-free of finite rank;
2. F (Γ0 (N ), χ; Λ) ⊗Λ,k W ∼ −k
= Fkord (Γ0 (N p), χω ; W );
3. the above identification is induced by Φ → n a(n, Φ)(γ k − 1)q n ∈ W [[q]],
where χ is a character modulo N p and F = G and S (see [GME] Chap. 3).
We put F (Γ0 (N ), χ; I) = F (Γ0 (N ), χ; Λ) ⊗Λ I for a Λ-algebra I.

7.4 Hecke Algebras

In this section, we introduce Hecke operators’ action on the space of p-adic

modular forms and I-adic modular forms, as was done early in Sect. 6.2.5 for
modular forms. Here W denotes a discrete valuation ring in Q flat over Z(p) .

7.4.1 Hecke Operators on p-Adic Modular Forms

We call a ring R a p-adic ring if R = limn R/pn R. We now assume that

←−
the base algebra R is a W-algebra when we consider classical modular forms.
When we consider p-adic modular forms, we further suppose that R is a p-adic
332 7 Modular Curves as Shimura Variety

ring; hence, it is a W -algebra automatically for W = limn W/pn W. We use

←−
the notation introduced in Sect. 6.2.5. In particular, Cn (E) for a test object
(E, φN : μN → E, φp : μp∞ → E) is the set of locally free subgroups of rank
n disjoint from φN (μl ) and φ(μp ). As before, we make the quotient elliptic
curve E/C for C ∈ Cn and associated level structure πC,∗ φN and πC,∗ φp for
the projection morphism: πC : E → E/C. In particular, we have the following
commutative diagram defining πC,∗ φp :
μp∞ μp∞
⏐ ⏐
⏐
φp .
⏐π φ
. C,∗ p
E −−−−→ E.
πC

Definition 7.56 For 0 < n ∈ Z prime to p, we define a linear operator

f |T (n) : VΓ1 (N )/B → VΓ1 (N )/B by

1 
f |T (n)(E, φN , φp ) = f (E/C, πC,∗ φN , πC,∗ φp ).
n
C∈Cn (E)

For n = n pr with p  n , we put T (n) = U (p)r T (n ) for U (p) in Defini-

tion 7.52.
It is easy to see that f|T (n) = f |T (n) for f ∈ Gk (Γ1 (N p∞ ); R), and as
computed earlier in Sect. 6.2.9, we have
 mn
a(m, f |T (n)) = a( 2 , f |d). (7.4.1)
d
0<d|(m,n),(d,N p)=1

Here we recall from Sect. 6.2.5 that l =  (T (l)e(l)− T (l )) for

2 2
 primes l out-
side N , and as before, we have n = lN l if n = lN le(l) . Then,
by the q-expansion principle, this is well defined even when n is not invert-
ible in R. In other words, if R has characteristic 0, first we define T (n) on
Gk (Γ1 (N p∞ ); R[ n1 ]) and verify by the q-expansion principle that T (n) pre-
serves R-integral modular forms. Since Gk (Γ1 (N p∞ ); R) is p-adically dense,
we get T (n) acting on VΓ1 (N )/R . Since VΓ1 (N )/R/pR = VΓ1 (N )/R ⊗R R/pR, this
also covers characteristic-p cases.

7.4.2 Hecke Operators on Λ-Adic Modular Forms

By (7.4.1), the operator T (n) is automatically interpolated on F (Γ0 (N ), χ; Λ).

Indeed, for Φ ∈ F (Γ0 (N ), χ; Λ), if we put Φ|n = χ(n)(1 + T )logp (n)/ logp (γ) Φ,
we see easily that Φ(γ k − 1)|n = (Φ|n)(γ k − 1) for integers k (even for
p-adic integers k). Then we may define T (n) on F (Γ0 (N ), χ; Λ) formally by
 7.4 Hecke Algebras 333

 mn
a(m, Φ|T (n)) = a( , Φ|d). (7.4.2)
d2
0<d|(m,n),(d,N p)=1

Then it is a matter of computation to see that

(Φ|T (n))(γ k − 1) = Φ(γ k − 1)|T (n)

for all n, and therefore T (n) gives rise to the Λ-linear operator T (n) on
F (Γ0 (N ), χ; Λ). As seen in [GME] Theorem 3.2.16, we may regard the space
F (Γ0 (N ), χ; Λ) as a subspace of VΓ1 (N )/Λ , and we can verify the operator
T (n) introduced in the previous section preserves F0 (Γ0 (N ), χ; Λ), inducing
the T (n) formally defined by (7.4.2).

7.4.3 Duality of Hecke Algebra and Hecke Modules

We suppose the following axiom for a character φ of (Z/N Z)× × Z×

p with
values in R× for a ring R:
(d1) We have an R-free module of finite rank E with commuting R-linear
operator T (n) (n = 1, 2, . . . ) with T (1) giving the identity operator.
(d2) We have an embedding
∞ E → qR[[q]] for a power series ring R[[q]] given
by E  f → n=1  a(n, f )q n ∈ qR[[q]].
(d3) a(m, f |T (n)) = 0<d|(m,n),(d,N p)=1 φ(d)a( mn d2 , f ) for all positive integers
m, n.
Let h(E) be the subring of the R-linear endomorphism algebra EndR (E) gen-
erated by T (n) (n = 1, 2, . . . ).
Exercise 7.57 Using (d3), show that h(E) is a commutative algebra.
Definition 7.58 If E = Gk (Γ0 (N pr ), χ; R) [resp., E = Sk (Γ0 (N pr ), χ; R)],
we write Hk (Γ0 (N pr ), χ; R) [resp., hk (Γ0 (N pr ), χ; R)] for h(E). If E =
G(Γ0 (N ), χ; I), we write H(Γ0 (N ), χ; I) for h(E), where χ : (Z/N pZ)× → W ×
is a character. If E = S(Γ0 (N ), χ; I) = S(Γ0 (N ), χ; Λ) ⊗Λ I, we write
h(Γ0 (N ), χ; I) for h(E).
We define a pairing ·, · : E × h(E) → R by f, h = a(1, f |h). By (d3), we
have f, T (n) = a(n, f ). Then by (d2), f, T (n) = 0 for all n implies f = 0.
On the other hand, if we assume that f, h = 0 for all f ∈ E, we have
Exercise 7.57
f, hT (n) = a(1, f |hT (n)) = a(1, f |T (n)h) = f |h, T (n).

This shows that f |h = 0 for all f ∈ E, and by definition h = 0, so the pairing

is nondegenerate. Thus, we get
Lemma 7.59 If R is a field or a discrete valuation ring and E is free of finite
rank over R, we have E ∼
= HomR (h(E), R) and h(E) = HomR (E, R) under
the above pairing.
334 7 Modular Curves as Shimura Variety

We state the following easy fact (see [LFE] Chap. 7).

Proposition 7.60 If I is a Λ-algebra and E = S(χ; I) and S(Γ0 (N ), χ; I),
E∼= HomI (h(E), I) and h(E) = HomI (E, I) under the above pairing.

Proof. Since the space over I is the scalar extension of the space over Λ, we
may assume that I = Λ. For simplicity, we write S = S(Γ0 (N ), χ; I) and
h = h(Γ0 (N ), χ; I). Let m be the maximal ideal of Λ with F = Λ/m. By
definition, h/mh surjects down to h(S/mS) as the two algebras are generated
by T (n). This shows the morphism h → HomΛ (S, Λ) induced by the pairing
gives rise to

→ HomΛ (S, Λ) ⊗Λ Λ/m ∼

i
h/mh − = HomF (S/mS, F).
∼
The last identity follows as S is Λ-free of finite rank. Since HomF (S/mS, F) =
h(S/mS) by the nondegeneracy over the field F, i factors through h(S/mS).
Then by Nakayama’s lemma (Lemma 10.8), i is surjective. Tensoring the quo-
tient field Q of Λ,

i ⊗ 1 : h(Γ0 (N ), χ; Q) = h ⊗Λ Q → S ⊗Λ Q = S(Γ0 (N ), χ; Q),

again by the result over now the field Q. Thus, i is an isomorphism. Since h is
the Λ-dual of the Λ-free module S, h is Λ-free. Then, by applying HomΛ (?, Λ)
to h ∼
= HomΛ (S, Λ), we recover

S = HomΛ (HomΛ (S, Λ), Λ) ∼

= HomΛ (h, Λ),

as desired.

By Remark 7.55 and the above proposition, we have now proven the result
we used in Sect. 3.1:
Corollary 7.61 We have a canonical isomorphism

h/((1 + x) − ε(γ)γ k )h ∼
= hord
k (Γ0 (N p
r+1
), εχω −k ; W )

sending T (n) to T (n).

Exercise 7.62 In Sect. 3.1, we had a variable T different from x with Λ =
W [[T ]] = W [[x]]. Find out the relation between T and x, and write χ here in
terms of ψ in Sect. 3.1.
8
Nonvanishing Modulo p of Hecke L-Values

√
We return to the setting of Sect. 6.4; thus, M = Q[ −D] ⊂ Q with dis-
criminant −D is an imaginary quadratic field in which the fixed prime (p)
splits into a product of two primes pp with p = p. As before, assume that
p = α ∈ O|ip (α)|p < 1 and denote by c the nontrivial field automorphism
of M (complex conjugation). For an ideal C of the integer ring O of M , we
consider the ideal group I(C) of fractional ideals prime to C. We put
  
P(C) = (α)α ∈ M × and α ≡ 1 mod C in OC .

As is well known, Cl(C) = I(C)/P(C) is a finite group (see [LFE] Sect. 1.2).
An ideal Hecke character of M modulo C is a character (i.e., a group homo-
×
morphism) λ : I(C) → Q such that there exist integers k, j with λ(α) =
α−k α−j = α−k α−jc for all principal ideals (α) in P(C). Here M  α → α ∈ C
is induced by i∞ and α = αc is the complex conjugation of α ∈ M induced
by i∞ .
The linear combination ∞(λ) := k · i∞ + j · c ∈ Z[Gal(M/Q)] is called
the infinity type of λ [note here the sign change from the exponent of λ(α) =
α−k−jc ; the reason will be explained later]. Since λ has values in M in the
subgroup P(C) ⊂ I(C) of finite index, it has values in a finite extension of M
inside Q all over I(C). Also, a Hecke character has finite order if and only if
k = j = 0. A character λ of I(C) is called anticyclotomic if λ(Ac ) = λ(A)−1 for
all A ∈ I(C), while a character satisfying λ(Ac ) = λ(A) is called cyclotomic.
If C|C , we have a natural inclusion I(C ) → I(C); hence, we can pull back
a Hecke character modulo C to a Hecke character modulo C . If C  C , the
character obtained by pullback is called imprimitive. A character is called
primitive if it is not imprimitive. If λ is primitive modulo C, the ideal C is
called the conductor of λ. The norm N (A) = [O:O∩A]
[A:O∩A] is an example of a Hecke
character with ∞(λ) = −i∞ − c. If a primitive λ has conductor C, we extend
×
λ : I(C) → Q to I(O) → Q by putting λ(A) = 0 if A ∈ I(C). Then the
(primitive) L-function of λ is defined by an absolutely and locally uniformly
convergent Dirichlet series/Euler product on a right half-complex plane:

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 335

in Mathematics, DOI 10.1007/978-1-4614-6657-4 8,
© Springer Science+Business Media New York 2013
336 8 Nonvanishing Modulo p of Hecke L-Values

  λ(L)
−1
L(s, λ) = λ(A)N (A)−s = 1− ,
N (L)s
A L

where A runs over all O-ideals and L runs over all prime ideals of O. It is a re-
sult of Hecke that this L-function can be continued to a meromorphic function
on the whole complex plane with holomorphy everywhere except for the case
of a power of the norm character λ = N m (see [LFE]
/ Sect.
2.7 and0 Chap. 8).
λ(Q)
For a prime ideal 0 = q of Z, we put L (s, λ) =
(q)
Q|q 1 − N (Q)s L(s, λ)
(the imprimitive L-function whose Euler q-factor is removed).
In this chapter, we fix a prime l = (l)  (p) of Z. Generalizing the result
(l)
of Sect. 1.2, we prove nonvanishing modulo p of Hecke L-values L (0,λχ)
Ω for
the canonical period Ω for “almost all” anticyclotomic characters χ of finite
order with l-power conductor (under some mild assumptions; Theorem 8.31).
This topic is a generalization of Washington’s result [Ws] (and Sinnott [Sn2])
from Dirichlet L-values to Hecke L-values, and a more general case of Hecke
characters of a CM field has been dealt with in [H04b], [H07a], and [Hs1] by
the same technique, resorting to a Hilbert modular Shimura variety in place
of a Shimura curve here. There will be much room for generalization of the
techniques (we list here only one of them: [Br2]). The phrase “almost all”
means “except for finitely many,” that is, nonvanishing modulo p outside a
(unspecified) finite set.

8.1 Rationality of Hecke L-Values

Here we give more details of the rationality result from [Sh6] as well as Katz’s
p-integrality results from [K2], covering more general cases than in Sect. 1.3.
As before, invariant differential operators play a prominent role.

8.1.1 Differential Operators and Rationality

Recall the Archimedean invariant differential operators we studied in Sect. 1.3.5:

 
1 ∂ k
δk = √ + √ and δkr = δk+2r−2 · · · δk , (8.1.1)
2π −1 ∂z 2y −1
where 0 ≤ r ∈ Z. As we learned in Sects. 1.3.5 and 1.3.6, an important point is
that the differential operator preserves the rationality property at CM points
of (arithmetic) modular forms, although it does not preserve holomorphy. We
recall the rationality property from Theorems 1.27 and 1.34. For a proper
ideal a of an order of M , the complex uniformization ι : E(a)(C) ∼ = C/i∞ (a)
induces a canonical base ω∞ = ι∗ du of ΩE(a)/C over C = O ⊗Z R, where u is
the variable in C. Recall the Néron differential ω(a) in Sect. 6.4.3, and define
the Archimedean Néron CM period 0 = Ω∞ ∈ C = O ⊗Z R by
 8.1 Rationality of Hecke L-Values 337

ω(O) = ω(a) = Ω∞ ω∞ . (8.1.2)

Here the first identity follows from the fact that ω(a) is induced by ω(O) on
E(O). We suppose that a is prime to p. Recall Shimura’s rationality result for
f ∈ Gk (N ; W) we reproduced in Theorem 1.27:

(δkr f )(x(a), ω∞ )
k+2r
= (δkr f )(x(a), ω(a)) ∈ Q. (Sh)
Ω∞
Katz interpreted the differential operator in terms of the Gauss–Manin
connection of the universal elliptic curve over Sh(p) and gave a purely algebro-
geometric definition of the p-adic invariant differential operator (see [K2]
Chap. II and [HT1] Sect. 1). We have given in Sect. 1.3.6 a more elementary
construction of his operator. As before, we write his operator correspond-
ing to δ∗k as dk : VΓ1 (N )/B → VΓ1 (N )/B for a p-adic base Zp -algebra B.
The level-p structure ηp◦ (a) : μp∞ ∼ = Mp /ap → E(a)[p∞ ] (p corresponding
m ∼
to ip |M : M → Cp ) induces an isomorphism ηp◦ (a) : G 
= E(a) for the p-adic
 /W obtained by formal completion of E along the origin
formal group E(a)
0E ∈ E(F). Then ω(O) = ω(a) = Ωp ωp (Ωp ∈ W × ) for ωp = ηp◦ (a)∗ dt t . By
Theorem 1.34, we have, for f ∈ Gk (N ; W),

(dr f )(x(a), ηp◦ (a))

= (dr f )(x(a), ω(a)) = (δkr f )(x(a), ω(a)) ∈ W. (K)
Ωpk+2r
By the definition in Sect. 1.3.6, the effect of the invariant differential operator
dr on q-expansion of a modular form is given by
 
dr a(n)q n = a(n)nr q n . (8.1.3)
n n

8.1.2 Arithmetic Hecke Characters

Consider the torus TM = ResM/Q Gm [see Example 4.58(11) for the definition
of ResM/Q G]. Each integral linear combination k · i∞ + j · c ∈ Z[Gal(M/Q)]
is regarded as a character of TM by x → i∞ (x)k c(x)j . We fix an arithmetic
Hecke character λ of infinity type k · i∞ + κ(i∞ − c) for the integers k and κ.
×
Originally, λ is defined as a character λ : I(C) → Q with λ(α) = α−k−κ(1−c)
for (α) ∈ P(C). We can extend λ to idele characters of MA× in two ways.
For each prime L of M , we choose its local generator L ∈ M so that
LO(L) = (L ), where
  
b
O(L) = a, b ∈ O, aO + L = O (the localization at L).
a

We write OL for the completion OL = limn O/Ln and put ML = OL ⊗Z Q =

←−
OL ⊗ O M .
338 8 Nonvanishing Modulo p of Hecke L-Values

Exercise 8.1 Prove that OL ∩ M = O(L) .

 Recall that the adele ring MA of M is an M -subalgebra in the product

L M L made up of x(∞)
= (xL )L with xL ∈ OL except for finitely many
(∞)
prime ideals L. Decompose MA = MA × C. Embedding M ⊂ ML naturally
and in C by i∞ , we regard MA as an M -algebra by the diagonal embedding
L
M  ξ → (. . . , ξ, . . . , ξ, . . . , ξ, . . . ) ∈ MA .

Thus, TM (A) = MA× and TM (Q) = M × . The infinity component of x ∈ MA

is written as x∞ . See [AQF] Chap. III for a concise description of adeles. Put
(C∞) (∞)
MA = {x ∈ MA |xL = 1 if L ⊃ C},

and U (C) = {x ∈ O × |x ≡ 1 mod C}

 for an ideal 0 = C ⊂ O. Write U (C)(C) =
(C∞) ×
U (C) ∩ (MA ) and U (C) = U (C)C × U (C)(C) .

Exercise 8.2 Prove that we have an isomorphism I(C) ∼

(C∞) ×
= (MA ) /U (C)(C)
(C∞) ×
of groups sending each prime ideal L to the element in (MA ) , still written
as L , whose L-component is equal to L and all other components are 1.
)× /U (C)(C) with I(C), we may regard
(C∞)
By the exercise, identifying (MA
(C∞) × (C)
λ as a character of (MA ) /U (C) . We can then extend λ to a character
M × \MA× → vC ×
in the following way for a place v. Note that M × projected
in MC = L|C ML is dense; hence, U (C)C M × = MC [resulting in MA× =
M × (MA
(vC) ×
) U (C)].
k·i +κ(i −ci )
Definition 8.3 For a place v of Q, put λ(αxu) = uv v v v
λ(x) ∈ C× v
for α ∈ M × , u ∈ U (C)M∞×
, and x ∈ (MA )× , where Cv = C or Cp depending
(vC)

on whether v = ∞ or the prime p. If we choose v = p, we write the character

 : M × \M × → Q× , and if v = ∞, we just simply write it as λ.
obtained as λ A p

Because of this definition, k ·iv + κ(iv − c) [abbreviated as k + κ(1 − c)] appears

 The p-
as the exponent at v, so it is called the ∞-type of λ and the p-type of λ.

adic character λ is called the p-adic avatar of λ (and it was originally invented
by Weil). Note here that λ(α) = α−k−κ(1−c) [α ∈ M × ∩ U (C)C in MC ] for
the original ideal character λ. The subgroup TM (Q) ⊂ TM (A) is a discrete
subgroup (see [AQF] Theorem 15.7).
Exercise 8.4 Prove the well-definedness of λ : TM (Q)\TM (A) → C× and
 : TM (Q)\TM (A)/TM (R) → C× as a continuous character.
λ p

Exercise 8.5 Let Cl(Cp∞ ) = limn Cl(Cpn ) as a profinite compact group and
5 ←−
U (Cp∞ ) = n U (Cpn ). Then prove that (i) TM (Q)\TM (A(∞) )/U (Cpn ) ∼ =
Cl(Cpn ) as a group if n < ∞ and as a compact group if n = ∞ and (ii)
 factors through Cl(Cp∞ ).
λ
 8.1 Rationality of Hecke L-Values 339

Let λ be an idele character of MA× of infinity type k + κ(1 − c). Fixing two
primes p (we work in the mod p and the p-adic setting) and l (we consider
l-power conductor characters), we assume the following three conditions:
(ct) k > 1 and κ ≥ 0.
(pl) The conductor C of λ is prime to p and (l) = l.
(sp) The ideal C is a product of primes split over Q.
The first condition implies criticality at s = 0 for L(s, λ). The two other
conditions are for simplicity and can be removed [see [Hs1] how to proceed
without assuming (sp)].

8.1.3 Optimal Eisenstein Series

We are going to define an Eisenstein series whose special values at CM points

optimally interpolate the values L(0, λχ−1 ) for a given Hecke character λ
twisted by anticyclotomic characters χ of finite order.
We split the conductor C in the following way: C = FFc with F + Fc = O
and F ⊂ Fcc . This is possible by our assumption (sp). We then define f = F ∩ Z
and f = Fc ∩ Z. Then f ⊂ f . Here X = Z/f ∼ = O/F and Y = Z/f ∼ = O/Fc.
Let ψ : X × Y → C be a function such that ψ(ε−1 x, εy) = εk ψ(x, y) for all
ε ∈ Z× = {±1} with the integer k as above. We put X ∗ = f−1 /Z; so X ∗ is
naturally the Pontryagin dual module of X under the pairing (x∗ , x) = e(x∗ x)
(x∗ ∈ X ∗ and x ∈ X), where e(x) = exp(2πix) for x ∈ C. Let N (f) = |Z/f| =
[Z : f], which is the positive generator of the ideal f. We define the partial
Fourier transform P ψ : X ∗ × Y → C of ψ by

P ψ(x, y) = N (f)−1 ψ(a, y)eQ (ax), (8.1.4)
a∈X

where eQ is the restriction of the standard additive character eQ : A/Q → C×

[with eQ (x∞ ) = exp(2πix∞ ) for x∞ ∈ R] to the local component Ff at f.
Exercise 8.6 Prove that there is a unique additive character eQ : A/Q → C×
with eQ (x∞ ) = exp(2πix∞ ) for x∞ ∈ R (e.g., [LFE] Sect. 8.3).
We now relate the function ψ with a function on ℘Γ (C) (a function of
elliptic curve with level-Γ structure). Here Γ is given by
/   0
Γ11 (f2 ) =  a ≡ d ≡ 1 mod f2 , c ≡ 0 mod f2 .
a b ∈ G(Z) (8.1.5)
c d

Since ℘Γ1 (1) (C) is identified with the complex manifold B made of lattices
L ⊂ C in Sect. 2.3.4, a function ψ as above can be interpreted as a function
of lattices L with level-Γ structure φf = (if , if ) = (i, i ) defined in Sect. 6.4.4.
Here i : X ∗ → f−1 L/L is the level-f structure. We define an Zf -submodule
P V (L) ⊂ L ⊗Z Qf specified by the following conditions:
340 8 Nonvanishing Modulo p of Hecke L-Values

P V (L) ⊃ L ⊗Z Zf , P V (L)/Lf = Im(i) (Lf = L ⊗Z Zf ). (PV)

By definition, we may regard

i−1 : P V (L)  P V (L)/ (L ⊗Z Zf ) ∼

= f−1 /Z.

We write L = (2πi)(Zw1 + Zw2 ) with z = w1 /w2 ∈ H and equip it with a

self-dual alternating pairing given by

(2πi)(aw1 + bw2 ), (2πi)(cw1 + dw2 )L = bc − ad. (8.1.6)

This pairing depends only on L, not on the choice of z.

Exercise 8.7 Why does the pairing depend only on L and not on the choice
of z?
This pairing induces a perfect duality pairing ·, ·f on f−1 L/L × L/fL
given by x, yf = x, y mod f ∈ Z/f, where x ∈ f−1 L with x mod L = x
and y ∈ L with y mod fL = y. By the duality induced by ·, ·f , the dual map
of i gives rise to i : P V (L)  Z/f. Taking a lift ĩ : f−2 /Z → P V (L)/fLf with
ĩ mod Lf = i, we have an exact sequence:

i
0 → f−2 /Z −
ĩ
→ P V (L)/fLf −
→ Z/f → 0.

This sequence is kept under α ∈ Aut(L) with unipotent reduction modulo f2 ,

and the pair (i, i ) gives a level-Γ11 (f2 ) structure in Sect. 6.4.4.
By the commutativity of the following diagram:

ĩ i
f−2 /Z −−−−→ P V (L)/fLf −−−−→ Z/f
⏐ ⏐ ⏐
⏐ ⏐ ⏐ (8.1.7)
. f .∩ f .∩

f−2 /Z −−−−→ E[f2 ] −−−−→ Z/f2 ,

giving φf = (i, i ) is equivalent to having the bottom sequence of maps in the

above diagram. This explains why the pair (i, i ) gives rise to a level-Γ11 (f2 )
structure; strictly speaking, the exact level group is given by
/   0
Γ1,0
1
(f2 ) = a b ∈ G(Z)  a ≡ d ≡ 1 mod f, c ≡ 0 mod f2 . (8.1.8)
c d

We regard P ψ as a function of L ⊗Z Q supported on (f−2 L) ∩ P V (L) by


P ψ(i−1 (w), i (w)) if (w mod L) ∈ Im(i),
P ψ(w) = (8.1.9)
0 otherwise.

For any positive integer k > 0, we can now define the Eisenstein series Ek .
Writing L = (L, φ = φf ) for simplicity, we define the value Ek (L; ψ) by
 8.1 Rationality of Hecke L-Values 341
 P ψ(w) 
Ek (L; ψ) = (−1)k Γ (k + s)  . (8.1.10)
wk |w|2s s=0
w∈f−1 L/Z×


Here “ ” indicates that we are excluding the term corresponding to w = 0
from the summation. As shown by Hecke, this type of series is convergent when
the real part of s is sufficiently large and can be continued to a meromorphic
function well defined at s = 0 [as long as either k ≥ 3 or ψ(a, 0) = 0 for all a;
see Sect. 9.1.1 in the text and [LFE] Sect. 2.5 for analytic continuation].
Lemma 8.8 If either k ≥ 3 or ψ(a, 0) = 0 for all a, the function Ek (ψ) gives
an element in Gk (Γ1 (f2 ); C), whose q-expansion at the cusp ∞ is given by
  a k−1 n
Ek (ψ)(q) = 2−1 L(1 − k, ψ) + ψ(a, b) a q , (8.1.11)
|a|
0<n∈Z (a,b)∈(Z×Z)/Z×
ab=n

where L(s, ψ) is the partial L-function given by the Dirichlet series

  k
N (n)
ψ(n, 0) |N (n)|−s .
|N (n)|
n∈Z/{±1}×

When k = 2, f = 1, and ψ = 1 is the constant equal to 1, Ek (1) is non-

1
holomorphic and its Fourier expansion contains an extra term 8π Im(z) in
addition to the above q-expansion specialized at k = 2. Moreover, we have
E2 (1) = −Δ−1 δ12 Δ/24 for the discriminant function Δ.
If ψ(x, y) = ψX (x)ψY (y) for two functions ψX : X → C and ψY : Y → C with
ψY factoring through Z/f , we can check easily that Ek (ψ) ∈ Gk (Γ1 (ff ); C).
We will compute in Sect. 9.1.1 the Fourier/q-expansion of the Eisenstein se-
ries, applying the Poisson summation formulas (which actually proves the
q-expansion formulas of the cotangent function and its derivatives quoted af-
ter (1.3.1)). Computation in a more general Hilbert modular case is given in
[K2] Chap. III and [HT1] Sect. 2. The last formula about E2 (1) follows from
taking the logarithmic derivative of the product form of Δ in (1.3.4) [see
[EDM] (8.18)].

8.1.4 Hecke Eigenvalues

We take a Hecke character λ as in Sect. 8.1.2. Write λC for the composite


MC× = L|C ML× → MA× − → C× . Then the restriction λ−1 × ×
λ ×
C : O F × O Fc → W

induces a locally constant function ψ : (Z/f) × (Z/f ) → W supported on
(Z/f)× × (Z/f )× , because λC factors through (O/C)× , which is canonically
isomorphic to (Z/f)× × (Z/f )× . Since λ is trivial on M × , ψ satisfies

ψ(εx, εy) = εk·i∞ +κ(1−c) ψ(x, y) = εk ψ(x, y)

for any unit ε ∈ Z× = {±1}.

342 8 Nonvanishing Modulo p of Hecke L-Values

We consider the local uniformizer q = q∈ Zq to be an idele. For each

fractional Z-ideal A in Q, decomposing A = q qe(q) for primes q (allowing
 e(q)
possibly negative exponents), we define e(A) = q q ∈ A× . We then
define another partial Fourier transform ψ ◦ : X × Y → W by

ψ ◦ (a, b) = ψ(u, b)eQ (−ua−e(f) ). (8.1.12)
u∈Z/f

Since ψ is induced by λ−1

C , we find by definition that

ψ ◦ (a, b) = G(λ−1 −1
F )λF (a)λFc (b) (8.1.13)

for the Gauss sum G(λ−1 F ) =
−1
u∈Z/f λF (u)eQ (−u
−e(f)
). Here we agree to
−1 ×  ×
put λF (a)λFc (b) = 0 if (a, b) ∈ (Z/f) × (Z/f ) .
By the Fourier inversion formula (see [LFE] Sect. 4.1(5a)), we have

P ψ ◦ (x, y) = ψ(e(f) x, y). (8.1.14)

Exercise 8.9 Prove (8.1.14).

From this and the definition of Ek (L) = Ek (L; ψ ◦ ), we find

Ek (E, i ◦ x, i ◦ y, aω) = a−k λF (x)λ−1 

Fc (y)Ek (E, i, i , ω) (8.1.15)

for x ∈ (Z/f)× = (O/F)× and y ∈ (Z/f )× = (O/Fc )× . Because of this, Ek (ψ ◦ )

actually belongs to Gk (Γ0 (ff ), (λ ; C) for (λ = λFc |(Z/f )× λF |(Z/f)× , identifying
Zf = OF and Zf = OFc .
By (8.1.13), the q-expansion of E(ψ ◦ ) is a constant multiple of
⎛ ⎞
∞  k
⎝ a ⎠ n
a0 + λF (a)λ−1Fc (b) q for a constant a0 .
n=1
|a|
(a,b)∈Z,ab=n

Then, from the effect of T (l) and U (l) on q-expansion (as in Exercise 6.22),
we verify the following lemma easily.
Lemma 8.10 Let l be a prime ideal of Z outside f generated by 0 < l ∈ Z.
Then we have

Ek (ψ ◦ )|T (l) = (λ−1

Fc (l) + λF (l)l
k−1
)Ek (ψ ◦ ), (8.1.16)

We introduce a new operation (l) closethe operator l−1 . On the elliptic

curve side, for a prime ideal l outside ff , (l)(E, i, i , ω) = (E ⊗Z l, j, j  , ω  ),
where as an fppf abelian sheaf, E ⊗Z l is the sheafication of R → E ⊗Z l(R) =
E(R) ⊗Z l. Since lff = Zff , E[ff ] ⊗Z l is identical to E[ff ]. The tensor E
 8.1 Rationality of Hecke L-Values 343

has the exact sequence 0 → l → Z → Z/l → 0 (of constant abelian fppf

sheaves). Since E is a divisible fppf abelian sheaf, we have E ⊗Z Z/l = 0, and
the sequence
0 → Tor1 (E, Z/l) → E ⊗Z l → E → 0
is exact. Since Z is a principal ideal domain, we have Tor1 (E, Z/l) ∼
= E[l] =
E[l]; hence, we have a commutative diagram for the generator 0 < l ∈ Z of l:
→ 
Tor1 (E, Z/l) −−−−→ E ⊗Z l −−−−→ E
⏐ ⏐ ⏐
⏐
.
⏐
.
⏐
.

E[l] −−−−→ E −−−−→ E.

→ l

Thus multiplication by l induces E ∼ = E ⊗Z l, which acts on ω by ω → lω =:

ω  and on (i, i ) by (i, i ) → (i ◦ l−1 , i ◦ l) =: (j, j  ). On the lattice side,
(C/L) ⊗Z l = C/lL; so it is given by multiplication L → lL. For the modular
form f , we define f |(l)(E, φ, ω) = f ((l)(E, φ, ω)).
Lemma 8.11 Let l be a prime outside f. Suppose that l = (l) for a positive l ∈
Q. Let Ek (ψ) = Ek (ψ ◦ ) − l−1 Ek (ψ ◦ )|[l] and Ek (ψ) = Ek (ψ ◦ ) − Ek (ψ ◦ )|(l)|[l].
Then we have
(1) Ek (ψ)|U (l) = λ−1 
Fc (l)Ek (ψ).
(2) Ek (ψ)|U (l) = λF (l)l k−1
Ek (ψ).
(3) Even if ψ is the identity character 1, f = 1, and k = 2, E2 (1) is a holo-
morphic modular form.

Proof. The effect of Hecke operators on q-expansion is computed in Sect. 6.2.9

assuming the level structure is “one-sided,” in other words, assuming we have
a level structure of the form i : μf → E[f]. This corresponds to taking the
adelic open subgroup
/   0
Γ0 (f) =  c ≡ 0 mod fZ
a b ∈ G(Z) 
c d

with the operation i → i ◦ l corresponding to the action of ( 10 0l ) ∈ G(Zf ). On

 i i
the other hand, our level-Γ
 l 00(ff → E[ff ] −
 ) structure is “two-sided” as μf − →

Z/f Z, and the action of 0 l ∈ G(Zff ) corresponds to

(i, i ) → (i ◦ l, i ◦ l−1 ) =: (j, j  )

(as i is the dual of i under the Cartier self-duality of E[ff ] in Sect. 6.1.6). Note
that f |[l](q) = lk λF (l)f for f ∈ Gk (Γ0 (ff ), (λ ) because as seen in Sect. 7.1.9,
the action
 of [l]
corresponds
 to the action on the level structure: η → η ◦
1 0 1 0  (l) 
0 l−1
l
with 0 l−1 l
≡ 0 01 mod Z(Q). If one wants to compute the
l

action of U (l) and T (l) via q-expansion, we need to compute the corresponding
q-expansion for this two-sided Neben character. Or we can directly compute
344 8 Nonvanishing Modulo p of Hecke L-Values

the effect using the geometric definition of the Hecke operators as in Sect. 6.2.5.
This way of using the geometric definition (Definition 6.21) is adopted in
[H07a] Sect. 1.3.
Combining the effect of the operator (l) explained before the lemma with
the computation of [l] in Sect. 7.1.9, for f = Ek (ψ ◦ ), we get

f |(l)|[l](q) = lk λF (l)f |(l)(q l ) = lk λF (l)(l−k λF (l)−1 λ−1 l −1 l

Fc (l))f (q ) = λFc (l)f (q ).

If f |T (l) = (α + β)f and αβ = (λ (l)lk−1 , by putting fα (q) = f (q) − βf (q l ),

we have fα |U (l) = αf because of a(n, f |U (l)) = a(nl, f ) (see Corollary 6.34).
Thus, Ek (ψ)|U (l) = lk−1 λF (l)Ek (ψ). The computation for Ek (ψ) is similar.
c
Note that E2 (1)(z) = Im(z) + f (z) for a holomorphic function f (z). Since

E2 (1)(z) = E2 (1)(z) − lE2 (lz), the term Im(z)c
cancels out, and we get the
holomorphy.

Remark 8.12 By (7.4.1) and a(n, df ) = n · a(n, f ), the Hecke operators T (l)
and U (l) satisfy T (l) ◦ d = l · d ◦ T (l) and U (l) ◦ d = l · d ◦ U (l) for the Katz
differential operator d. Set E(λ) = dκ Ek (ψ) (if neither k = 2 nor ψ = 1) and
E (λ) = dκ Ek (ψ). Put E(λ) = −dκ (Δ−1 dΔ − Δ−1 dΔ|(l)|[l])/24 if k = 2 and
ψ = 1. Then we have, under the notation of Lemma 8.11,

E (λ)|U (l) = λ−1 κ 

Fc (l)l E (λ), E(λ)|U (l) = λF (l)l
k−1+κ
E(λ). (8.1.17)

We now look into the degeneracy operator [q] for a prime q = (q) (with
0 < q ∈ Z) outside the level f. This operator brings a level Γ0 (q)-test object
(E, C, φ) with level f structure i outside q to (E/C, φ), where the level-f struc-
ture i is intact under the quotient map: E → E/C. On the lattice side, taking
the lattice LC with LC /L = C, it is defined as follows:

f |[q](L, C, φ) = f (LC , φ). (8.1.18)

The above operator is useful to relate U (q) and T (q).

Exercise 8.13 For f ∈ Gk (Γ1 (N ), ψ; A), show that f |[q] is an element in
Gk (Γ1 (N ) ∩ Γ0 (q), ψ; A) by proving (G1–3) in Sect. 6.2.4.
By definition,

f |U (q)(L, C, φ) = q −1 f (L , C  , φ)
L ,L =LC

for C  = LC + L /L = q−1 L/L . Thus, we have

U (q) = T (q) − q −1 [q]. (8.1.19)

A similar computation yields

 8.1 Rationality of Hecke L-Values 345

(f |[q])|U (q)(L, C, φ) = q −1 f |[q](L , C  , φ)
L ,L =L C

= q −1 f (q−1 L, φ) = f |q−1 (L).
L

In short, we have
[q] ◦ U (q) = (q)−1 . (8.1.20)

Exercise 8.14 Make explicit the relation between the two operators l and
(l) for a prime l > 0 outside the level.

8.1.5 L-Functions of an Order

Pick a prime l in Z and write l = lO. Recall from Sect. 6.4.2 the order On =
Z + ln O of conductor ln . We determine the type of Hecke L-function obtained
by values of the Eisenstein series at CM points. Results equivalent to the
ones presented here are more detailed in [LAP] V.3.2 (which were obtained
independently by H. Yoshida). Since lOn ⊂ On+1 , a → la gives a map from
the set of On -ideals into the set of nonproper On+1 -ideals.
Proposition 8.15 Let In be the group of all proper fractional On -ideals. As-
sociating with each On+1 -ideal a the On -ideal On a, we get the following ho-
momorphism of groups πn : In+1 → In . The homomorphism πn is surjective,
and the kernel of πn is isomorphic to O× ×
n,l /On+1,l . After taking the quotient
by principal ideals, we still have the following exact sequence:

1 → O× × ×
n,l /On+1,l On → Cln+1 → Cln → 1,

where Cln = In /{principal On -ideals}.

If n ≥ 1 if l is odd and n > 1 if l = 2, we have O× n = {±1}, and hence if
O× ∼
n = {±1}, we have Ker(Cln+1 → Cln ) = Z/lZ (the cyclic group of prime
order l). Later in Sect. 8.2.1, we will make this isomorphism explicit.
Proof. Since a proper ideal is locally principal, we find an exact sequence:
× ×
1 → M∞ On → MA× → In → 1.

Here we put O  n = On ⊗Z Z, and to each idele x we associate the ideal


xOn ∈ In , where xOn = xOn ∩ M , which is generated locally by xq at a
prime ideal q. Then applying the snake lemma to the following diagram with
exact rows:
× ×
1 −→ M∞ On+1 −→ MA× −→ In+1 −→ 1
↓  ↓ πn
× ×
1 −→ M∞ On −→ MA× −→ In −→ 1,
346 8 Nonvanishing Modulo p of Hecke L-Values

we get the expression of the kernel and the surjectivity of πn .

Again applying the snake lemma to the following diagram with exact rows:
× ×
1 −→ M∞ On+1 M × −→ MA× −→ Cln+1 −→ 1
↓  ↓ πn
× ×
1 −→ M∞ On M × −→ MA× −→ Cln −→ 1,

× ×
we get the last assertion, noting that M × ∩ M∞ On = O×
n. 

Writing a prime element of L and l as  and l, respectively, we find that

On+1,l /O× ×
n+1,l = {1}  lOn,l /On+1,l . (8.1.21)
j
When l splits into a product of two primes LL in M , Li L ⊂ On if and only
if i ≥ n and j ≥ n, and hence, we have
4 
On,l /O× ∼ j × ×
∞ n+i n+j ×
Ol /O×
n,l = j=0 () On−j,l /On,l
n−1
i,j=0   n,l .

(8.1.22)

This follows from the fact that the multiplication by j j for 0 ≤ j ≤ n

brings
 On−j,l = Zl + n−j n−j Ol into On,l = Zl + n n Ol and that Ol =
i j
i,j≥0   Ol . When l ramifies in M/Q, similarly, we get
4 
On,l /O× ∼ n−1 2j ×
 /O ×
∞
 j ×
/O ×
n,l = j=0 O n−j,l n,l j=0 O l n,l . (8.1.23)

When l is inert in M/Q, we have

4 
On,l/O× ∼ n−1 j × ×
∞ j × ×
n,l = j=0  On−j,l /On,l j=0  Ol /On,l . (8.1.24)

Let χ be a character of the group of fractional proper ideals of On . Iden-

× ×
tifying In = MA× /M∞ On , χ gives rise to a unique idele character of MA× . In
particular, this applies to the norm character a → N (a) = [On : a] = [O : Oa].
We then define an L-function by

Ln (s, χ) = χ(a)N (a)−s , (8.1.25)
a⊂On

where a runs over all proper On -ideals (or equivalently, a runs over O n -integral
× × ×
ideles in In = MA /M∞ On ). Even if χ is a primitive character of Clf with
f > 0, we could have χ(a) = 0 even if a + lOn  On (for n ≥ f ) in this
definition, as the proper On -ideal a is equivalent to another proper ideal b
prime to lOn . Thus, the l-Euler factor Lfl (s, χ) of Lf (s, χ) can be nontrivial.
Exercise 8.16 Prove that the L-function Ln (s, χ) has an Euler product
whose Euler factor is given by (1 − χ(Q)N (Q)−s )−1 for each prime Q  l.
 8.1 Rationality of Hecke L-Values 347

We write L(s, χ) for L0 (s, χ), which is the classical Hecke L-function. The L-
function Ln (s, χ) depends on n, because the set of proper On -ideals depends
on n. We are going to compute the dependence on n. Since each proper ideal
b ⊂ On equivalent to a−1 can be written as b = αa−1 with α ∈ a, we have
 
χ((α))N (α)−s = χ(a)N (a)−s χ(b)N (b)−s .
α∈a b∼a−1

We write Lna−1 (s, χ) = b∼a−1 χ(b)N (b)−s . Then we get
  
Ln (s, χ) = Lna−1 (s, χ) = χ(a)−1 N (a)s χ((α))N (α)−s .
a∈Cln a∈Cln α∈a

For a primitive character χ of Clf , we compute the Euler product of

Lf +k (s, χ) (k > 0). By Exercise 8.16, we only need to compute the l-factor

Lfl +k (s, χ) = χ(a)N (a)−s ,
a∈If +k,l

where If +k,l is the set of all proper Of +k -ideals a with N (a) = lm for some
m ≥ 0. Note that If +k,l ∼ = (Of +k,l ∩ Ml× )/O× ×
f +k,l by a → αOf +k,l for α ∈
Of +k,l with al = (α).
We first deal with the case where l splits in M/Q. As N (L) = l, by (8.1.22),
writing χl = χ|M × , we have χl () = χ(lOf +k ) and
l


f +k−1 
Lfl +k (s, χ) = χl ()j l−2sj χl (u)
j=0 u∈Uf +k−j
 
+ χl ()f l−2(f +k)s χl (i j )l−(i+j)s χl (u),
i,j u∈Uf +k

where Uj = O× ×
f +k−j,l /Of +k,l . We have  u∈Uf +k−j χl (u) = 0 unless j =

0, 1, . . . , k, and we get, for f > 0, if M/Q l =1


k
Lfl +k (s, χ) = χl ()j lj−2sj with χl () = χ(l). (8.1.26)
j=0

Similarly, for ramified and inert primes, we have, for f > 0,


k  
M/Q
Lfl +k (s, χ) = 2j j−2sj
χl () l 2
with χl () = χ(l) if = 0,
j=0
l


k  
M/Q
Lfl +k (s, χ) = j j−2sj
χl () l with χl () = χ(l) if = −1.
j=0
l
(8.1.27)
348 8 Nonvanishing Modulo p of Hecke L-Values

When χ is of conductor 1 (i.e., f = 0), we have χl (l) = χ(l) and

  
M/Q
Lkl (s, χ) − l − χ(l)k lk−1−2ks L0l (s, χ)
l

k−1
= χ(l)j lj−2sj (k > 0). (8.1.28)
j=0

In summary, we have

Lk+1
l (s, χ) − χ(l)l1−2s Lkl (s, χ) = 1 for k > 0 and k ≥ f > 0, (8.1.29)
  
M/Q
Ll (s, χ) − l −
1
χ(l)l−2s L0l (s, χ) = 1 for f = 0. (8.1.30)
l

8.1.6 Anticyclotomic Hecke L-Values

Pick the Néron differential ω(O) on E(O) in (Ω1) of Sect. 6.4.3, and recall the
Néron period Ω∞ ∈ C× given by ω(O) = Ω∞ ω∞ in (8.1.2). Since Cl∞ is an
almost pro-l group, all finite order characters of Cl∞ have values in W[μpm ] if
every element of the finite p-Sylow subgroup of Cl∞ is killed by pm . Replacing
W by W [μpm ] = W (Fp )[μpm ], we hereafter write W for i−1 p (W (Fp )[μpm ]). Put
L(l) (s, χ) = Lf (s, χ)Lfl (s, χ)−1 (removing the Euler factor at l). We will prove,
assuming C = 1, the following theorem at the end of this chapter after a long
preparation (a proof in the general case where C = 1 can be found in [H07a]):

Theorem 8.17 Let p be an odd prime splitting in M/Q. Let λ be a Hecke

character of M of conductor C and of infinity type k + κ(1 − c). Assume p ≥ 5.
Suppose (ct), (sp), and (pl) in Sect. 8.1.2. Then for the period Ω∞ as above, we
κ (l) −1
have π Γ (k+κ)L
Ω∞k+2κ
(0,χ λ)
∈ W for all finite order characters χ : Cl∞ → W × ,
where Γ (s) is Euler’s Gamma function. Moreover, except for finitely many
characters χ of Cl∞ , we have

π κ Γ (k + κ)L(l) (0, χ−1 λ)

k+2κ
≡ 0 mod mW .
Ω∞

8.1.7 Values of Eisenstein Series at CM Points

We relate values of an Eisenstein series at CM points to L-values. For a while,

we deal with general cases of C not necessarily C = 1 (but assuming l is outside
Cp). We take a proper On+1 -ideal a prime to Cp for a variable integer n ≥ 0,
and identify a with the lattice i∞ (a) in C. Recall the test object x(a)/W =
(E(a), if (a), if (a)) with E(a)(C) = C/a in (6.4.2) for f and f specified in
Sect. 8.1.3. Since aOn ⊃ a by On = Z + ln O ⊃ Z + ln+1 O = On+1 , C(a) =
 8.1 Rationality of Hecke L-Values 349

aOn /a ⊂ E(a)(C) gives rise to a canonical level-Γ0 (l) structure to x(a) defined
over W (as p = l). We hereafter in this section write
x(a)/W := (E(a), if (a), if(a), C(a))/W , (8.1.31)
1
which is a test object of level Γ1,0 (f2 )∩Γ0 (l). For a p-adic modular form f of the
form d g with classical g ∈ Gk (Γ1,0
κ 1
(f2 ) ∩ Γ0 (l); W), we have by Theorem 1.34
dκ f (x(a), ωp ) κ δkκ f (x(a), ω∞ )
= δ k f (x(a), ω(a)) = .
Ωpk+2κ Ω∞k+2κ

π κ Γ (k+κ) √
We write c0 = (−1)k Im(δ) √
κ DΩ k+2κ
with 2δ = −D. Here Γ (s) is the
∞
Euler’s Gamma function [i.e., Γ (k + κ) = (k + κ − 1)!]. By definition, we
find, for e = [O× ×
n+1 : Z ] (which is equal to 1 if n > 0 since a root of unity
congruent to ±1 modulo l2 is ±1),
(c0 e)−1 δkκ Ek (x(a), ω(a))
 λ−1 e(F) 
C ( w) 
= k+κ(1−c) N

s s=0
−1 ×
w M/Q (w)
w∈F a/On+1

 λ−1
C (w)λ
−1
(w(∞) ) 
= λ−1
C (
e(F)
) 
NM/Q (w)s s=0
w∈F−1 a/O×
n+1
(8.1.32)
 λ(wF) 
= λ−1
C (
e(F)
) 
NM/Q (w)s s=0
w∈F−1 a/O×
n+1

 λ(wFa−1 ) 
= λ−1
C (
e(F)
)λ(a)NM/Q (Fa−1 )s 
NM/Q (wFa−1 )s s=0
wFa−1 ⊂On+1

= λ−1
C (
e(F)
)λ(a)Ln+1
[Fa−1 ] (0, λ),

where for an ideal class [c] ∈ Cln+1 represented by a proper On+1 -ideal c,

Ln+1
[c] (s, λ) = λ(b)NM/Q (b)−s
b∈[c]

is the partial L-function of the class [c] whose summation is over b running
over all On+1 -proper integral ideals in the class [c] prime to C. In the second
and third lines of (8.1.32), we regard λ as an idele character and in the sum
of the other lines as an ideal character. For an idele a with aO  = aO  and
aC = 1, we have λ(a(∞) ) = λ(a) and λ(a (p) ) = λ(a).

We put E(λ) = dκ Ek (ψ) and E (λ) = dκ Ek (ψ) as in Remark 8.12. We want
to evaluate E(λ) and E (λ) at x = (x(a), ω(a)) = (E(a), if (a), if (a), C(a), ω(a)).
Then, by definition, we have
E (λ)(x) = δkκ Ek (ψ ◦ )(x) − l−1 δkκ Ek (ψ ◦ )(x(aOn ), ω(aOn ))
(8.1.33)
E(λ)(x) = δkκ Ek (ψ ◦ )(x) − δkκ Ek (ψ ◦ )(x(laOn ), ω(laOn ))
350 8 Nonvanishing Modulo p of Hecke L-Values

because C(a) = aOn /a, and hence [l](x(a)) = x(aOn ) and (l)(x(a)) = x(la).
To simplify the notation, write φ([a]) = λ(a) −1 φ(x(a), ω(a)). By (8.1.15),

for φ = E(λ) and E (λ), the value φ([a]) only depends on the ideal class [a] but
not on the individual a. The formula (8.1.33) combined with (8.1.32) shows

e−1 λC (e(F) )E (λ)([a]) = c0 Ln+1−1
[Fa ] (0, λ) − l −1 n
L −1
[Fa On ] (0, λ)

e−1 λC (e(F) )E(λ)([a]) = c0 L[Fa−1 ] (0, λ) − λ(l)Ln[Fl−1 a−1 On ] (0, λ) ,
n+1

(8.1.34)
κ √
where e = [O× × π Γ (k+κ)
n+1 : Z ] and c0 = (−1) Im(δ)κ DΩ k+2κ , with 2δ =
k √ −D.
∞
Recall Ln (s, λ) as in (8.1.25) for χ = λ. For each primitive character
×
χ : Clf → Q , taking n = max(f, 1), we have

e−1 λC (e(F) ) χ(a)E (λ)([a])
[a]∈Cln+1
 
= c0 · χ(F) Ln+1 (0, λχ−1 ) − Ln (0, λχ−1 )

e−1 λC (e(F) ) χ(a)E(λ)([a])
[a]∈Cln+1
 
= c0 · χ(F) Ln+1 (0, λχ−1 ) − λχ−1 (ll )l · Ln (0, λχ−1 ) .
(8.1.35)

As computed in Sect. 8.1.5, the Euler l-factor of Lk (s, χ−1 λ) for k ≥ f is given
by


k−f
(χ−1 λ(l)l)j
if f > 0,
j=0
l2sj
 (8.1.36)
−1
 (χ−1 λ(l)l)j
k−1 l − M/Q
l (χ λ(l)l)k

2sj
+ 1+2ks
L0l (s, χ−1 λ) if f = 0,
j=0
l l

M/Q
where l is 1, −1, or 0 depending on whether l splits, remains prime,
or ramifies in M/Q, respectively, and L0l (s, χ−1 λ) is the l-Euler factor of the
primitive L-function L0 (s, χ−1 λ). We define a possibly imprimitive L-function
 χ−1 λ(L)
L(l) (s, χ−1 λ) = L0l (s, χ−1 λ)−1 L0 (s, χ−1 λ) = L(s, χ−1 λ) (1 − )
N (L)
L|l

removing the l-Euler factor.

Though the computation in the case when f = 0 is rather involved (as
n = 1 > 0 = f ), combining all these formulas, we find
 8.2 Nonvanishing Modulo p of L-Values 351

λχ−1 (e(F) ll ) 
χ(a)E (λ)([a]) = c0 · L(0, χ−1 λ) if f > 0, (8.1.37)
el
[a]∈Cln+1

λχ−1 (e(F) ) 
χ(a)E(λ)([a]) = c0 · L(l) (0, χ−1 λ) if f ≥ 0. (8.1.38)
e
[a]∈Cln+1

Note that L(0, χ−1 λ) = L(l) (0, χ−1 λ) if f > 0. The right-hand side of (8.1.37)
when f = 0 (hrnvr, n = 1) is explicitly computed in [H04b] (4.23) and the
l-Euler factor of L(s, χλ−1 ) at s = 1 shows up in front of L(0, χ−1 λ) with a
p-adic unit factor. Following [Sh6], we have proven that all these values are
algebraic in Q and actually p-integral over W (most of the cases by Theo-
rem 1.34):
κ
π Γ (k+κ)
Theorem 8.18 Let c0 = (−1)k Im(δ) √
κ DΩ k+2κ
for integers k > 1 and κ ≥ 0.
∞
Then the L-value of (8.1.38) is an algebraic p-integer in W if either p ≥ 5 or
f > 0 or k = 2.
Recall that we have modified W, adding some p-power roots of unity to
the strict henselization of Z(p) given by i−1 p (W (Fp )) (so that any finite or-
der character of Cl∞ has values in W × ). As we have seen in Sect. 6.3.4, x(a)
is defined over W[μln ], but W ⊃ μln (Q), as it contains a strict henseliza-
tion of Z(p) ; so the result is clear from the formula (8.1.38) and Theo-
rems 1.27 and 1.34 if dκ E(λ) has q-expansion in W[[q]]. Thus, we need to
show that dκ E(λ) is W-integral. If k = 2 or f > 0, by the explicit q-
expansion, dκ E(λ) has W-integral coefficients except for the constant term.
If κ > 0 and k = 2, the constant term vanishes; hence, the integrality fol-
lows. Even if κ = 0, if f > 0, E (λ) does not have constant term and W-
integral; so by (8.1.37), the integrality follows. Thus, we may assume that
k = 2 and f = 0. Then we have E2 (1) = −Δ−1 δ12 Δ/24 by Lemma 8.8.
Recall E(λ) = −dκ (Δ−1 dΔ − Δ−1 dΔ|(l)|[l])/24. If p ≥ 5, Δ−1 and Δ/24
are in W [[q]], and hence E(λ) is W -integral if p ≥ 5. By Theorems 1.27
and 1.34 applied to dκ (Δ−1 dΔ)/24 = − m+n=κ m κ
dm Δ−1 dn+1 Δ/24 and
κ −1
  κ
 m −1 n+1
δ2 (Δ δ12 Δ/24) = m+n=κ m δ−12 Δ δ12 Δ/24 [cf. Exercise 1.26(1)] and
their translates by [l] ◦ (l), we have E(λ)([a]) ∈ W ∩ Q = W.

8.2 Nonvanishing Modulo p of L-Values

We construct an F-valued measure (F = Fp ) over the anticyclotomic class
group Cl∞ = limn Cln modulo l∞ whose integral against a character χ is the
←−
Hecke L-value L(0, χ−1 λ) (up to a period). The idea is to translate the Hecke
relation of the Eisenstein series into a distribution relation on the profinite
group Cl∞ . At the end, we relate the nontriviality of the measure to the q-
expansion of the Eisenstein series by the density of {x(a)}a for the test objects
in (8.1.31). This is the strategy we explained for Dirichlet L-values in Sect. 1.2
and followed in [H04b] and [H07a].
352 8 Nonvanishing Modulo p of Hecke L-Values

8.2.1 Construction of a Modular Measure

It is slightly more technical in dealing with the nontrivial conductor C of the

starting character λ. Since the purpose of this book is to present the idea of
the author, we simply assume that C = 1; so F = Fc = f = f = 1, referring
the general case to the research article [H07a].
Let B = W or F = Fp . Let f ∈ VΓ0 (l)/B be a normalized Hecke eigenform
[here normalization
∞ means that f |T (n) = a(n, f )f , f |U (l) = a(l, f )f , and
f (q) = n=0 a(n, f )q n ]. We could have treated f ∈ VΓ0 (N l)/B adding level-N
structure (but for simplicity of notation, we do not explicitly do this here;
see again [H07a] for the general cases). A typical example of f can be given
as follows: Take a modular form g in Gk (Γ0 (l); B) for B = F. Put f = dκ g
for the differential operator dκ in Sect. 1.3.5. We write f (x(a)) for the value
of at x(a) in (8.1.31). The Hecke operator U (l) takes the space VΓ0 (l)/B into
VΓ0 (l)/B . We regard U (l) as an operator acting on VΓ0 (l)/W . Suppose that
g|U (l) = a · g with a ∈ W × ; hence, f |U (l) = lκ a · f for the positive generator
l of l (see Remark 8.12). The Eisenstein series E(λ) satisfies this condition by
Lemma 8.11.
Choosing a basis w = (w1 , w2 ) of O  = O ⊗Z Z,  identify T (E(O) ) = O 
/Q
with Z  2 by Z  (a, b) → aw1 + bw2 ∈ T (E(O)), getting a level structure:
(p∞) ∼
Q ⊗Q A
2
= V (p) (E(O)) defined over W. Choose the basis w satisfying the
following condition:
(B) w1,l = 1 and Ol = Zl [w2,l ].
l
Let a be a proper On -ideal (for On = Z+ln O) prime to f. Write ll = (1, . . . , 1, l
 n and gives a level structure
, 1, . . . ) ∈ A× . Then (w1 , lln w2 ) is a basis of O
η (p) (On ) : Q2 ⊗Q A(p∞) ∼ = V (p) (E(On )). We also write ll for l ∈ Zl (if we want
to avoid confusion).
We choose a complete representative set An = {a1 , . . . , aH } ⊂ MA× so
H  × M × . More precisely, we first choose a complete
that MA× = j=1 M × aj O n ∞
representative set A1 for Cl1 = MA×(∞) /O  1 M × (inside M ×(p∞) ) and then in-
A
ductively on n, we choose An (n > 1) as follows. Suppose we have chosen
An−1 = {a1 , . . . , ah }. For each a ∈ An−1 , writing a = aO  n−1 ∩ M (the corre-
sponding proper On−1 -ideal), we choose proper On -ideals a0 , . . . , al−1 distinct
in Cln projecting down to the class of a in Cln−1 so that a  aj  l−1 a. Since
Ker(Cln → Cln−1 ) is isomorphic to Z/l, we may assume that the index set
{0, 1, . . . , l − 1} is actually given by Ker(Cln → Cln−1 ) ∼ = Z/l (see Proposi-
tion 8.15).Then choose aj (a) ∈ MA×(p∞) so that aj (a)O  n = aj (j ∈ Z/l). We
put An = a∈An−1 {aj (a)|j ∈ Z/l}.
Once An is chosen, for each proper On -ideal a, we write aO  n = αaj O
 n for
×
α ∈ M for some index j. We have a commutative diagram
 8.2 Nonvanishing Modulo p of L-Values 353
α
T (p) E(a) −−−−→ T (p) E(αa)
7 7
⏐ ⏐ (p)
η (p) (a)⏐ ⏐η (αa)

a(p) −−−−→ a(p) .
α
α

Since the top arrow is an identification up to isogenies (by our choice of

classification functor), we need to define η (p) (αa) = α−1 η(a). To make
level structures compatible with idele multiplication, we are forced to define
η (p) (a) = α−1 a−1
j η
(p)
(On ).
There is ambiguity of the choice of α up to units in O×n , which is up to
±1 ∈ Z(Q) if n > 1 or |D| > 4. This small ambiguity does not cause any
trouble as elements in Z(Q) act trivially on the Shimura curve Sh. Write
x(a) = (E(a), C(a), ω(a))/W . This is a test object of level Γ0 (l). We pick a
subgroup C ⊂ E(On ) such that C ∼ = Z/lm (m > 0) but C ∩ C(On ) = {0}.
Since W is strictly Henselian (i.e., W/mW = Fp = F) and l  p, E(On )[lm ] is
a constant étale group scheme isomorphic to (Z/l)2 ; so making the quotient
E(On )/C is easy (see [GME] Sect. 1.8.3). Then we define x(On )/C by
 
E(On ) C + C(On ) ∗ −1
, , (π ) ω(On )
C C
for the projection map π : E(On )  E(On )/C. Since C is a subgroup of
E(On )[l] = l−1 On /On , we have a unique lattice a ⊂ l−1 On of index l such
that E(On )/C = E(a). Since the level structure of x(a) is the one induced by
the quotient process, we write x(On )/C for x(a).
Lemma 8.19 We have
x(On )/C = x(a) ∈ MΓ0 (l) (W)

for a proper On+m -ideal a ⊃ On with (aac ) = l−2m , and for some u ∈ Z×
l , we
have u 
1 lm
x(a) = x(On )/C = x(Om+n )| l . (8.2.1)
0 1
u 
1 lm
See Sect. 7.1.6 for the action of g = l on the point x(Om+n ).
0 1

Proof. We only need to prove (8.2.1). The basis of On,l is given by αn t (1, w2 )
for αn = 10 l0nl with a prime element ll of Zl . By Remark 7.12, the action on
level structure η → η ◦ g induces the action L  for Z-lattices.
 → g −1 L  Thus, we
−1 −1
find that αn (x(O)) = x(On ) and α1 (x(On−1 )) = x(On ). Since the general
case of m > 1 follows by iteration of the formula in the case m = 1, we suppose
m = 1. Then the formula becomes, for a suitable u ∈ Z× l ,
u
ll−1 (x(a)) = x(la) = x(On+1 )| 0 l1l
1
(8.2.2)

if x(a) = x(On )/C for C as above. To see this, note that the basis of ll al is
given by
354 8 Nonvanishing Modulo p of Hecke L-Values
1−ln uw    
l 2 1 −u 1
ln+1 w2
= ll αn+1 w2 .
l 0 1
1−uln
l w2
Thus, al/On is generated by llmod On,l, which gives the subgroup C
for a suitable choice of u. Since l ∈ Z  × , the action of ll is equivalent to the
(l)

action of l ∈ Z(Q), which is trivial; hence, we can forget about ll in (8.2.2).

For each proper On -ideal a, we have an embedding ρa : TM (A(p∞) ) →
G(A(p∞) ) given by αη (p) (a) = η (p) (a) ◦ ρa (α). Since multiplication by b ∈ MA×
on η (p) (On ) commutes with complex multiplication by α ∈ M × and η (p) (aj ) =
α−1 a−1
j η
(p)
(On ) for some j, ρa depends only on On , for which a is a proper
(l)
fractional ideal, and its prime-to-l part ρa is equal to ρO (so often, we write
simply ρ for ρa ). Since det(ρ(α)) = ααc  0, α ∈ TM (Z(p) ) acts on Sh(p)
through ρ(α) ∈ G(A). Then we have
ρ(α)(x(a)) = (E(a), η (p) (a) ◦ ρ(α)) = (E(αa), η (p) (αa))
for the prime-to-p isogeny α ∈ End(E(a)/W ) = O(p) . Thus, TM (Z(p) ) acts
on Sh(p) , fixing the point x(a). The pullback α∗ ω(a) of ω(a) via the complex
multiplication by α ∈ End(E(a)/W ) is equal to α · ω(a) ∈ H 0 (E(a), ΩE(a)/W ),
and hence we find
g(x(αa), αω(a)) = g(ρ(α)(x(a), ω(a))) = α−k g(x(a), ω(a)).
From this, we conclude that
f (x(αa), αω(a)) = f (ρ(α)(x(a), ω(a))) = α−k−κ(1−c) f (x(a), ω(a)),
because the effect of the differential operator d is identical to the effect of δ
at the CM point x(a) by Theorem 1.34. By our choice of the Hecke character
λ, we find

λ(αa) 
= α−k−κ(1−c) λ(a).
If a and α are prime to p, the value α−k−κ(1−c) λ(α)  is determined indepen-
 −1 f (x(a), ω(a))
dently of the choice of α for a given ideal αa, and the value λ(a)
is independent of the representative set A = {aj } for Cln . Defining
 −1 f (x(a), ω(a)) for a proper On -ideal a prime to p,
f ([a]) = λ(a) (8.2.3)
we find that f ([a]) depends only  1 on the proper
 1 0ideal class [a] ∈ Cln .
u  
We write x(au ) = x(a)|α−1 1 0 1
l (α1 = 0 l l
), where l = (l) for the fixed
prime 0 < l ∈ Z. Then au depends only on u mod l, and {au }u mod l gives a
complete representative set for proper On+1 -ideal classes, which project down
to the ideal class [a] ∈ Cln . Since au On = l−1 a, we find λ(a  u ) = λ(l) 
 −1 λ(a).
Recalling f |U (l) = l a · f , we have
κ

1 
 −1 f |U (l)(x(a)) =
lκ a · f ([a]) = λ(a) f ([au ]). (8.2.4)

λ(l)l u mod l
 8.2 Nonvanishing Modulo p of L-Values 355

Exercise 8.20 Prove that a function φ : Cl∞ → F continuous with respect to

the profinite topology on Cl∞ and the discrete topology on F factors through
Cln for a suitable n > 0.
Definition 8.21 For a continuous function φ : Cl∞ → F, taking n > 0 so
that φ factors through Cln , we define a measure ϕf on Cl∞ with values in F
by
 
φdϕf = b−n 
φ(a−1 )f ([a]) (for b = lκ+1 aλ(l)). (8.2.5)
Cl∞ a∈Cln

We need to have the term φ(a−1 )f ([a]) instead of φ(a)f ([a]) because in our
application, f ([a]) for a specific f actually gives the partial L-value for the
ideal class [a−1 ], not [a].

Exercise 8.22 Prove that Cl∞ φdϕf depends only on φ and not on the choice
of n, so that φ factors through Cln (hint: use (8.2.4)).

8.2.2 Nontriviality of the Modular Measure

A sufficient condition for ϕf not identically 0 modulo p is given in [H04b]

Theorems 3.2 and 3.3. To state the result in [H04b], we recall the degeneracy
operator [q], commuting with U (l), for a prime ideal q = l of Z. For a test
object (E, η) of level Γ0 (lq), the q-part ηq of η is a subgroup C ∼ = Z/q in E.
We made a correspondence [q](E, η) = (E  , η  ) with E  = E/C (see (8.1.18)).
If q splits into QQ in M/Q, choosing ηq induced by E(a)[q∞ ] ∼ = MQ /OQ ×
MQ /OQ ∼ = Qq/Zq × Qq /Zq , we always have a level-Γ0 (q) structure C =
E(a)[Qn ] for Qn = Q ∩ On on E(a) induced by the choice of the factor Q.
Then we have [q](E(a), C) = E(aQ−1 −1 ∼
n ) for a proper On -ideal a, as Qn a/a = C
−1 −1
by ηq [so E(a)/C = E(a)/(aQn /a) = E(aQn )]. When q ramifies in M/Q
as q = Q2 , E(a) has a subgroup C = E(a)[Qn ] isomorphic to Z/q; so we
can still define [q](E(a)) = E(aQ−1 n ). The effect of [q] on the q-expansion at
the infinity cusp is computed in Sect. 7.1.9 and is given by a unit multiple of
the q-expansion of f at the Tate curve Tate(q $ ) for a positive generator 
1 0
of q. The operator [q] corresponds to the action of g = 0 $q−1 ∈ GL2 (Qq ).
In Sect. 7.1.9, we also noted that [q] induces a linear map well defined on
V (Γ0 (l); B) into V (Γ0 (lq); B) (for any p-adic W -algebra B).
We fix a decomposition Cl∞ = Γ − × Δ for a finite group Δ and a torsion-
free subgroup Γ − (we may assume that complex conjugation acts on Γ − by
γ c = γ −1 ). In this section, for simplicity, we write Γ for Γ − . Since each
fractional O-ideal A prime to l defines a class [A] in Cl∞ , we can embed the
ideal group of fractional ideals prime to l into Cl∞ . We write Clalg for its
image. By class field theory, we can identify Cln and Gal(Hn /M ) by Artin
symbol (see [CFN] IV.6), where Hn is the ring class field corresponding to Cln .
If n is finite, Chebotarev’s density theorem ([CFN] V.6.4) tells us that for any
356 8 Nonvanishing Modulo p of Hecke L-Values

σ ∈ Gal(Hn /M ), we can find a split prime Q outside l such that σ = F robQ ;

hence, the class in Cln corresponding to σ contains [Q]. In particular, split
primes (not just Clalg ) are dense in Cl∞ .
Lemma 8.23 1. Complex conjugation c acts on z ∈ Cl∞ by z → z −1 (and
this is the reason why Cln are called anticyclotomic class group).
2. The intersection Δalg = Δ ∩ Clalg is represented by square-free products
of prime ideals of M ramified over Q. In other words, Δalg is isomorphic
to the 2-torsion part of the class group of M (i.e., the ambiguous class
group of M ).
3. The quotient Cl∞ /Γ Δalg has a complete representative set in the set of
prime ideals split over Q (prime to l).
4. Write [Q]Γ (resp., [Q]Δ ) for the projection of [Q] ∈ Clalg to Γ (resp., to
Δ). If [Q]Δ ∈ [Q ]Δ Δalg , then [Q]Γ /[Q ]Γ ∈ Clalg .

Proof. For any ideal Q of O prime to l, Qn Qcn is principal generated by

N (Q) ∈ Z, and hence trivial in Cln . Therefore, complex conjugation acts
on Cl∞ by z → z −1 . Since we can bring any fractional ideal inside O by
multiplying a positive integer, we have Clalg = {[Q]|Q ⊂ O}. Thus, Clalg
is generated by prime ideals.5 If [Q] = 1 in Cl∞ , we have Qn = (αn ) with
αn ∈ On for all n. Since n On = Z, Q is generated by a rational integer.
Therefore, [Q]m = 1 implies that Qm is generated by a rational integer, but
Q is not. By making prime factorization, if Qm = (n) for 0 < n ∈ Z, Q is
a product of Z-ideals and ramified primes, so Δalg is generated by ramified
primes. The ambiguous class group Clamb is generated by ramified primes,
and hence we have a natural surjection Δalg → Clamb . If √ [Q] is trivial, as we
have seen, Q is either a Z-ideal or a Z-ideal multiplied by ( −D), so this map
is actually an isomorphism.
Note that Cl∞ /Γ Δalg is a finite group. Thus, for sufficiently large but
finite n, the natural map Cln → Cl∞ /Γ Δalg is surjective. By Chebotarev’s
density theorem (and class field theory), any class of Cln is represented by a
prime ideal Q (prime to l). If Q is inert, the class is trivial. If Q is ramified,
the class is in Δalg as already seen. Thus, for the class [Q] = 1 in Cl∞ /Γ Δalg ,
the ideal Q has to be split over Q, as otherwise, [Q] ∈ Δalg . For the trivial
class in Cl∞ /Γ Δalg , making n larger if necessary, we pick a nontrivial class
C ∈ Δalg in Cln mapping to 1 ∈ Cl∞ /Γ Δalg . Then we can choose a split
prime Q in the class again by Chebotarev density, and we can chose a complete
representative set for Cl∞ /Γ Δalg among split primes. The last assertion is
obvious, as [Q]Γ /[Q ]Γ ∈ Clalg ⇔ [Q]Δ /[Q ]Δ ∈ Δalg . 

We choose a complete representative set {R−1 |r ∈ R} for Δalg such that the
set R is a subset of the set of all square-free products of primes in Q ramifying
in M/Q, and R is a unique ideal in M with R2 = r. The set {R|r ∈ R} is a
complete representative set for 2-torsion elements in the class group Cl0 of O
(i.e., the ambiguous classes). We fix a character ν : Δ → F× , and define
 8.2 Nonvanishing Modulo p of L-Values 357

fν =  −1 (R)f |[r].
λν (8.2.6)
r∈R

Choose a complete representative set Q for Cl∞ /Γ Δalg made of primes of M

split over Q outside pl. Since Clalg is dense in Cl∞ , we can choose Q ∈ Q,
whose projection to Γ is whateverclose to 1 under the profinite topology (this
(p)
remark will be useful later). We choose ηn out of the basis (w1 , w2 ) of O n
so that at q = Q ∩ Q, w1 = (1, 0) ∈ OQ × OQc = Oq and w2 = (0, 1) ∈ OQ ×
OQc = Oq . Since all operators [q] and [r] involved in this definition commute
with U (l), fν |[q] is still an eigenform of U (l), with the same eigenvalue as f .
Thus, in particular, we have a measure ϕfν . We project it to Γ along ν, which
produces a measure ϕνf on Γ explicitly given by
  
φdϕνf =  −1 (Q)
λν φ|Qdϕfν |[q] ,
Γ Q∈Q Γ

where φ|Q(y) = φ(y[Q]−1

Γ ) for the projection [Q]Γ in Γ of the class [Q] ∈ Cl∞ .

Lemma 8.24 If χ : Cl∞ → F× is a character inducing ν on Δ, we have

 
ν
χdϕf = χdϕf .
Γ Cl∞

Proof. Write Γf,n for the image of Γ in Cln . For proper On -ideal a, by the
above definition of these operators,
 −1 f (x(Q−1 R−1 a), ω(Q−1 R−1 a)).
f |[r]|[q]([a]) = λ(a)
For sufficiently large n, χ factors through Cln . Since χ = ν on Δ, we have
   
χdϕνf =  −1 (QRa)f |[r]|[q]([a])
λχ
Γ Q∈Q r∈R a∈Γf,n
 
= χ(QRa)f ([Q−1 R−1 a]) = χdϕf ,
a,Q,r Cl∞

 −1
because Cl∞ = Q,R [Q R−1 ]Γ .
In the next couple of sections, we prove the following result (given in [H04b]
as Theorems 3.2 and 3.3):
Theorem 8.25 Suppose that p = pp with two primes p = p in M/Q (the
factor p corresponding to ip : M → Qp ). Let f = 0 be an eigenform of
U (l) of level Γ0 (l) defined over F with nonzero eigenvalue. Fix a character
ν : Δ → F× , and define fν as in (8.2.6). If f satisfies the following condition:
(H) For any given integer r > 0 and any congruence class u ∈ (Z/lr Z)× , there
exists 0 ≤ ξ ∈ u such that a(ξ, fν ) = 0,
358 8 Nonvanishing Modulo p of Hecke L-Values

then nonvanishing Cl∞ νχdϕf = 0 holds except for finitely many characters
χ of Γ . Here νχ is the character of Cl∞ = Γ ×Δ given by νχ(γ, δ) = ν(δ)χ(γ)
for γ ∈ Γ and δ ∈ Δ.

8.2.3 Preliminary to the Proof of Theorem 8.25


The association a → x(a) induces a map Cl(∞) = n Cln → Y0 (l). Over
C, the isomorphism class of E(a) is determined by the ideal class [a]; so even
after projecting down to the J-line P1 (J), this map is injective (cf. [D2]). Over
F = Fp , via canonical lift (see Sect. 6.3.2), the image of Cl(∞) in P1 (J)(F) is
in bijection with the canonically lifted image in P1 (J)(Q); hence, we regard
Cl(∞) ⊂ Y0 (l)(B) or Cl(∞) ⊂ Y1 (l)(B) for B = F or W. We now consider
[a] → f ([a]) a function of Cl(∞) = n Cln ⊂ Y1 (l)(F).
Suppose that f is defined over a W-algebra A in which l is invertible. By
(8.2.4), we have, for an integer n > m,


f ([a]) = (λ(l)l)n−m
f |U (ln−m )([A]), (8.2.7)
[a]∈Cln , a →[ln−m A]=[A]∈Clm

where [a] runs over all classes in Cln that project down to [A] = [lm−n A] ∈

Clm . We suppose that f |U (l) = (a/λ(l)l)f with a unit a ∈ A. For each
function φ : Cl∞ → A factoring through Clm , we define
 
φdϕf = a−m φ(a−1 )f ([a]). (8.2.8)
Cl∞ a∈Clm

Then for n > m, we find

  
a−n φ(a−1 )f ([a]) = a−m φ(A−1 )a(m−n) f ([a])
a∈Cln A∈Clm a∈Cln , a →A
 
(8.2.7)
= a−m φ(A−1 )a(m−n) f |U (l(n−m))([A]) = φ(x)dϕf (x).
A∈Clm Cl∞

Thus, ϕf gives an A-valued distribution on Cl∞ well defined independently

of the choice of m for which φ factors through Clm , because U (lα ) = U (l)α .
Classical modular forms are actually defined over a number field; so we
assume that f is defined over the localization V of the integer ring in a number
field K containing M over which E(a) for each class [a] ∈ Cl0 is defined. We
write P|p for the prime ideal of the p-integral closure Ṽ of V in Q corresponding
to ip : Q → Qp . More generally, if f = dκ g for a classical modular form g
integral over V, the value f ([a]) is algebraic and P-integral over V by a result
of Shimura’s and Katz’s (see Theorems 1.27 and 1.34).
Let f = dκ g for g ∈ Gk (Γ0 (l); V). Suppose f |U (l) = (a/λ(l)l)f for a,
giving a unit of Ṽ/P. For the moment, let ϕ be the measure associated with
 8.2 Nonvanishing Modulo p of L-Values 359

f , with values in B = W for a finite extension W of W (Fp ) containing V.

We have a well-defined measure ϕ mod P. Let Kf be the field generated by
f ([a]) over K[μl∞ ]. Then Kf /K is an abelian extension unramified outside
l, and we have the Frobenius element σb ∈ Gal(Kf /K) (that is, the image
of b under the Artin reciprocity map) for each ideal b of K prime to l. By
Shimura’s reciprocity law ((6.4.5) and Proposition 7.24), we find for σ = σb ,
x(a)σ = x(N (b)−1 a) for the norm N : K → M (this fact is actually explained
in Sect. 6.4.6 in more down-to-earth terms). As for ηpord (a), we find σ◦ηpord (a) =
u · ηpord (a) for u ∈ O× ord ∼
p [see (6.4.3) for ηp (a)]. Since ap = Op , we have
∞ ∼ ∞
E(O)[p ] = E(a)[p ] as a Galois module. As seen in Sect. 6.4.6, we know that
L1 (s, E(O)/K ) = L(s, ψ)L(s, ψ) for a Hecke character ψ : KA× /K × → C× .
This means that on the p-adic Tate module Tp E(O), the action of σb is given
by ψ(b) ∈ M × [so the eigenvalues of σb on Qp -vector space Tp E(O)⊗Z Q ∼ = Mp
are given by ψ(b) and ψ(b)]. Thus, replacing ψ by ψ if necessary, we conclude
u = ψ(b) for the Hecke character ψ of KA× /K × , giving rise to the zeta function
L1 (s, E(O)) of E(O). From this, if we extend K further if necessary, we see
that f ([a])σ = f ([N (b)−1 a]) for any ideal b, since ψ(b) ∈ M generates the
ideal N (b) ⊂ M by Exercise 6.58 (see also [IAT] Sect. 7.8 or [EDM] Sect. 14.4)
and hence ψ(b)k+κ(1−c) = λ(N  (b)). We then have
  
σ· φ(x)dϕf (x) = σ ◦ φ(N (b)x)dϕf (x), (8.2.9)
Cl∞ Cl∞

where N (b) is the norm of b over M . If φ is a character χ, we have

  
σ· χ(x)dϕf (x) = σ ◦ χ(N (b)x)dϕf (x)
Cl∞ Cl∞

= σ ◦ χ(N (b)) σ ◦ χ(x)dϕf (x). (8.2.10)
Cl∞

Writing Fpr for V/P ∩ V, any modular form defined over Fpr is a reduction
modulo P of a classical modular form defined over V of sufficiently high weight.
Thus, the above identity is valid for σ = Φs (s ∈ Z) for the Frobenius element
Φ ∈ Gal(F/Fpr ). In this case, N (b) is a power of a prime ideal p|p in M .
We now take the base ring B to be F = W/mW = Ṽ/P and consider the
measure ϕf as having values in F. Thus, we simply write g ∈ Gk (Γ0 (l); F) for
g mod P for the original g ∈ Gk (Γ0 (l); V) [and f = dκ g ∈ VΓ1 (l)/F ]. Then
(8.2.10) shows that if φ is a character χ of Cl∞ , for σ ∈ Gal(F/Fpr ),
 
χ(x)dϕf (x) = 0 ⇐⇒ σ ◦ χ(x)dϕf (x) = 0. (8.2.11)
Cl∞ Cl∞

Recall the decomposition Cl∞ = Γ × Δ. Let Fq be the finite subfield of

F generated by all l|Δ|th roots of unity over the field Fpr of rationality of f
 For any finite extension F /Fq , we consider the trace map:
and λ.
360 8 Nonvanishing Modulo p of Hecke L-Values

TrF /Fq (ξ) = σ(ξ)
σ∈Gal(F /Fq )

for ξ ∈ F . If χ : Cln → F× is a character, d := [Im(χ) : Im(χ) ∩ Fq × ] is not

divisible by p (as |F× ×
pm | = p − 1 ≡ 0 mod p). Thus, d ∈ F , and we find
m

 
d
TrFq (χ)/Fq ◦ χ(y −1 x)dϕf (x) = n χ−1 (y −1 a)f ([a]),
Cl∞ a −1 −1
a∈Cln :χ (ay )∈Fq
(8.2.12)
because, by Exercise 1.15, for an lth-power root of unity ζ ∈ μln − μl ,

s ln−m ζ s if ζ s ∈ Fq and Fq ∩ μl∞ (F) = μlm (F)
TrFq (μln )/Fq (ζ ) =
0 otherwise.

Suppose Cl∞ χ(x)dϕf (x) = 0 for an infinite set X of characters χ. For
m
sufficiently large m, we always find a character χ ∈ X such that Ker(χ) ⊂ Γ l .
n
Then, writing Ker(χ) = Γ l for n ≥ m, we have the vanishing from (8.2.11)

σ ◦ χdϕf = 0 for all σ ∈ Gal(F/Fq ).
Cl∞

Combining this with (8.2.12), with a variable change y −1 a → a, we find


a∈χ−1 (F×
q )
χ−1 (a)f (y[a])) = 0 for all y ∈ Γn , where Γn is the image of Γ
in Cln .

8.2.4 Proof of Theorem 8.25

We write Fp [f ] for the minimal field of definition of f ∈ V (F) [i.e., the field
generated by a(ξ, f ) ∈ F for all 0 ≤ ξ ∈ Z]. Similarly, Fp [λ] (resp., Fp [ν])
is the subfield of F generated by the values λ([a]) mod P (resp., ν([a])) for
all [a] ∈ C . Define Fp [f, λ, ν] by the composite of these fields and Fp [μl ].
alg

Note that Fp [f, λ, ν] is a finite extension of Fp as f is mod-p reduction of

some classical modular form of some weight ≥ 2. Define 1 ≤ r = r(ν) ∈ Z by
= lr . For general h ∈ V (F), we write the q-expansion at the
|μl∞ (Fp [f, λ, ν])|
infinity cusp as 0≤ξ a(ξ, h)q ξ .
By definition, the projection {[Q]Γ }Q∈Q of [Q] in Γ are all  distinct in
Cl∞ /Clalg . By Lemma 8.24, we need to prove that the integral Γ χdϕνf van-
ishes only for finitely many characters χ of Γ . Suppose toward a contradiction
that the integral vanishes for characters χ in an infinite set X .
n−r n
Let Γ (n) = Γ l /Γ l for r = r(ν). By applying (8.2.12) to a character in
n
X with Ker(χ) = Γ l , we find
 
ν(Q)−1 χ−1 (a)fν ([aQ−1 ][Q]Γ ) = 0. (8.2.13)
Q∈Q a∈yχ−1 (μlr )
 8.2 Nonvanishing Modulo p of L-Values 361

Fix Q ∈ Q. By Lemma 8.19, {x(a)|[a] ∈ yχ−1 (μlr )} is given by α( lur )(x(a0 ))

l
for any member a0 ∈ yχ−1 (μlr ), where

α(t) = ( 10 1t ) . (8.2.14)

Actually, a → u mod lr gives a bijection of yχ−1 (μlr ) onto O/lr . We write the
element a corresponding to u as α( lur )a0 . This shows, choosing a primitive lr th
l
root of unity ζ = exp(2πi/lr ) and ay ∈ yχ−1 (μlr ) so that χ−1 (α( lur )ay ) = ζ uv
l
for an integer 0 < v < lr prime to l (independent of y), the inner sum of
(8.2.13) is equal to, up to a nonzero factor,
 u
ζ uv (fν |α( r ))([ay Q−1 ][Q]Γ ).
l l
u mod l
r

The choice of v depends on χ. Since X is infinite, we can choose an infinite

subset X  of X for which v is independent of the element in X  . Then write
nj
nj for the integers given by Γ l = Ker(χ) for χ ∈ X  (in increasing order),
and define Ξ to be the setof points x(a) for a ∈ Clnj with [aOn1 ] = [On1 ]
in Cln1 . Define also hQ = u mod lr ζ uv fν |α( lur ), because (8.2.13) is now the
l
sum: 
ν(Q)−1 hQ |[q]([a][Q]Γ ) = 0,
Q∈Q

where q = Q ∩ F . If necessary, as we remarked already, we reselect the rep-

resentative set Q so that [Q]Γ ∈ Ker(Cl∞ → Cln1 ). This is possible because
{[Qf ] ∈ Γ |Q ∼ A} for all split primes is dense by Chebotarev density, where
Q ∼ A means the class of Q is equal to the class of A in Cl∞ /Γ Δalg . Take
Q, Q in Q. Then by Lemma 8.23(4), [Q]Γ /[Q ]Γ ∈ Clalg ⇔ Q = Q . Thus, we
may apply Corollary 8.30 in the following section to the following set of func-
tions: {[a] → hQ |[q]([a][Q]Γ )}. By the corollary, if hQ |[q] = 0 for one Q, the
above sum is nonzero as a function of [a]; hence, this implies that hQ |[q] = 0.
By the q-expansion principle, we conclude hQ = 0 [as h|[q](q) = h(q $ ) for the
positive generator of q].  u 
Writing fν = 0≤ξ∈Z a(ξ, fν )q ξ , we have fν | 10 l1r = 0≤ξ∈Z a(ξ, fν )ζ u q ξ
for ζ = exp( 2πi
lr ). Then the q-expansion coefficient a(ξ, hQ ) of hQ is given by
a(ξ, fν ) if ξ ≡ −v mod lr and vanishes otherwise. This is a contradiction
against assumption (H).
Exercise 8.26 Give a detailed computation showing that a(ξ, hQ ) = a(ξ, fν )
if ξ ≡ −v mod lr and vanishes otherwise.

8.2.5 Linear Independence

Fix a positive integer n1 > 0. We create a complete representative set Rn

for Ker(Cln → Cln1 ) by α( lun )(x(On1 )) [for α(t) as in (8.2.14)] by choosing
suitable integers 0 < u < ln . Choose an infinite sequence n := 0 < n1 <
362 8 Nonvanishing Modulo p of Hecke L-Values

n2 < · · · < nm < · · · of positive integers. Take a geometrically irreducible

(p) (p)
component V/F ⊂ Sh/F containing x(On ), where Sh/F = Sh(p) ×W F. Since
V is affine, we can write V = Spec(OV ) for OV = H (V, OV ). Sometimes we
0

just write O = OV if confusion is unlikely. Define

∞
+
Ξn = Ξ = {x(a) ∈ V |a ∈ Rnj } ⊂ V.
j=1

Since SL2 (A(p∞) ) keeps any geometrically irreducible component (see Theo-
rem 7.18), x(a) as above always resides in one component V .
Let F = FΞ denote the F-algebra of functions φ : Ξ → P1 (F) = F  {∞}
with |φ−1 (0)| < ∞ and |φ−1 (∞)| < ∞. The profinite class group C = Cn1 :=
Ker(Cl∞ → Cln1 ) acts on F by translation: f (x) → f (xy) (y ∈ Cl∞ ). In
particular, α ∈ O(p) with trivial [(α)] ∈ Cln1 acts on Ξ and such α is p-
adically dense in TM (Zp ). For f ∈ F(V )× , for each x = x(a) ∈ Ξ, expanding
f into a Laurent series f (t) = n an tn ∈ F[[t]][t−1 ] with leading nonzero term
am tm (m ∈ Z), we may define
⎧
⎪
⎨∞ if m < 0,
f (x(a)) = a0 if m = 0,
⎪
⎩
0 if m > 0.
(p)
By the Zariski density of Ξ in V = V/F , we can embed into F the function
field F(V ) of V .
Exercise 8.27 Why is Ξ Zariski dense in V ? Why does density imply the
injectivity of F(V ) into F ?
Proposition 8.28 Take a finite set Δ = {γ1 , . . . , γm } ⊂ Cn1 injecting
into Cl∞ /Clalg . Then the subset Ξ̃ := {(x(δ(a))δ∈Δ |x(a) ∈ Ξ} is Zariski
Δ
dense in the product V/F of Δ copies of V/F . This implies that the fields
γ1 (F(V )), . . . , γm (F(V )) are linearly disjoint over F in FΞ , where γ(F(V ))
is the image of F(V ) ⊂ F under the action of γ ∈ Cn1 . In other words, we
m
  !
have injectivity of the map γ1 ⊗ · · · ⊗ γm : OV ⊗F OV ⊗F· · · ⊗F OV → F
sending f1 ⊗ · · · ⊗ fm to an element in F given by x(a) → j fj (x(γj a)).

Proof. We write xm (a) for (x(γj a))j ∈ V m . Let X be the Zariski closure of
Ξ̃ := {xm (a) ∈ V/Fm
|x(a) ∈ Ξ} in V m . The last two assertions follow from
the density of the above set: X = V m . Thus, we only prove X = V m . We
have a homomorphism π : O× (pl) → Cl∞ by sending α to its class [α]. Let T =
π −1 (Cn1 ). We have α ∈ T ⇔ (α) ∩ On1 ,l is a principal On1 -ideal (necessarily
generated by one of ±α), where (α) = αO. Note that [α] = limn [(α) ∩ On,l]n
←−
for the class [(α) ∩ On,l]n in Cln . We only need to deal with Y1 (l) as we
assumed that the level is just l, but we take care of a slightly more general
 8.2 Nonvanishing Modulo p of L-Values 363

case of level N whose l-part is a factor of ln1 . As long as the l-part of N is a

factor of ln1 , writing ρ for ρO , we have the equality in Y1 (N ):

(E(a), αη (p) (a)) = (E(a), η (p) (a) ◦ ρ(p) (α))

= (E((α) ∩ On )−1 a), η (p) ((α) ∩ On )−1 a)) (8.2.15)

for proper On -ideals a. We have ((α) ∩ On )−1 in the right end, because of
Remark 7.12 [i.e., on the lattice, the action of g ∈ G(A(∞) ) is given by
 → g −1 L].
L  A tricky point is that for a principal ideal (α) of On1 , (α) ∩ On,l
is no longer the principal On -ideal if n  n1 . By (8.2.15), the diagonal auto-
morphism τ (ρ(p) (α))Δ ∈ Aut(V/F Δ
) leaves Ξ̃ stable as multiplication by δ ∈ Δ
commutes with multiplication by [α] ∈ Cn1 . Thus, the closure X is stable
under T . Since X is a union of finitely many irreducible components, the
group T permutes them; so, replacing T by a subgroup of finite index, we
may assume that T fixes all of the irreducible components. Replacing X
by an irreducible component, we may assume that X is irreducible of pos-
itive dimension. Since dim X > 0, we have that Ξ̃X = X ∩ Ξ̃ has infinitely
many densely populated distinct points (and stable under T ). Thus, we could
restart with ΞX = {x ∈ Ξ|(δ(x))δ∈Δ ∈ Ξ̃X }. Again, moving by the action
of Cl∞ , we may assume that X contain x(On ). Note that On,p = Op as
l = p. Thus, we have the canonical coordinate t around x(O) (by choos-
ing a level-p∞ structure ηp◦ × ηpet ). Then the action of τ (ρ(p) (α)) is given
1−c
by t → tα (see Proposition 7.44). In particular, the action is p-adically
continuous on the formal completion V Δ along (δ(x(On ))δ∈Δ ∈ V Δ . Thus,
the p-adic closure T of {τ (ρ(p) (α))Δ |α ∈ T } in Aut(V Δ ) leaves stable X.
Identifying V with G m by t, the action of T contains the diagonal action of
an open subgroup U of AutGSCH (G  m ) = Z× . Then if dim X < dim V Δ ,
p
by Theorem 3.44 and Corollary 11.11 (or by the theorem in Sect. 3.5.3),
X ⊂ V × V × · · · × V × Δα,β after permutation. Thus, we have two dis-
tinct elements δ, γ ∈ Δ such that δγ −1 = τ (ρ(p) (αβ −1 )) in Aut(V/F ). By
Theorem 7.20, this means δγ −1 = αβ −1 modulo Q× . Since (n) for n ∈ Q× is
trivial in Cl∞ , we have δγ −1 = [(αβ −1 )] ∈ Clalg , which is a contradiction.

Exercise 8.29 Explain why density implies the injectivity of γ1 ⊗ · · · ⊗ γm .

The linear independence applied to the global sections of a modular line bun-
dle (regarded as sitting inside the function field) yields the following result:

Corollary 8.30 Let the notation and the assumption be as in Proposi-

tion 8.28. Let ω k be a modular line bundle over the Igusa tower Ig/F over
V/F . Then for a finite set Δ ⊂ Cl∞ injecting into Cl∞ /Clalg and a set
{sδ ∈ H 0 (I, ω k )}δ∈Δ of nonconstant global sections sδ of ω k finite at Ξ, the
functions sδ ◦ δ (δ ∈ Δ) are linearly independent in FΞ .
364 8 Nonvanishing Modulo p of Hecke L-Values

Choosing one nonzero section s (different from constant multiples of any of

the sδ ’s) and replacing sδ by sδ /s, which is a modular function, we can bring
the situation in the case of modular functions, which is taken care of by the
above theorem.

8.2.6 l-Adic Eisenstein Measure Modulo p

We apply Theorem 8.25 to the Eisenstein series E(λ) in (8.1.17) for the Hecke
character λ fixed in Sect. 8.1.2. Choosing a generator π of mW , the exact
l
sequence ω k/W − → ω k/W  ωk/F induces a reduction map: H 0 (M, ω k/W ) →
H 0 (M, ω k/F ). We write Ek (ψ ◦ ) mod mW for the image of the Eisenstein series
Ek (ψ ◦ ). Then we put

f = (dκ (Ek (ψ ◦ )) mod mW ) ∈ VΓ0 (l)/F .

By definition, the q-expansion of f is the reduction modulo mW of the q-

expansion of E(λ) of characteristic 0.
We fix a character ν : Δ → F× as in the previous section and write ϕ = ϕf
and ϕν = ϕνf . By (8.1.38) combined with Lemma 8.24, we have, for a character
χ : CL∞ → F× with χ|Δ = ν,
 
π κ Γ (k + κ)L(l) (0, χ−1 λ)
χdϕν = χdϕ = C k+2κ
mod mW , (8.2.16)
Γ Cl∞ Ω∞
where C is a nonzero constant given by the class modulo mW of

(−1)k (O× : Z× )
√ .
Im(δ)κ D
The nonvanishing of C modulo mW follows from the unramifiedness of p in
M/Q. We now prove the following a slightly more specific version of Theo-
rem 8.17, assuming C = 1:
Theorem 8.31 Let p be an odd prime splitting in M/Q. Let λ be a Hecke
character of M of conductor C and of infinity type k + κ(1 − c). Suppose
×
(ct), (sp), and (pl) in Sect. 8.1.2. Fix a character ν : Δ → Q . Then for
π κ ΓΣ (k+κ)L(l) (0,ν −1 χ−1 λ)
the Néron period Ω∞ in (8.1.2), we have Ω∞k+2κ ∈ W for
all nontrivial characters χ : Cl∞ → μl∞ (Q) factoring through Γ . Moreover,
except for finitely many characters χ in HomGP (Γ, μl∞ ), we have

π κ Γ (k + κ)L(l) (0, ν −1 χ−1 λ)

k+2κ
≡ 0 mod mW .
Ω∞
Proof. By Theorem 8.25, we need to verify the condition (H) for f := E(λ).
We recall fν ∈ VΓ0 (l)/W in (8.2.6). Thus, we need to prove that for a given
congruence class u ∈ (Z/lr )×
 8.2 Nonvanishing Modulo p of L-Values 365

a(ξ, fν ) ≡ 0 mod mW for at least one ξ ∈ u. (8.2.17)

Since a(ξ, dκ h) = ξ κ a(ξ, h) (8.1.3), (8.2.17) is achieved if

a(ξ, fν ) ≡ 0 mod mW for at least one ξ ∈ u prime to p (8.2.18)

holds for
f  = (Ek (ψ ◦ ) − N (l)Ek (ψ ◦ )|l|[l]),
because l  p. Up to nonzero constant, ψ ◦ (a, b) in (8.1.12) is equal to φ(a, b) =
λF (a)λ−1 ×
Fc (b) for (a, b) ∈ (Z/f) , so by our simplifying assumption that φ is a
constant function 1 with value 1. Thus, we are going to prove

a(ξ, fν ) ≡ 0 mod mW for at least one ξ ∈ u prime to p, (8.2.19)

where f  = Ek (1) − l · Ek (1)|l|[l]. Recall (8.2.6):


fν =  −1 (R)f  |[r].
λν (8.2.20)
r∈R

As computed in Sect. 7.1.9, the degeneracy operator [r] on q-expansion is basi-

cally a variable change f (q) → f (q r ) up to a constant for the positive generator
r of r. Thus, as long as ξ ∈ u is prime to lD for the discriminant D of M (note
here that r|D), a(ξ, fν ) = a(ξ, Ek (1)). Since u is a class in the multiplicative
group (Z/lr )× , we can choose ξ so that ξ is a prime outside lD (by Dirichlet’s
theorem asserting infinity of primes in an arithmetic progression). We have
an explicit formula a(ξ, Ek (1)) = 1 + ξ k−1 (see (1.3.1)). Then it is clear that
we can find a prime ξ ∈ u such that a(ξ, Ek (1)) ≡ 0 mod p (unless p = 2).
This finishes the proof.

Exercise 8.32 Give a detailed proof showing 1+ξ k−1 ≡ 0 mod p for infinity
of primes ξ in a given class u ∈ (Z/lr )× .
Remark 8.33 If we start with a CM field M in place of an imaginary
quadratic field, a similar theorem holds, but there exist well-specified excep-
tional cases where the canonical integral part of L(0, χ−1 λ) vanishes modulo
mW for all χ. See details in [H04b] and [H07a] (M1–3).
9
p-Adic Hecke L-Functions and Their
μ-Invariants

We first recall the construction of p-adic Hecke L-functions. We follow Katz

[K2] and [HT2], which covers general CM fields also. In the case of imaginary
quadratic fields, there are different and earlier works making the L-function
(see [IEC] and [Y]). There is another work covering possibly non-CM exten-
sions of imaginary quadratic fields (see [CzS]). We state the result in a general
form covering an arbitrary prime-to-p conductor, but we give a detailed proof
only when the prime-to-p conductor is equal to 1 (so the measure is defined
on the ray class group of conductor p∞ ). After making the measure, we prove
the vanishing of its μ-invariant along the line explained in Sect. 3.5. Again,
there are other methods getting the vanishing (see [Gi2], [Scn], and [Fi2]), but
at this moment, our path is the only way to prove the vanishing for a general
Katz measure of CM fields (see [H10a], [H11b], [Hs2], and [BuH]), although
Finis’ method in [Fi2] is probably also applicable to CM fields.

9.1 Eisenstein and Katz Measure

We first construct a p-adic measure interpolating Eisenstein series and Hecke
L-values (expanding the idea introduced in Sect. 1.3.7 in a slightly different
style).

9.1.1 q-Expansion of Eisenstein Series

We generalize the construction in Sect. 8.1.3 done for a finite set X × Y to a
p-adic space X × Y . Let Φ : {Zp × (Z/f )} × {Zp × (Z/f )} → C be a locally
constant function such that
Φ(ε−1 x, εy) = εk Φ(x, y) (9.1.1)
for all ε ∈ Z× , where k is a positive integer and f and f are integral ideals
prime to p. We put f = f ∩ f . We regard Φ as a function on X × Y with
X = Y = Zp × (Z/f) via the natural projection

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 367

in Mathematics, DOI 10.1007/978-1-4614-6657-4 9,
© Springer Science+Business Media New York 2013
368 9 p-Adic Hecke L-Functions and Their μ-Invariants

{Zp × (Z/f)} × {Zp × (Z/f)}  {Zp × (Z/f )} × {Zp × (Z/f )}.

Recall N (f) = |Z/f| = [Z : f], which is the positive generator of the ideal f. We
put Xα = (Z/pα Z) × (Z/f) and define the partial Fourier transform
 "
  +
P Φ : (Qp /Zp ) × (f−1 /Z) × Y = p−α f−1 /Z × Y → C
α

of Φ, taking α so that Φ factors through Xα × Y , by

 
p−α N (f)−1 a∈Xα Φ(a, y)eQ (ax) if x ∈ p−α f−1 /Z,
P Φ(x, y) = (9.1.2)
0  p−α f−1 /Z,
if x ∈

where eQ is the standard additive character of A/Q (as in Exercise 8.6) re-
stricted to the local component Qpf at pf.
Exercise 9.1 Show that the definition of P Φ as above does not depend on the
choice of α.

We construct an Eisenstein series Ek (z; Φ) for a positive integer k and Φ as

above as a function of test objects (L, φpf ) [for a level structure φpf = (i, if)]
we studied in the previous subsection. Here, i : Qp /Zp ×(f−1 /Z) → p−∞ L/L×
f−1 L/L is the level-p∞ f2 structure. The f-part if of i induces, via the duality
with respect to a pairing on f−1 L/L × L/fL induced by ·, ·L : L × L → Z
as in (8.1.6), the dual map if : L/fL  Z/f, and hence having if is equivalent
to having a pair φpf = (i, if), which is literally of level f2 (not just of level
f). We define an Zfp -submodule P V (L) ⊂ L ⊗Z Qfp specified by the following
conditions:
(pv1) P V (L) ⊃ L ⊗Z Zfp ;
(pv2) P V (L)/ (L ⊗Z Zfp ) = Im(i).
By definition, we may consider

i−1 : P V (L)  P V (L)/ (L ⊗Z Zfp ) ∼

= Qp /Zp × f−1 /Z.

By Pontryagin duality under x, yL as in (8.1.6), the dual map i of i gives
rise to
i : P V (L)  Zp × (Z/f).
 
We regard P Φ as a function on p−∞ f−1 L∩P V (L)= α p−α f−1 L ∩P V (L) by

P Φ(i−1 (w), i (w)) if (w mod L) ∈ Im(i),
P Φ(w) = (9.1.3)
0 otherwise.

Writing L = (L, φpf ) for simplicity, we define, similarly to (8.1.10), the value
Ek (L; Φ) by
 9.1 Eisenstein and Katz Measure 369
 P Φ(w) 
Ek (L; Φ) = (−1)k Γ (k + s)  .
wk |w|2s s=0
w∈p−∞ f−2 L/Z×

We now restate Lemma 8.8:

Lemma 9.2 Suppose k ≥ 2 or Φ(a, 0) = 0 for all a. We have
  ak n
Ek (Φ)(q) = 2−1 L(1 − k; Φ) + Φ(a, b) q ,
|a|
0<n∈Z (a,b)∈(Z×Z)/Z×
ab=n

where L(s, Φ) is the partial L-function given by the Dirichlet series:

  k
N (n)
Φ(n, 0) |N (n)|−s .
|N (n)|
n∈Z/{±1}×

Proof. For simplicity, assume f = 1 (see [HT2] for the general cases). Let
Lz := (Lz , iz ) for Lz = (2πi)(Z+Zz) with z ∈ H and iz : p−α Z/Z → Q·Lz /Lz
given by iz (a mod Z) = (2πi)a mod Lz . Then we have
 
P Φ(a, b) 
Ek (z; Φ) := Ek (Lz ; Φ) = c(k, s)  ,
(a + bz)k |a + bz|2s s=0
(a,b)∈(p−α Z×Z)/Z×

k
where c(k, s) := (−1) Γ (k+s)
(2πi)k (2π)s . Put c = c(k, 0). We can separate the sum for
(a, 0) and (a, b) with b = 0:

 P Φ(a, 0) 
c−1 Ek (z; Φ) = 
ak |a|2s s=0
0<a∈p−α Z
   
1 
+ P Φ(a0 , b)  .
(a + a0 + bz)k |a + a0 + bz|2s s=0
0<b∈Z a0 ∈(p−α Z/Z) a∈Z

Put  1
Sk (z; s) = .
(a + z)k |a + z|2s
a∈Z

Thus, we get, for a, b, a0 running in the range as above,

 "
 P Φ(a, 0)  
Ek (z; Φ) = c  + P Φ(a0 , b)Sk (a0 + bz; 0) .
a
ak |a|2s s=0 a b 0

By Poisson’s summation formula (cf. [EDM] Theorem 2.3 or [LFE] Sect. 8.4),
we get 
Sk (z; s) = Ck (a, z; s)
a∈Z
370 9 p-Adic Hecke L-Functions and Their μ-Invariants
∞ eQ (−xt)
for Ck (x, z; s) = −∞ (t+z)k |t+z|2s
dt. We verify from the definition that

Ck (x, a0 + bz; s) = eQ (xa0 )Ck (x, bz; s) (9.1.4)

and by computation of the integral (see [EDM] Sect. 2.4), we have

⎧
⎨−2πik
⎪ if k = 1 and x = 0,
(−1) (2πi)k x k−1
Ck (x, bz; 0) = |x| x eQ (xbz) if xb > 0, (9.1.5)
⎪
⎩
Γ (k)
0 otherwise.

By this, we reprove (1.3.2) and (1.3.3), and we confirm

 P Φ(a, 0) 
c−1 Ek (z; Φ) = 
ak |a|2s s=0
0<a∈p−α Z
  
+ { P Φ(a0 , b)eQ (−aa0 )}Ck (a, bz; 0).
0<b∈Z a∈Z a0 ∈p−α Z/Z

By the Fourier inversion formula, we have


P Φ(a0 , b)eQ (−aa0 ) = Φ(a, b).
a0 ∈p−α Z/Z

This finishes the proof.

Exercise 9.3 Prove the Fourier inversion formula used in the above proof.

9.1.2 Eisenstein Measure

Let s|f be two nonzero ideals of Z prime to p. We recall the definition of

the Eisenstein measure having values in the space of p-adic modular forms
VΓ11 (fs)/W . Recall that F is an algebraic closure of Fp and that W (F) is the
ring of Witt vectors with coefficients in F. We regard W (F) as a subring of the
p-adic completion Cp of Qp . Let W be a discrete valuation ring finite flat over
 inside Cp . We write, for any fractional ideal a, its prime decomposition
W (F)
as q qεq ; so εq is an integer with εq = 0 for primes q that do not show up in
the prime decomposition. We  denote ε(a) = {εq}q for this set of exponents.
We abbreviate the product q qεq as qε(a) , which is equal to a.

We consider the space O 8 = (Zp × (Z/f)) × (Zp × (Z/s)) and write the
variable on O8 as (x, a; y, b) for x, y ∈ Zp and a ∈ Z/f and b ∈ Z/s. We regard
8
O as a ring; then O8 × is the group of invertible elements in O.8 We embed Z×
8 8 × ×
into O diagonally. We also write T = (Zp × (Z/f)) × (Zp × (Z/s)). We let
( ∈ Z× act on O 8 by ((x, a; y, b) = ((x, (a; (y, (b) and define T = T8/Z× and
T× = O 8 × /Z× . These are the profinite compact spaces carrying the Eisenstein
measure.
 9.1 Eisenstein and Katz Measure 371

For each continuous function Φ(x, a; y, b) on T8, we consider the following

partial Fourier transform:

Φ◦ (x, a; y, b) = Φ(x−1 , u; y, b)eQ (−ua−ε(f) ), (9.1.6)
u∈Z/f

where we have chosen, for each

 prime q = (q) of Q, the prime element q = q
in Q× × eq
q ⊂ A and put  e
= q  q in A× for each exponent e = {eq ∈ Z}q
with eq = 0 almost everywhere (that is, except for finitely many primes).
The map Φ → Φ◦ is a linear operator acting on the space C(T8, W ) of all
continuous functions on T8 with values in W (and invertible by the Fourier
inversion formula). If Φ factors through T , then Φ◦ satisfies the following
property:

Φ◦ ((x, (a; (−1 y, (−1 b) = Φ◦ (x, a; y, b) for all ( ∈ Z× .

This is the property required to define an Eisenstein series (for even weight k)
in Sect. 8.1.3. Then there exists a unique measure E : C(T, W ) → VΓ11 (fs)/W
with the following two properties:
(1) If Φ has values in Q equipped with discrete topology, then for each positive
integer k > 0,
E(N −k Φ) = Ek (Φ◦ ),
where N : T8 → Z× p is given by N (x, a; y, b) = x. Note here that N
−k ◦
Φ
◦
(for any positive integer k) factors through T ⇐⇒ Φ andsatisfies in-
variance (9.1.1) under Z× required for the definition of the Eisenstein
series.
(2) The q-expansion of E(Φ) at the infinity cusp is given by
 
qn Φ◦ (a; b)|a|−1 .
0<n∈Z (a,b)∈(Z×Z)/Z× ,ab=n

The verification of the existence and uniqueness of the measure satisfying (1–
2) is a consequence of the q-expansion principle (see Corollary 7.38) and the
q-expansion of the classical Eisenstein series given in Lemma 9.2. We write
E(Φ) for E0 (Φ).

9.1.3 Katz Measure

Interpreting p-adic modular forms f as geometric modular forms, we can

evaluate them at any test object (E, φpf )/W (as in Sect. 6.4.4) with φpf =
(η ◦ , if , is ) with η ◦ : μp∞ → E in Definition 6.57 defined over W . This gives
rise to a linear form:
Ev : VΓ11 (fs)/W → W
given by Ev(f ) = f (E, φpf ). Thus, we can think of the evaluation Ev ◦ E,
which is a bounded measure on C(T, W ) with values in W .
372 9 p-Adic Hecke L-Functions and Their μ-Invariants

We choose a specific test object. Recall the imaginary quadratic field M

with integer ring O. Let A be an O-ideal prime to p. We take the elliptic curve
x(A) = (E(A), φpf (A), ω(A)) with φpf (A) = (ip (A), if , is )

sitting over x ∈ ShΓ 1 (fs) . Here ip (A) is a slight modification of η ◦ (A) in

(p)
1
Definition 6.57 (see below for the modification). Thus, E = E(A) has complex
multiplication by an imaginary quadratic field M = Mx . As we have already
seen, x(A) is defined over W . By splitting (p) = pp, we see that the special
fiber E(A)/F at p is an ordinary elliptic curve. Since the residue field F of W
is algebraically closed, E(A)[p∞ ] ∼ = (μp∞ ⊗ Z) × (Qp /Zp ). Thus, E(A)/F :=
E(A) ×W F has level-p structure η0◦ defined over F. By deformation theory
∞

of elliptic curves (see Sect. 6.3), E(A)/W sits at the origin 1 ∈ G  m of the
deformation space G  m of E(A)/F . Thus, we can uniquely lift η ◦ to a level-p∞
0
structure η ◦ (A); so we may assume that φpf (A) contains a level-p∞ structure
defined over W .
We recall the construction of the Katz measure interpolating the L-values
of arithmetic Hecke characters of conductor dividing Cp∞ , where C is an
integral ideal of M prime to p. We write O for the integer ring of M . We
decompose C = FFc I. Here I consists of inert or ramified primes over Q, FFc
consists of split primes over Q, and
F + Fc = F + Fc = Fc + Fcc = O and Fc ⊃ Fc .
We put f = FI ∩ Q, s = Fc ∩ Q and i = I ∩ Q. We have Op = O ⊗Z Zp =
Op × Op [so that E(O)[p∞ ]◦ = E(O)[p∞ ] over W ]. We recall the following
four conditions:
1. The lattice A is a fractional ideal of M prime to Cp; so we write E = E(A).
2. Choose δ ∈ M so that δ c = −δ, and the imaginary part Im(i∞ (δ)) is
positive and the alternating
√ form u, v = (uc v − uv c )/2δ induces O ∧ O ∼=
Z (in short, 2δ = −D for the discriminant D > 0 of M ).
3. The inclusion Q → M induces a canonical isomorphism Zp ∼ = Op , which in
(∗)
∼ Qp /Zp ∼
turn induces η ◦ (A) : μp∞ = = Mp /AOp ⊂ C/i∞ (A) = E(A)[p∞ ].
◦
We put ip (A)(x) = η (A)(2δx). This ip (A) is the p-part of the level struc-
ture x(A). Here (∗) is given by e( pmn ) ↔ pmn .
4. The prime-to-p part φ(p) = φf sends (x mod Z) to (x mod A), which
induces (f2 )−1 /Z → (Fi)−2 A/A.
Let ClM (i) be the ideal class group of M modulo i and let Cl− (i) be the
quotient of ClM (i) by the image of (Z/i)× . Identifying Op (resp., Op ) with
the first (resp., last) component of Zp of O 8 and embedding Z/f into O/FI
resp., identifying Z/s with O/Fc)] through the inclusion Z → O, we bring T ×
into Z = ClM (Cp∞ ) = limn ClM (Cpn ). Then we have the exact sequence
←−
T× −
→ Z → Cl− (i) → 1,
ι
 9.1 Eisenstein and Katz Measure 373

and the kernel of ι is a finite group. We write [A] for the image of the class
of an ideal A prime to Cp in Z. For α ∈ O, we have [(α)] = α−1 , where the
right-hand side is the image of the inclusion O×
Cp → Z. Choosing a complete
−
representative set {A} for Cl (i), we have a decomposition
4
Z= Im(ι)[A]−1 .
A

For each function Φ ∈ C(Z, W ), we define ΦA ∈ C(T, W ) in the following way:

ΦA (t) = Φ(t[A]−1 ) for t ∈ T × and extend it by 0 outside T × . Then define
 
Φdμ = ΦA dE(x(A)). (9.1.7)
Z A T

The left-hand side is actually independent of the choice of representatives A

(which can be verified directly, but it will be clear by our evaluation of the
measure). We write E(Φ) for E(Φ) for functions Φ ∈ C(T × , W ).

9.1.4 Evaluation of Katz Measure


 is computed for the p-adic avatar λ
In [K2] Chap. V and [HT1] Sect. 4, Z λdμ 
of an arithmetic Hecke character λ of conductor that is a factor of Cp. When
I = 1, the computation is basically done in Sect. 8.1.7, though in the p-adic
case, as we will see soon, we get an extra modification factor different from
the Euler p-factor.
Let us quote the exact formula from [HT1]: We fix a finite idele d of M
such that the ideal dO ∩ M corresponding to d is the different d of M/Q. Let
× × ×
λ : MA /M → C be a Hecke character such that

λ(x∞ ) = xk+κ(1−c)
∞ ,

where k and κ are integers. Then λ has values in Q on the finite part
 : M ×(∞) /M × → Q× defined by λ(x)
MA×(∞) of MA× . Moreover, the map λ  =
A p
k+κ(1−c)
λ(x)xp is a well-defined continuous character, which is called the p-adic
avatar of λ. We can associate λ with its dual λ∗ given by λ∗ (x) = λ(xc )−1 |x|A .
Then the p-adic avatar of λ∗ is given by λ ∗ (x) = λ(x
 c )−1 N (x)−1 for the cy-
clotomic character N . We define a local Gauss sum of λ at prime ideals Q
dividing the conductor of λ by

−e −e −1
G(d, λQ ) = λ(Q ) λQ (u)eM (Q dQ u), (9.1.8)
u∈(OQ /Qe )×

where Q is a prime element of the Q-adic completion MQ , OQ is the Q-

×
adic integer ring of MQ , λQ is the restriction of λ to MQ , e = e(Q) is the
exponent of Q in the conductor of λ, and eM : MA /M → C× is the standard
374 9 p-Adic Hecke L-Functions and Their μ-Invariants
√
additive character normalized as eM (x∞ ) = exp(2π −1Tr(x∞ )). Outside
the conductor of λ, we simply put G(d, λQ ) = 1. We have defined in (3.5.1)
and (8.1.2) the complex and the p-adic period Ω∞ ∈ C× ∼ = C× and Ωp ∈ W ×
following [K2]. By definition, these numbers are defined uniquely only modulo
×
Q , but the ratio “Ω∞ /Ωp ” is uniquely determined. As before, we take 2δ or
(2δ)c as dQ . Then we define root numbers:

Wp (λ) = p−e(p) G(2δ; λp ),

  
W  (λ) = G((2δ)c , λ−1
L ) G(2δ, λ−1
Lc ) G((2δ)c , λ−1
l ), (9.1.9)
L|F L|Fc l|I

where we decomposed C = FFc I so that FFc consists of split primes over Q,

I consists of inert or ramified primes over Q, F + Fc = O, and Fcc ⊃ F. We
computed in [HT1] (following [K2], where the case C = 1 is treated) that the
measure μ in (9.1.7) satisfies the following:
Theorem 9.4 Let the notation and the assumption be as above. Then we
have


Z(C) λdμ (−1)k π κ Γ (k + κ) 
= (O× : Z× )Wp (λ) (1 − λ(L))
Ωpk+2κ Im(δ)κ Ω∞ k+2κ
L|C

× {(1 − λ(pc ))(1 − λ∗ (pc ))}L(0, λ) (9.1.10)

for all Hecke characters λ modulo Cp∞ such that (i) its conductor is divisible
by all prime factors of F, (ii) the infinity type of λ is k + κ(1 − c) for integers
k and κ satisfying either k > 0 and κ ≥ 0 or k ≤ 1 and κ ≥ 1 − k.
An element a ∈ M is considered to be an element of C via i∞ . The L-function
in (9.1.10) is always the primitive one associated with the primitive Hecke
character. We also tacitly agree to put λ(Q) = 0 if Q divides the conductor
of λ.
Remark 9.5 Since Hecke L-functions satisfy functional equation as in [LFE]
Chap. 8, we can deduce a p-adic version from the Archimedean functional
equation. Denoting the measure μ for Z(Cc ) by μc , we have the following
functional equation:
 
 
λdμ = W (λ) ∗ dμc
λ
Z(C) Z(Cc )

as long as the conductor of λ is divisible by all prime factors of F. We refer

the reader to [K2] and [HT1] for the proof of the functional equation.
After stating a preliminary result as an exercise, we begin the proof of the
×
theorem. Let ψ : O× ×
p × Op → Qp be a finite order character of conductor

pe(p) pe(p) ; hence, ψ(x, y) = ψp (x)ψp (y) for x ∈ O× ×

p and y ∈ Op .
 9.1 Eisenstein and Katz Measure 375

Exercise 9.6 Let the notation be as above. Prove


◦ G(ψp−1 )ψp (pe(p) x)ψp (y) if e(p) > 0 and pe(p) x ∈ Z×
p,
P ψ (x, y) =
(1p (x) − p1 1p (p x))ψp (y) if e(p) = 0,

 1p is the characteristic function of Op = Zp in Mp = Qp and G(χ) =

where
p−e u∈Z/pe χ(u)e( pue ) for a character χ of conductor pe of Z×
p.

Proof of Theorem 9.4. By the functional equation mentioned in Re-

mark 9.5, we may assume κ ≥ 0. For simplicity, we assume that C = 1
following [K2]. We refer to [HT1] for a treatment of the general cases. Re-
gard λ as an idele character MA× /M × → C× by λ(L ) = λ(L) with
L
L = (1, . . . , 1, , 1, . . . , 1) ∈ MA× for each prime L outside p, where  is
a prime element  ∈ O with LOL = (). Since λ(α) = 1 for α ∈ M × prime
to p, we have 1 = λ(α) = λp (α)λp (α)λ((α))αk+κ(1−c) . Thus,
−1
λ((α)) = α−k−κ(1−c) λ−1
p (α)λp (α). (9.1.11)

This implies on the image of ι that λ(x, y) = λ−1 −1

p (x)λp (y)x
−k −1 κ
(x y) for
× ×
(x, y) ∈ Op × Op . By definition, the integral over Im(ι)[A] is the value of
the derivative dκ Ek (Φ◦ ) of the Eisenstein series Ek (Φ◦ ) at x(A) for Φ(x, y) =
ΦA (x, y), with x ∈ O× ×
p and y ∈ Op given by

−1
ΦA (x, y) := λ(A)−1 λ−1
p (x)λp (y).

By the above exercise, noting that we have twisted η ◦ (A) slightly to define
ip (A)(x) := η ◦ (A)(2δx) (to be in line with the existing literature on p-adic
L-functions), we have, for x ∈ p− max(e(p),1) A,

Wp (λ)λ−1 −1
p (x)λp (y) if e(p) > 0 and xpe(p) Op = Op ,
P Φ◦A (x, y) = −1
(1p (x) − p 1p (p x))λp (y) if e(p) = 0,
1

where pe(p) pe(p) is the conductor of λ. Note that multiplication by 2δ sneaks

into G(2δ, λp ) in the process computing P ΦA (ip (A)−1 (w), ip (A) (w)) by our
twist of η ◦ (A). First, suppose that e := e(p) > 0. Then, writing Ek for Ek (Φ◦ )
k κ
and c0 = (−1) π Γ (k+κ)
k+2κ , we find, for a prime element p ∈ M with p Op =
Im(δ)κ Ω∞
pOp ,
376 9 p-Adic Hecke L-Functions and Their μ-Invariants
(c0 (O× : Z× )Wp (λ))−1 δkκ Ek (x(A), ω(A))
 λ−1 −1
p (α)λp (α)

−1 
= λ(A) 
αk+κ(1−c) NM/Q (α)s s=0
α∈(p−e A−p−e pA)/O×

 λ−1 e −1 e 
p (p α)λp (p α) 
= λ(A)−1 λp (pe ) 
e α∈(B∩O× )/O×
αk+κ(1−c) NM/Q (α)s s=0
$p p

 λ−1 −1
p (α)λp (α)

α →α 
e
$p
−1
= λ(A) λp (pe ) 
(p−e α)k+κ(1−c) NM/Q (p−e α)s s=0
α∈(B∩O×
p )/O
×

 λ−1 −1
p (α)λp (α)


= λ(A)−1 λp (pe )p
e(k+κ(1−c))

αk+κ(1−c) NM/Q (p−e α)s s=0
α∈(B∩O×
p )/O
×

 λ((α)) 
λ(B)−1 = LB−1 (0, λ ),
Exercise 9.7
= 
NM/Q (α)s s=0
α∈(B∩O×
p /O
×

(9.1.12)

where B = Ap−e (pe ), which is prime to p, and λ is equal to λ if e(p) > 0 but
is an imprimitive character modulo p induced by λ if e(p) = 0 [so λ (p) = 0
in the imprimitive case]. Summing up over the ideal classes B, we get



Z(C) λdμ
= c0 (O× : Z× )Wp (λ)(1 − λ(pc ))L(0, λ). (9.1.13)
Ωpk+2κ

We now assume that e(p) = 0. Then in the same manner as above, we get

(c0 (O× : Z× )Wp (λ))−1 δkκ Ek (x(A), ω(A))

 (1p (α) − p1 1p (p α))λ−1
p
(α) 
= λ(A)−1  (9.1.14)
αk+κ(1−c) NM/Q (α)s s=0
α∈(p−1 A∩O×
p
)/O×

= First sum − Second sum.

The first sum is

 λ−1 
p (α) 
λ(A)−1  = LA−1 (0, λ ).
αk+κ(1−c) NM/Q (α)s s=0
α∈(A∩O×
p
))/O×

The second sum is given by

 9.2 Computation of the μ-Invariant 377
 λ−1 −1
p (α)λp (α)


(pλ(A))−1 λp (α) 
αk+κ(1−c) NM/Q (α)s s=0
α∈(p−1 A∩O×
p
))/O×

k+κ(1−c)  λ−1 −1
p (p α)λp (p α)

λp (p )p 
= λp (p α) 
pλ(A)λp (p ) (p α)k+κ(1−c) NM/Q (α)s s=0
α∈(p−1 A∩O×
p
))/O×
k+κ(1−c)  λ−1 (α) 
λp (p )p p 
= 
pλ(A)λp (p ) αk+κ(1−c) NM/Q (p−1 α)s s=0
α∈(B∩O×
p
)/O×
 λ((α)) 
λ(B)−1 λ∗ (pc ) = λ∗ (pc )LB−1 (0, λ ),
Exercise 9.7
= 
NM/Q (α)s s=0
α∈(B∩O×
p
)/O×

where B = Ap−1 (p ). Summing up over ideal classes the difference between
the first and second sums, we get


Z(C) λdμ
= c0 (O× : Z× )Wp (λ)(1 − λ(pc ))(1 − λ∗ (pc ))L(0, λ). (9.1.15)
Ωpk+2κ
This finishes the proof. 

Exercise 9.7 In the above computation (9.1.12), prove that

λ(A)−1 λp (pe )p = λ(B)−1 .

e(k+κ(1−c))

9.2 Computation of the μ-Invariant

For simplicity, we assume that the branch character ψ0 has prime-to-p con-
ductor 1 and order prime to p; so ψ0 has values in W (F) (more general cases
are dealt with in [H10a], [H11b], and [Hs2]). Take, as a base ring, a sufficiently
large discrete valuation ring W ⊂ Cp over W (F). We write ψ for an arith-
metic Hecke character with ψ| Δ = ψ0 having prime-to-p conductor 1. We now
prove Theorem 3.37, assuming F = Q and p > 2, and the proof concludes in
Sect. 9.2.4.

9.2.1 Splitting the Katz Measure

In a general setting, for a finite order character ( of the additive group H ∼ =
×
Z

r
p with values
 in W and a measure ϕ on H, we define ϕ  = ( ∗ ϕ by
H
φdϕ = H φ(dϕ. It is clear that μ(ϕ) = μ(ϕ ). However, if we have a
nontrivial projection π : H → H  for H  ∼= Zsp (0 < s < r) and if ( does not
factor through π, we often have μ(π∗ ϕ) = μ(π∗ (( ∗ ϕ)), as the convolution
product ϕ → ( ∗ ϕ does not commute with the push-forward
 along π. Here the
direct image π∗ (ϕ) is a measure on H  defined by H  φdπ∗ (ϕ) = H (φ ◦ π)dϕ.
Since 0 ≤ μ(ϕ) ≤ μ(π∗ (( ∗ ϕ)) for any ( from a many-variable version of
Theorem 1.36, we get the following result:
378 9 p-Adic Hecke L-Functions and Their μ-Invariants

Lemma 9.8 We have μ(ϕ) = 0 if lim inf  μ(π∗ (( ∗ ϕ)) = 0, where ( runs over
all finite order characters of H.
Actually, we can prove the converse of the lemma, but we do not need it.
Exercise 9.9 Give a detailed proof of the above lemma.
We apply the splitting techniques in Sect. 8.2.2 to the Katz measure to
compute the q-expansion
 of the corresponding Eisenstein series. We consider
the measure EA : φ → T φdE(x(A)) for x(A) = E(A), i(A) [on the image of
T × in ClM (p∞ )].
Lemma 9.10 For α ∈ M prime to p, we have
  
φ(t)dE(ρ(α)−1 (x(A))) = φ(αt)dEA = φ(t)dEαA , (9.2.1)
T× T× T×

where α(x; y) = (αx, αa; αc y, αc b) for t = (x; y).

Proof. For α ∈ M prime to p, multiplication by α: u → αu induces the

matrix ρ(α) and an isomorphism: E(A)(C) = C/A ∼ = C/αA = E(αA)(C).
This multiplication by α sends i(A) [resp., ω(A)] to α ◦ i(αA), which sends an
element x ∈ (Qp /Z∗ ) × (f2 )∗ /O∗ to αx mod αA [resp., αω(αA)].  

For each function φ on Im(ι)[A]−1 , we define

φA (x) = φ(x[A]−1 ). (9.2.2)

Now we decompose, for an open subgroup H of T × containing Ker(ι),

4 4
ι(T × )[A]−1 = ι(H)[B]−1 ⇐⇒ T × = H[B−1 A].
B B

Thus, we have
 
φA (t)dEA (t) = 1H[B−1 A] φA (t)dEA (t)
T× B T×
 
= 1H (t[BA−1 ])φB (t[BA−1 ])dEA (t) = 1H (t)φB (t)dEB (t),
B T× B T

where 1H is the characteristic function of H. Note here that we have B = αA

for α ∈ M × .
Decompose Z = ΓM × Δ = Γ + × Γ − × Δ such that
1. Z = ΓM × Δ with torsion-free ΓM and a finite group Δ.
2. ΓM and Δ is stable under c.
3. Γ ± is the ±-eigenspace in ΓM of the action of c (so γ c = γ ±1 if γ ∈ Γ ± ).
 9.2 Computation of the μ-Invariant 379

Exercise 9.11 Why can we choose ΓM and Δ stable under c?

For each z ∈ Z, we define π − (z) = [z]− := z 1−c . Recall the torus T = Tx =
ResM/Q Gm ⊂ G fixing the closed point x ∈ Shord over (E(O), i(O)) ∈ V and
its quotient T as in (7.2.5) [with the injection T (Z(p) ) → T (Zp ) = Z×
p sending
α ∈ Tx (Z(p) ) to α1−c ∈ Z×p ]. We have an exact sequence:

1 → O× ×
p /O → Z → ClM → 1,

where ClM is the class group of M . Since Z× is a subgroup of O× of finite

index and p is unramified in M/Q, π − (O× ) is a finite group of order prime
to p. By this fact, we see that
 
Γ − ∩ π − O× ×
→ O× ∼ ×
p /O p [−1] = Zp ,

where O× ×
p [−1] = {a ∈ Op |c(a) = a
−1
}. In particular, identifying Op with Zp ,
for a principal ideal (α) prime to p, [(α)]− = (αc−1 )p ∈ T (Zp ) = O× ×
p = Zp .
c−1 1−c
Here as an element of T (Zp ), having (α )p [instead of (α )p ] is correct
because in Z = MA× /M × (O  (p) )× M × , the diagonal class of β = α1−c is trivial,
∞
and so the principal ideal (β) corresponds to the ideal class of β (p∞) with
βp β (p∞) = β = 1 in Z [i.e., βp−1 = β (p∞) ]. Therefore, we have, with T (Z(p) ) ⊂
T (Zp ) = Z× p by (7.2.5),
 + 
[A]− ∈ T (Z(p) ) ⇐⇒ [A] ∈ {[(α)]|α ∈ O× (p) } · Γ × Δ
+
⊂ Z, (9.2.3)

where Δ+ = H 0 (Gal(M/Q), Δ) and O(p) ⊂ M is the localization (not the

completion) of O at p.
The translation φ(z) → φ(zζ) by ζ ∈ Z gives an action of Z on the space
of continuous functions C(Z, W ) on Z with values in W . For each charac-
ter ψ of Z, regard its restriction ψ|Δ to Δ as a character of Z pulling ψ|Δ
by the projection Z  Δ. We write C(Z, O)[ψ|Δ ] for the ψ|Δ -eigenspace.
Then the restriction of continuous functions on Z to ΓM gives rise to an iso-
morphism Res : C(Z, W )[ψ|Δ ] ∼ = C(ΓM , W ) sending Φ : Z → W to Φ|ΓM .
Indeed, any function Φ ∈ C(Z, W )[ψ|Δ ] is of the form Φ(γ, δ) = φ(γ)ψ(δ) with
φ ∈ C(ΓM , W ) for γ ∈ ΓM and δ ∈ Δ. We write Inf ψ for Res−1 .
For a given measure ϕ on Z, the ψ-projection ϕψ ∈ W [[ΓM ]] and its “−”
part ϕ− −
ψ ∈ W [[Γ ]] are defined by
 
φdϕψ = Inf ψ (φ · ψ|ΓM )dϕ and ϕ− −
ψ = π∗ ϕψ .
ΓM Z
 
By definition, we have ΓM φdϕψ = ΓM φ(dϕψ if ( factors through ΓM .

9.2.2 Good Representatives

We would like to choose a representative set D for Δ so that the projection

πΔ : Z → Δ induces an isomorphism D ∼ = Δ if p  |ClM |. In general, D ∼
= Z/Γ 
380 9 p-Adic Hecke L-Functions and Their μ-Invariants

for the intersection Γ  of ΓM and the image of O×p . We would like to choose D
so that our computation of q-expansion (of Eisenstein series) becomes easier.
Let I(p) be the group of fractional ideals of M prime to p, and define
  
I(p)+ = A ∈ I(p)A1−c = α1−c O for α ∈ M × .

Since A is prime to p, α1−c is prime to p. Thus, if a prime factor p of p

divides the principal ideal (α), its conjugate pc divides (α) with the equal
multiplicity. Thus, α = βγ for γ ∈ F × with β prime to p. In other words,
(β 1−c ) = (α1−c ) = A1−c , and hence we can write
  
I(p)+ = A ∈ I(p)A1−c = α1−c A O for αA ∈ M
×
prime to p . (9.2.4)

The quotient of I(p)+ by principal ideals prime to p is a subgroup of the

+
class group ClM of M , which we write as ClM . We see easily that
+
ClM ⊂ H 0 (Gal(M/F ), ClM ).

+ +
Exercise 9.12 Prove that ClM = H 0 (Gal(M/F ), ClM ) and that ClM is
amb
equal to the ambiguous class group ClM .
Thus, if, furthermore, the class number of M is odd, ClM +
= {1}. We take
− + + +
a complete representative set D (resp., D ) for ClM /ClM [resp., ClM in
I(Cp) ].
+

When the class number of M is odd, we choose D− among primes of M

split over Q. If the class number is even, we choose D+ ∪ D− among primes
of M split over Q.
We write Γ  for the intersection of ΓM with the image of O×p in the group
Z = ClM (p∞ ). Then we put D for a complete representative set in the localiza-
tion (not the completion) O× ×  ×
(p) for π(Op )/Γ with the projection π : Op → Z.
Then we have
    
φdϕ = φAαB (z)dEAαB .
Z A∈D+ α∈D B∈D− Γ

We make use of degeneracy operator. As seen in Sect. 8.2.2, for each split
prime q = QQ or a square-free product Q of ramified primes with Q2 = q,
we have a unique level-Γ0 (q) structure on E(A) given by C = E(A)[Q]. Thus,
for the degeneration operator [q],

[q](E(A), i(A), ω(A))/W ∼

= (E(AQ−1 ), i(AQ−1 ), ω(AQ−1 ))/W . (9.2.5)

We can always choose Q ∈ D+ so that Qc + Q = O and O/Q ∼ = Z/q for

q = Q ∩ Q. This shows, for the characteristic function 1Γ  of Γ  ,

φQ−1 B dEQ−1 B = (E(1Γ  φQ−1 B )|[q]) (A(B), λ(B), i(B)) (9.2.6)
Γ
 9.2 Computation of the μ-Invariant 381

for Q and q as above. As for the effect of α ∈ D, we may assume α ∈ O − Z

with Q = (α) is a prime split over Q. Then we have, for the characteristic
function 1Γ  of Γ  , if α ∈ Z,

φα−1 B dEα−1 B = (E(1Γ  φα−1 B )|[ααc ]) (A(B), λ(B), i(B)). (9.2.7)
Γ

For any α ∈ M × prime to p and a function φ on Im(ι)[A]−1 with values in

Cp , we write φ|α(z) = φ([(α)]z) = φ(αz). From the definition of φA , we have
immediately that

φA |α(z) = φA (zα) = φ(z[(α)][A]−1 ) = φ(z[α−1 A]−1 ) = φα−1 A (z). (9.2.8)

9.2.3 Operators on p-Adic Modular Forms

We interpret the ideal action as pullback of the action of an element in

G(A(∞) ) on the Shimura variety. Pick an element g ∈ G(A(∞) ) with pos-
itive det(g) ∈ Q. Then g induces an automorphism of each geometrically
irreducible component of the Shimura variety (see Theorem 7.18), and hence
the functorial action of g on test objects. We write

g(E, η) = (E, ηg = η ◦ g)

for the image of a test object (A, η) under the action of g. Here, writing
T (E) = limN E[N ] for the Tate module, recall the level structure on E given
←−
by η : (A(∞) )2 ∼ = T (E) ⊗Q A(∞) , where (A(∞) )2 is made up of column vectors
(∞)
on which G(A ) acts from the left.
On the lattice side, η → η ◦ g corresponds to the action L  = η −1 (T (E)) →
 = (η ◦ g)−1 (T (E)). Suppose g = z ∈ Z(Zp ). The p-part of the level
g −1 L
structure ηp is given by i : Qp /Zp ∼ = P V (L)/Lp and its dual i : P V (L) → Zp
in (pv1–2). This (i, i ) is sent to (i ◦ z, z −1 i ) as i is the dual of i, or, equiva-
lently, (i−1 , i ) is sent to (z −1 i−1 , z −1 i ). The latter expression indicates that
this is the action of the central element z. Then we sum up the terms in-
volving (P Φ)(z −1 i−1 (w), z −1 i (w)) over P V (L) ∩ Q · L to define the Eisen-
stein series. We have (P Φ)(z −1 i−1 (w), z −1 i (w)) = P (Φ|z)(i−1 (w), i (w)) for
Φ|z(x, y) = Φ(zx, z −1 y). Thus, we get the next result.
Lemma 9.13 If z ∈ Z(Zp ), then E(Φ◦ )(E, η ◦ z) = E(Φ◦ |z −1 )(E, η). In
particular,
 Φ(za, z −1 b) ab
E(Φ◦ )|z(q) = q .
|a|
(a,b)∈Z×Z,ab>0

Similarly, for a prime ideal l of Z prime to p with positive generator l, we get

the following:
382 9 p-Adic Hecke L-Functions and Their μ-Invariants
l 
1 0
Lemma 9.14 Let ll = (1, . . . , 1, l, 1, . . . , 1) ∈ A(∞) , and put g = 0 l−1 .
l
◦ ◦
Then E(Φ )(Eg , ηg ) = E(Φ )|[l](E, η). In particular,
 Φ(a, b) ab
E(Φ◦ )|[l](q) = q .
|a|
(a,b)∈l×Z,ab>0

Proof. The action of the degeneracy operator [l] is equal to the action of g
is shown in Sect. 7.1.9. It corresponds to the action of h := J1 g −1 J1−1 on the
lattice side. Thus, we see that P Φ|hL = P (Φ ) for Φ (x, y) = Φ(ll−1 x, y). From
 ⇔ x ∈ lZ
this, the result follows, as ll−1 x ∈ Z  and the multiplication by ll
does not affect Φ as l is prime to the level.

9.2.4 Linear Independence of Eisenstein Series

We look at E(N −k φ) for a positive k [for N (x; y) = x as in Sect. 9.1.2]. Take

an arithmetic Hecke character (of conductor p) λ = λk with λ((α)) = α−k
if α ≡ 1 mod p. Recall T = (Z× × ×
p ) × (Zp )/Z . Then the variable on T is
written as (x; y) with x, y ∈ Zp . Write πx : T → Z× p /Z
×
as the projection
× × ×
given by πx (x; y) = x mod Z . Let (0 : Zp /Z → μp (Cp ) be a character
r

and ( : Z  ΓM → μp∞ (Cp ) be a character extending (0 ◦ πx . Enlarge W

if necessary so that ( has values in W × . Define a character ψk, : Z → W ×
by ψk, (ζγ) = λ
k (γ)((γ)ψ0 (ζ). Then ψk, is the p-adic avatar of an arithmetic
Hecke character ψk, of conductor p. We compute the t-expansion of this
Eisenstein series at x = (E(A), i(A)) and relate the t-expansion to the Iwasawa
power series of ϕ− ψ for ψ = ψk, restricted to [A]ΓM .
If confusion is not likely, we just write ψ for ψk, . Recall that D ∼ = Z/Γ 
 ×
for the intersection Γ (in Z) of ΓM with the image of Op . Let 1Γ  be the
characteristic function of Γ  ⊂ Z. We put φ = Inf ψ0 ψ1  Γ  for a character
×
ψ0 : Δ → W . We apply Theorem 3.38 to E(φ) to compute the μ-invariant.
Recall that we have written E(φ◦ ) for E0 (φ◦ ) = E(φ) for a suitable choice
of c in the context. Let 1◦Γ  (x; y) = 1Γ  (x−1 ; y) = 1(x; y), where 1 is the
characteristic function of {(x; y)|π(x; y) ∈ Γ  } for π : O×p → Z.

Recall D, which is a complete representative set in the localization (not

the completion) O× ×  ×
(p) for π(Op )/Γ , with the projection π : Op → Z. We

further split D = α∈D− αD+ , where D+ is the subset of D represented by
elements of Q× :
  
D+ = α ∈ DαΓ  = βΓ  with β ∈ Q× ∩ O× p .

We choose α ∈ D− so that (α) = Q is a prime ideal split in M over Q. Since

the class D− injects into O× ×
p /Zp , we may assume that αα ≡ ±1 mod p
c N
−1
for sufficiently
 large N (i.e., α ≡ ±α
c
mod p ). Define S (resp., R) by a
N

subset {βp β ∈ D+ } (resp., {αp α ∈ D− }) in the completion O×

p . Note that
 −1  −1
ψ(s) = ψ((β)) because s = βp . Similarly, ψ(r) = ψ((α)) (r = αp ∈ Op ).
 9.2 Computation of the μ-Invariant 383

By Lemma 9.13, we get


ψ(β)−1 E(N −k (−1 1◦Γ  |β) = E(Φ◦+ ) for Φ◦+ defined below,
β∈D +

where “|β” is the action of the scalar element β ∈ Z(Q), and


Φ◦+ (x; y) = 
ψ(sx)1 ◦ −1 −1
(s x ; sy), (9.2.9)
s∈S

since s = βp ∈ S ⊂ O× −
p (for β ∈ D ). We further sum up over D :
+


ψ(α)E(Φ◦+ )|[ααc ]|ρ(α)−1 = E(Φ◦ ), (9.2.10)
α∈D −
∼ Z/((α) ∩ Q)
where we have chosen (α) to be an integral ideal, with O/(α) =
and (α) ∩ Q = (ααc ), and Φ◦ is given from (9.2.8) by
(9.2.8)  
Φ◦ (x; y) =  −1 Φ◦ (rx; r−c y)) (∗)
ψ(r) =  −1 Φ◦ (r(x; y)), (9.2.11)
ψ(r)
+ +
r∈R r∈R

where (∗) follows from the fact r = αp ≡ α−c

≡ r mod pN for whatever large
p
N we have chosen. In short, we have
⎛ ⎞
 
ψ(α) ⎝ ψ(β)−1 E(N −k (−1 1◦Γ  |β)⎠ |[ααc ]|ρ(α)−1 = E(Φ◦ ).
α∈D − β∈D +
(9.2.12)
We have computed E(Φ◦ ) as a linear combination of transforms of the weight-
k Eisenstein series E(N −k (−1 1◦Γ  ). By the definition of ϕψ , Φ as above is the
 Γ  to Z0 = O× /O× ⊂ Z.
restriction of Inf ψ ψ1 p
We have chosen B ∈ D− among prime ideals of M split over Q; so the
operator [BBc ] regarding BBc as a prime ideal of Q also makes sense.
Theorem 9.15 Suppose p > 2 and C = 1. Let t be the canonical variable
of the Serre–Tate deformation space S = G  m of (E(O), i(O))/W so that the
parameter T = t − 1 gives the parameter around the origin 1 ∈ S.  Write Φ
 Γ  to Z0 ⊂ Z for ψ = ψk, for 0 < k ∈ Z and
for the restriction of Inf ψ ψ1
( : Z → μp∞ (Qp ) as above. For each B ∈ D− , let
EB (t) = E(Φ◦ )(t) ∈ OS.
Then the t-expansion of
 −
E= ψ(B)EB |[BBc ](t[B] )
B∈D− ,[B]− ∈Γ 

at (E(O), i(O)) gives (up to an automorphism of W [[Z]]) the t-expansion of

the anticyclotomic measure ϕ− 
ψ (restricted to Γ ). Moreover, the μ-invariants
×
μ(ϕ−ψ ) and μ(ϕψ ) vanish for any choice of ψ : Z → Qp not necessarily of the
form ψk, .
384 9 p-Adic Hecke L-Functions and Their μ-Invariants

The vanishing μ(ϕ− ψ ) = 0 implies μ(ϕψ ) = 0 by Lemma 9.8. To conclude

μ(ϕ−ψ ) = 0, we only need to compute μ(ϕ− −
ψ |Γ  ) (the μ-invariant of ϕψ re-
− −
stricted to Γ  ), as μ(ϕψ |Γ  ) = 0 clearly implies μ(ϕψ ) = 0.
Proof. We first show that the t-expansion of E gives (up to an automorphism of
W [[Z]]) the t-expansion of the Katz measure. We said “up to an automorphism
of W [[Z]]” for the following reason: In the definition of the level structure
i(A), x ∈ Qp /Zp is sent to 2δx ∈ Mp /A. This has the following harmless effect:
The t-expansion of E(Φ◦+ ((x; y) diag[2δ, (2δ)−1 ])) actually coincides with the t-
expansion of the measure. The variable change (x; y) → (x; y) diag[2δ, (2δ)−1 ]
corresponds
√ to the automorphism z → 2δz of the topological space Z (since
2δ = −D is prime to p), which gives rise to an automorphism of W [[Z]]. So
we forget about the effect of this unit 2δ.
We are going to compute the κ-derivatives dκ E of the Eisenstein series
(κ)
at E(A) for applying the t-expansion principle. Let ψ (κ) = ψk, be a unique
(κ)
Hecke character of Z such that ψk, (ξ) = ξ (1−c)κ ψk, (ξ) for all ξ ≡ 1 mod p,
ψk, |Δ = ψ, and if a = (ξ) is a fractional Q-ideal, ψk, (a) = ξ (1−c)κ ψk, (a) =
(κ) (κ)

ψk, (a), as ξ = ξ . We write z for the projection of z ∈ W (F)× to the

c

p-profinite part of W (F)× . Then we have

B C◦ D E◦
(x; y)κ(c−1) φ = (x−1 y)κ φ = (xy)κ φ◦ .

Recall the following definition:

φA (x) = φ(x[A]−1 ).

Also recall (9.2.7)


φα−1 B dEα−1 B = (E(1Γ  φα−1 B )|[ααc ]) (E(B), i(B)) if α ∈ Z.
Γ

Because of these formulas, we may replace each term

ψ(α)ψ(β −1 )E(N −k (−1 1◦Γ  |β)|[ααc ]|ρ(α)−1

of (9.2.12) with

ψ(α)ψ(β −1 )dκ (E(N −k (−1 1◦Γ  |β)|[ααc ]|ρ(α)−1 )(E(A))

(∗)
= ψ(α)ψ(β −1 )(αβ −1 )κ(c−1) E((xy)κ N −k (−1 (1◦Γ  |[αβ −1 ]))(E((α−1 β)A))
= ψ(αβ −1 )(αβ −1 )κ(c−1) E(((x−1 y)κ xk ((1Γ  ◦ (αβ −1 )))◦ )(E((α−1 β)A))
(∗∗)
= ψ (κ) (αβ −1 )E(((x−1 y)κ xk (1Γ  )◦ |[αβ −1 ])(E((α−1 β)A))
= ψ (κ) (αβ −1 )E(((x−1 y)κ xk (1Γ  )◦ )(E(A)), (9.2.13)
where φ|[α](x; y) = φ(α−1 x; αy) and φ ◦ α(t) = φ(αt) for t ∈ T .
The above equality indicated by (∗) follows from (9.2.1) and the formulas
 9.2 Computation of the μ-Invariant 385

dκ (q xy ) = (xy)κ q xy in (1.3.10) and dκ (ta ) = aκ ta in Proposition 7.48. Indeed,

each term of the q-expansion of E(Φ◦ ) is of the form Φ(a,b) ab
|a| q ; so, applying
κ
dκ , the term becomes (ab) |a|
Φ(a,b) ab
q , which is the term of the Eisenstein series
of (xy) Φ(x; y). Note also that (x−1 y)◦ = (xy). The equality indicated by
κ

(∗∗) follows from the fact that 1Γ  ◦ (αβ −1 ) is the characteristic function of
(α−1 β)Γ  .  ◦
Let F = Inf ψ ψ|  Γ  · (x−1 y)κ 1Γ  |Z = (xy)κ Φ◦ . By the compu-
0

tation given in the proof of Theorem 9.4 and by Theorem 1.34, the partial
L-value for the character ψ (κ) and for the ideal class of A is given by

E(F )(E(A)) = dκ (E(Φ◦ ))(E(A))

and
dκ E(E(A)) = E(F )(E(A)) (9.2.14)
for all κ ≥ 0.
−
Now we apply the operator [BBc ] and make a variable change: t → t[B]
in (9.2.14). We may assume that [B]− ∈ Γ  , since B without this property
does not contribute to the restriction ϕ−
ψ |Γ  . By the computation given in the
proof of Theorem 9.4 [or [HT1] (4.9)], the partial L-value for the character ψκ
and for the ideal class of B−1 is given by, for E(F ),
−
ψ (κ) (B)E(F )(E(B−1 )) = ψ (κ) (B)dκ (E(Φ◦ )|[BBc ](t[B] ))(E(O))

and 
dκ E(E(O)) = ψ (κ) (B)E(F )(E(B−1 )) (9.2.15)
B∈D− ,[B]− ∈Γ 

for all κ ≥ 0. Hence, we have

E(φ)|[BBc ](E(O)) = E(φ)(E(B−1 )).

We obtain, by the effect of the differential operator dκ ,

− 
dκ (EB |[BBc ](t[B] ))(E(O)) = ψ (κ) (aB)E(F )(E((aB)−1 )). (9.2.16)
a∈D+

Combined with the argument proving Theorem 9.4 [or [HT1] (4.9)], this shows
that the function in the theorem, after applying dκ and evaluating at E(O),
gives rise to the value (9.1.10) for the character λ  = ψ(κ) for all κ; so, by
Mahler’s theorem (Theorem 1.36), the measure corresponding the t-expansion
of E is equal to the anticyclotomic Katz measure ϕ− ψ . Since t-expansion is the
Taylor expansion with respect to d, the first assertion follows.
The Igusa tower IgΓ1 (N )/F (p  N ) is given by IsomY1 (N )ord /F (μp∞ , E[p∞ ]◦ )
for the universal elliptic curve E over the ordinary locus Y1 (N )ord . Though
Theorem 3.38 and the theorems in Sect. 3.6.1 are stated for global sections
386 9 p-Adic Hecke L-Functions and Their μ-Invariants

OY (p) , they are valid for global sections of OIg , because Ig/Y (p) is étale (i.e.,
the completion of corresponding stalks is the same by Lemma 4.7); so the
statement is intact. Thus, by Theorem 3.38, in view of the independence of
[B]− modulo T (Z(p) ) = O× ×
(p) /Z(p) , the sum in (9.2.16) does not vanish modulo
the maximal ideal mW of W if EB |[BBc ](t) for one of B ∈ D− does not vanish
modulo mW . Take the identity class; we may assume that EO (t) = Ek (Φ◦ )
with Φ◦ (x; y) = x−k χ(x)χ (y) for finite order characters χ and χ of p-power
conductor (indeed, our choice was χ = (−1 and χ = 1). The fact that Φ◦ is
a product of characters as above follows from (9.2.9) and (9.2.11). Thus, Φ is
also a product of characters (x; y) → xk χ−1 (x)χ (y). Then by the computation
already done for such Eisenstein series in Lemma 9.2, for primes l prime to p,
a(l, Ek (Φ◦ )) = χ (l) + χ−1 (l)lk−1 . We leave the reader the verification of the
existence of a prime l such that a(l, Ek (Φ◦ )) ≡ 0 mod mW . Thus, μ(ϕ− ψ ) = 0,
as desired, for ψ = ψk, .
A general character ψ can be decomposed as ψ0 (ψx ◦ πx )ψ − for characters
× ×
ψx : Z× p /μp−1 (Zp ) → Qp and ψ
−
: Γ − → Qp as ΓM = πx (ΓM ) × Γ − .
Since μ− −  −
ψ = ψ ∗ μψ  for ψ = ψ0 ψx , by Lemma 9.8, μ(μψ ) = 0 follows
−
from μ(ψψ ) = 0. It is an easy exercise to find an infinite sequence {(kj , (j )}j
for integers 0 < kj ∈ Z and characters (j : Z× p /Z
×
→ μp∞ (Qp ) such that

ψ = limj→∞ ψkj ,j under the supremum norm  ·  on C(Z, Qp ). Then we
conclude that μ(ϕ− − −
ψ ) = μ(ϕψ  ) = limj μ(ϕψk , ) = 0.
j j

Exercise 9.16 Prove the claim about the sequence {(kj , (j )}j .
10
Toric Subschemes in a Split Formal Torus

In this chapter, we prove a rigidity result of C.-L. Chai, which

generalizes earlier lemmas (for example, Lemma 3.12). After proving the re-
sult, we gather facts from commutative/noncommutative/Lie algebra theory
used in the proof.

10.1 Rigidity of Formal Tori

As we have seen, if a power series Φ(T ) = Φ(t) (T = t − 1) with Φ(1) = 1

satisfies Φ(tz ) = Φ(t)z for all z in an open subgroup of Z×p , then Φ(t) =
ts for s ∈ Zp (Lemmas 3.12, 3.30, and 3.45). We can state this fact more
geometrically as follows: By definition, we have Gm = Spec(Z[t, t−1 ]). Note
that G m = Spf(W[t, t−1 ]) = Spf(W [[T ]]) for

W
[t, t−1 ] = lim W [t, t−1 ]/(tn − 1) = lim W [T ]/((1 + T )n − 1) = W [[T ]].
←− ←−
n n

Let Z ⊂ G m × G  m be a proper closed, irreducible, formal subscheme. Write

the right factor G  m = Spf(W  [t , t −1 ]). Furthermore, if the projection of

Z to the first factor Gm is an isomorphism, Z is defined by an equation
t = Φ(t) for Φ(t) ∈ W [[T ]]. If Z is stable under the action of (t, t ) → (tz , t z )
for all z in an open subgroup of Z× z
p , we have Φ(t ) = t
z
= Φ(t)z . Then
s
Lemma 3.30 tells us that Φ(t) = t ; hence, Z is a formal subtorus defined by
 m }. The cocharacter group of Gn is isomorphic to Zn , which
{(t, ts )|t ∈ G m
we have written as X∗ (Gnm ) [see Example 4.58 (4)]. Then, by tautology,
Gnm = Gm ⊗Z X∗ (Gnm ). Similarly, in the formal setting (cf. Sect. 4.4.3), putting
X∗ (G n ) = X(Gn ) ⊗Z Zp = Zn , we have G n = G m ⊗Z X∗ (G  n ). A slightly
m m p m p m
more general version of Chai’s rigidity lemma can be stated as follows (see
[Ch3] and [H10a] Lemma 3.7):

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 387

in Mathematics, DOI 10.1007/978-1-4614-6657-4 10,
© Springer Science+Business Media New York 2013
388 10 Toric Subschemes in a Split Formal Torus

Theorem 10.1 (C.-L. Chai) Let F be an algebraic closure of Fp . If Z ⊂

n
G m/F is a reduced equidimensional closed formal subscheme of dimension r
stable under the diagonal action of all z in an open subgroup of Z×
p , then
+
Z=  m ⊗Z L ⊂ G
G n ,
p m/F
L

 n ) of rank r.
where L runs over (finitely many) Zp -direct summands of X∗ (G m

Since Z has finitely many irreducible components, which are permuted by the
action of the stabilizer of Z under the diagonal action of Z×p , each component
is fixed by an open subgroup of the stabilizer. Therefore, we may assume that
Z is integral (i.e., reduced irreducible). In this chapter, we give a full proof
of the result as Theorem 10.6, assuming irreducibility. This theorem follows
from Corollary 10.7.
One might want to expect a similar result over W in place of F. However,
there is an easy counterexample. Take a diagonal torus Δ ⊂ G m × G m over
 
W ; so Δ = Gm ⊗Zp D for the diagonal D ⊂ X∗ (Gm/W ). Suppose that μp (W )
2

is a cyclic subgroup of order p. Then, for any 1 = ζ ∈ μ2p (W ) ⊂ G  2 , ζΔ

m
×
is stable under the diagonal action of U = 1 + pZp ⊂ Zp . However, ζΔ is
 
clearly not of the form L G m ⊗Zp L. To save the situation, we need to have
an additional assumption (for example, see Lemma 4.85, where the condition
for Z to contain the identity of G 2 is imposed).
m

10.1.1 Power Series Ring over a Field

Here is a weak version of desingularization in [Ch1] (6.1).
Proposition 10.2 Let k be an algebraically closed field and R a complete,
local, noetherian domain over k of dimension d with residue field k. Then there
exists an injective local homomorphism ι : R → k[[y1 , . . . , yd ]] of complete local
k-algebras.
Since R is a local complete noetherian domain of dimension d, R is isomor-
phic to k[[x1 , . . . , xr ]]/P for a closed prime ideal P of the power series ring
k[[x1 , . . . , xr ]] for r ≥ d.
Proof. We blow up S := Spec(R) at the unique closed point s = Spec(R/ms ) ∈
S, getting a morphism of k-formal schemes f : X → S. The blowup X is given
by P rojS (R) (“Proj”
)∞ relative to S; see the end of Sect. 4.1.9) of the graded
R-algebra R = d=0 mds with m0s = R. We have a natural projection X → S,
which is clearly an isomorphism over S \ {s} (because R[ f1 ] for 0 = f ∈ ms
contains a unit of positive degree) and its fiber over s is a projective scheme
of positive dimension (which is essentially a divisor). See [ALG] II.7.14 for the
universality of blowing up. Let m 8 s be the sheaf over S associated with the R-
8 be the normalization of X. There-
8 s ) = ms . Let X
module ms ; hence, H 0 (S, m
8
fore, X is regular in codimension 1 (see [ALG] II.6). Write π : X8 → X → S for
 10.1 Rigidity of Formal Tori 389

the projection. Then π ∗ m 8 s and f ∗ m

8 s are invertible sheaves (cf. [ALG] II.7.14),
8
and hence π (s) = X ×S s is a divisor. Let D be the reduced part π −1 (s)red
−1

of the exceptional divisor π −1 (s). Then D is a scheme of finite type over k,

and D is an excellent scheme (see Remark 4.35), and its set of regular closed
points is Zariski dense in D [see (e3) in Sect. 4.1.11]; therefore, the regular lo-
cus is a Zariski-dense open subscheme Dreg of D such that OD,x is regular for
all x ∈ Dreg (k). Since S is (excellent) normal noetherian irreducible, X 8 and S
8
are birational (cf. [ALG] 7.16); so X is normal noetherian irreducible. Cover
X8 by affine open subschemes U ◦ so that on U = U ◦ ∩D, D is defined by a sin-
gle equation xU ◦ = 0 for xU ◦ ∈ Γ (U ◦ , OU ◦ ). We claim Dreg ⊂ X 8reg . Indeed,
◦
by the definition of Dreg , for each closed point x ∈ Dreg (k) ∩ U , we can find
a regular sequence x2 , · · · , xd ∈ OD,x vanishing at x for d = dim S such that
the completed stalk O D,x ∼ = k[[x2 , . . . , xd ]]. Lift xj to xj ∈ OU ◦ ,x so that (xj
mod (xU )) = xj , and let x1 = xU ◦ . Then we have O  ∼
X,x = k[[x1 , . . . , xd ]],
◦

and hence U ⊂ X 8reg . Since the open subschemes U cover Dreg , we have
Dreg ⊂ X 8reg . Pick x ∈ Dreg (k) ⊂ X 8reg ; then R → O  ∼ = k[[x1 , . . . , xd ]] (as
X,x
above), which is a desired embedding.
We need the following lemma in [Ch1] (6.2):
Lemma 10.3 Let k be a field of characteristic p > 0 and q = pr be a p-power
(r > 0). Let P (x1 , . . . , xm ) ∈ k[x1 , . . . , xm ] be a polynomial with coefficients in
n n
k. If there exists n0 ≥ 0 such that P (cq1 , . . . , cqm ) = 0 for all integers n ≥ n0
n n
for a vector c = (c1 , . . . , cm ) ∈ k m , we have P (cq1 , . . . , cqm ) = 0 for all n ∈ Z;
in particular, P (c1 , . . . , cm ) = 0.
We give a version of Chai’s proof in [Ch1].
Proof. Replacing k by its algebraic closure if necessary, we may assume that k
−1
is perfect. Thus,
 σ : x → xq is an automorphism of k. Write x = (x1 , . . . , xm )
m α
and xα = j=1 xj j for multiindices α = (α1 , . . . , αm ) ∈ Nm . We define the
total degree deg(f ) = max{α1 + α2 + · · · + αm |aα = 0}, and consider the
filtration V0 ⊂ V1 ⊂ · · · ⊂ Va of k[x] given by Va = {f | deg(f ) ≤ a} (a ∈ N).
The dimension of Va over k is finite. 
For each polynomial f (x) = α aα xα ∈ k[x], we write

σ n (f ) = σ n (aα )xα ∈ k[x].
α

The association f → σ n (f ) is a ring automorphism of k[x] and gives rise to

an σ-linear automorphism of Va for each a.
Write I for the ideal of the ring k[x] generated by polynomials σ n (P (x))
for all n ≥ n0 . Let c = (c1 , . . . , cm ) ∈ k m . If σ(I) = I, for any n ∈ Z,
P (cq ) = σ n0 −n (P (cq )) ∈ I, and hence P (cq ) = 0. Thus, we need to
n n0 n

prove σ(I) = I. Since Va is stable under σ, (I ∩ Va ) ∼ = (σ(I) ∩ Va ), and so

dimk (I ∩ Va ) = dimk (σ(I) ∩ Va ) < ∞. Since σ(I) is generated by polynomials
390 10 Toric Subschemes in a Split Formal Torus

σ n (P ) for n ≥ n0 +1, we have σ(I) ⊂ I. This shows that (σ(I)∩Va ) ⊂ (I ∩Va ),

∞ dimension over k, we conclude that (σ(I) ∩ Va ) = (I ∩ Va ).
and by comparing
Since k[x] = a=0 Va , we find
∞  ∞ 
+ + + +
σ(I) = σ(I) ∩ Va = (σ(I) ∩ Va ) = (I ∩ Va ) = I ∩ Va = I,
a=0 a a a=0

as desired.
We keep the notation introduced in Lemma 10.3. In particular, q = pr for
r > 0 and n0 is a nonnegative integer. Here is a sort of Chai’s implicit func-
tion theorem for power series in characteristic p-coefficients [as it gives a uni-
formization of the zero set of a power series f (u, v); see also [BCM] III.4.5]:

Proposition 10.4 Let k be a field of characteristic p > 0. Let f (u, v) ∈

k[[u, v]] for multivariables u = (u1 , . . . , ua ) and v = (v1 , . . . , vb ). Prepare
new sets of variables x = (x1 , . . . , xm ) and y = (y1 , . . . , ym ) and an a-
tuple of power series g(x) = (g1 (x), . . . , ga (x)) without constant term [i.e.,
gj (x) ∈ (x) ⊂ k[[x]]] and a b-tuple of power series h(y) = (h1 (y), . . . , hb (y))
without constant term, where a (resp., b) is the number of variables in
u (resp., v). Pick a rapidly increasing sequence (dn )n≥n0 of integers such
n
that limn→∞ dq n = 0 in real numbers R. If, for a b-tuple of power series
n
Φn (v) = (φ1,n (v), . . . , φb,n (v)) ∈ k[[v]]b with φj,n (v) ≡ vjq mod (v)dn in-
dexed by integers n ≥ n0 , we have

f (g(x), Φn (h(x))) = f (g1 (x), . . . , ga (x), φ1,n (h(x)), . . . , φb,n (h(x))) = 0

as an element of k[[x]], then f (g(x), h(y)) = 0 in k[[x, y]].


Proof. Here is the proof in [Ch1]. Write hi (y) = α ci,α yα for multiindices
α ∈ Nm . Note here that ci,0 = 0 for 0 = (0, . . . , 0) ∈ k m . Write c for
the infinite tuple (ci,α )1≤i≤b,α∈Nm −{0} . Then we prepare an infinite tuple
of variables t = (ti,α )1≤i≤b,α∈Nm −{0} with the  same index set and intro-
duce an infinite variable power series Hi (t; y) = α ti,α yα ∈ k[t][[y]]. Write
H(t; y) = (H1 (t; y), . . . , Hb (t; y)) ∈ k[t][[y]]b . Thus, H(c; y) = h(y). We look
into the infinite variable power series:

f (g(x), H(t; y)) ∈ k[t][[x, y]].

Since each coefficient of f (g(x), H(t; y)) in xα yβ is a polynomial in t, we may

write 
f (g(x), H(t; y)) = Aα,β (t)xα yβ
α,β∈Nm
n
with Aα,β (t) ∈ k[t]. By our assumption, φj,n (v) ≡ vjq mod (v)dn , we have
 10.1 Rigidity of Formal Tori 391
n
f (g(x), Φn (h(x))) ≡ f (g(x), h(x)q ) mod (x)dn (10.1.1)

for all n ≥ n0 . We will prove the proposition by absurdity; thus, we suppose

that 
f (g(x), h(y)) = Aα,β (c)xα yβ = 0.
α,β
qn
If, for any (α, β), Aα,β (c ) = 0 for all n ≥ n0 , by Lemma 10.3, Aα,β (c) = 0.
Since there exists, by our (absurdity) assumption that Aα,β (c) = 0 for some
n
(α, β), for some (α, β), there is no integer n0 with Aα,β (cq ) = 0 for all n ≥ n0 .
In other words, for some (α, β), there are infinitely
 many positive integers n
n
such that Aα,β (cq ) = 0. Thus, writing |α| = m j=1 |α m |, the following set
/  0
|β|there exists α such that Aα,β (cq ) = 0 for infinitely many n ∈ N
n

is nonempty. Then we define a positive integer M2 by the minimal integer in

the above set:
/  0
M2 := Inf |β|∃ α such that Aα,β (cq ) = 0 for infinitely many n ∈ N .
n

Define another integer M1 by the minimal nonnegative integer in the following

set:
/  0
|α|∃ β with |β| = M2 such that Aα,β (cq ) = 0 for infinitely many n ∈ N .
n

Again by Lemma 10.3, if either |β| < M2 or |β| = M2 and |α| < M1 , Aα,β (c) =
n
Aα,β (cq ) = 0 for all n ∈ Z.
We have
n n n
f (g(x), h(x)q ) = f (g(x), H(cq ; yq ))|y=x
 n n  n n
= Aα,β (cq )xα yq β |x=y = Aα,β (cq )xα+q β . (10.1.2)
α,β α,β

n
Because of limn→∞ dq n = 0 in real numbers R, we can find a positive integer
n1 such that q n1 > 2M1 and q n M2 < dn for all n ≥ n1 . Equations (10.1.1)
and (10.1.2) combined, we get, for all n ≥ n1 ,

mod (x)dn n
0 = f (g(x), Φn (h(x))) ≡ f (g(x), h(x)q )
mod (x)M1 +q
n M +1
2  n n
≡ Aα,β (cq )xα+q β . (10.1.3)
|α|≥M1 ,|β|≥M2

This implies, in the polynomial ring k[x],

 n n
Aα,β (cq )xα+q β = 0 for all n ≥ n1 . (10.1.4)
|α|=M1 ,|β|=M2
392 10 Toric Subschemes in a Split Formal Torus

We now show that α + q n β = α + q n β  implies (α, β) = (α , β  ) as long as

|α| = |α | = M1 and |β| = |β  | = M2 and n ≥ n1 . Indeed, α = α and β = β 
n
because q n > 2M1 . Then (10.1.4) means Aα,β (cq ) = 0 for all n ≥ n1 , which
contradicts the assumption for M1 .

10.1.2 Linearity of Subschemes of a Formal Torus

Let G and G be a connected linear algebraic group over Qp with Lie algebra
g/Qp and g/Qp , respectively (see Sect. 10.2.4). As a vector space over Qp , g/Qp is
the tangent space of G at the identity element 1G of G. Thus, any morphism
f : G → G of Qp -schemes sending 1G to 1G induces its differential df :
g → g , which is a Qp -linear map (as it is the dual of the pullback map
f ∗ : ΩG /Qp → ΩG/Qp ). In particular, if G = GLV as in Example 4.58 (6)
for a finite-dimensional Qp -vector space V [i.e., G associates the R-linear
automorphism group AutR (V ⊗Qp R) to any commutative Qp -algebra R], we
have g = EndQp (V ) with [x, y] = x ◦ y − y ◦ x. The commutator map (·, ·) :
G × G → G given by (x, y) → (x, y) := xyx−1 y −1 sends the identity of G × G
to the identity to G, inducing the bracket product [·, ·] = d(·, ·) : g × g → g,
which makes g a Lie algebra (see Sect. 10.2 for more details).
Exercise 10.5 Check that the two bracket products defined above coincide if
G = GLV .
Let ρ : G → AutQp (V ) = GLV be a morphism of group schemes over Qp ,
which is called a rational representation of G. The space V is often written as
V (ρ), and V (ρ) could also be called a rational representation of G [identifying
the G-module V (ρ) and the homomorphism ρ]. Then the differential dρ :
g → EndQp (V ) induces a homomorphism of Lie algebras (see Sect. 10.2.4 for
details about the differential of a representation). As remarked already, the
endomorphism algebra glV := EndQp (V ) is naturally a Lie algebra under the
bracket product [x, y] = x ◦ y − y ◦ x. We pick a Zp -lattice L of V and consider
the open subgroup U of G(Qp ) stabilizing L (that is, U · L = L). We write
G(Zp ) for the maximal subgroup of G(Qp ) with this property: G(Zp ) = {u ∈
G(Qp )|u · L = L}.
Let k be a field of characteristic p > 0 and consider the formal group
 m/k = lim μpn /k . Put T = L ⊗Z G
G  m . Thus, for any pro-Artinian k-algebra
←−n p

A, we have T (A) = L ⊗Zp G  m (A). Through the action on L, U acts on T by

u(# ⊗ a) = (ρ(u)#) ⊗ a for a ∈ G  m (A) and # ∈ L. Here is Chai’s rigidity result
for U -stable formal subschemes of T :
Theorem 10.6 (Rigidity) Let Z ⊂ T be an integral closed formal sub-
scheme stable under the action of U [an open subgroup in G(Zp ) as above]. If
the representation (ρ, G) does not contain the trivial representation 1G as
a subquotient, then there exists a Zp -direct summand LZ ⊂ L stable un-
der G(Zp ) such that Z = LZ ⊗Zp G  m ⊂ L ⊗ Zp G m = T . In particular,
VZ = LZ ⊗Zp Qp is a rational subrepresentation of V .
 10.1 Rigidity of Formal Tori 393

Here the word “integral” means reduced and irreducible. We faithfully follow
the proof given in [Ch1] (6.6).

Proof. For each # ∈ L, we can associate a morphism # : G  m → T given by


a → # ⊗ a. Any morphism φ from Gm into T can be realized in this way for
# ⊗ 1 = φ(1). Thus, L can be canonically identified with the cocharacter group
X∗ (T ) = Homformal gp (G  m , T ) and End(G  m/k ) = Zp by Zp  s → (t → ts )
if we 
identify G 
 m with Spf(k[t, t−1 ]) (for the parameter t at 1 ∈ G m ), where
∞ s j ∗
t = j=0 j T (T = t − 1). Then the Zp -dual L of L is identified with
s

the character group X ∗ (T ) by φ, #∗  = #∗ ◦ φ ∈ Endk (G  m ) = Zp for φ ∈

∗ ∗ ∗
X∗ (T ) and # ∈ X (T ). Then T = Spf(k[[L ]]) [cf. Example 4.58 (4) and
Sect. 4.4.3], where k[[L∗ ]] = limn k[L∗ /pn L∗ ] for the group ring k[L∗ /pn L∗ ]
←−
of the finite group L∗ /pn L∗ . Take an algebraic closure k/k. Suppose that
Z = Z ×k k can be written as LZ ⊗ G  ∗ ⊥
m/k . Then Z = Spf(k[[L /LZ ]]), which
clearly descends to Z = Spf(k[[L/L⊥ ]]), proving Z = LZ ⊗Zp G  m/k . Here
Z
L⊥ ∗ ∗ ∗ ∗
Z = {# ∈ L |LZ , #  = 0}, which is a Zp -direct summand of L . Thus, by
replacing k with k, we may assume that k is an algebraically closed field.
Replacing G with its image under ρ, we may assume that G(Qp ) ⊂ GLV .
Since G(Zp ) is a p-adic Lie group, we have its Lie algebra g/Zp . In other words,
g/Zp = {X ∈ g/Qp |dρ(X) · L ⊂ L}. Then we have exp : pg/Zp → G(Qp ) given
∞ j
by exp(X) = j=0 Xj! and its inverse logp defined on an open subgroup of
G(Zp ). Take an integer n0 ≥ 2 so that exp(pn0 X) ∈ U for all X ∈ g/Zp . We
proceed in several steps:
Step 1: Write m : T × T → T for the multiplication morphism [thus,
m(a, b) = a · b]. Then we have m ◦ (idT ×δX )(Z × Z) ⊂ Z for every X ∈
g/Zp , where δX ∈ End(T ) is induced by dρ(X) ∈ EndZp (L) [i.e, δX (# ⊗ a) =
dρ(X)(#) ⊗ a].
Proof of step 1. Writing t for the parameter on G  m = Spf(k[t, t−1 ]) and

putting u = t − 1, we have Gm = Spf(k[[u]]), and the comultiplication m∗G :
m
k[[u]] → k[[u, v]] is given by u → u + v + uv (see Exercise 4.61). Take  a basis
t1 , . . . , td of L∗ = X ∗ (T ) over Zp and identify L∗ ∼
s
= Zdp so that j tj j ↔
(sj ) ∈ Zp . Put uj = tj − 1 and u = (u1 , . . . , ud ). By Exercise 4.61, we have
d

T = Spf(k[[u1 , . . . , ud ]]) with comultiplication m∗ : k[[u]] → k[[u, v]] given by

uj → uj + vj + uj vj , where v = (v1 , . . . , vd ) is a second copy of u, giving the
coordinate of the right factor T of the multiplication m : T × T → T . We may
write Z = Spf(k[[u]]/P ) for a closed prime ideal P . Then, by Proposition 10.2,
we can find an injective k-algebra homomorphism ι : k[[u]]/P → k[[x]] for a
set of variables x = (x1 , . . . , xm ) with m = dim Z. Take a copy y of x and
a copy of ι : k[[v]]/P → k[[y]]. Let gi (x) = ι(ui ) [resp., hi (y) = ι(vi )] and
set g(x) = (g1 (x), . . . , gd (x)) [resp., h(y) = (h1 (y), . . . , hd (y))]. The idea of
the proof is to show that for each f1 (u) ∈ P , define f (u, v) := (id ×δX )∗ ◦
m∗ (f1 (u)) and show that f (g(x), h(y)) = 0 in k[[x, y]] by Proposition 10.4
394 10 Toric Subschemes in a Split Formal Torus

[note that h(y) = g(x)|x=y ]. If this is the case, any power series f1 ∈ P kills
m ◦ (id ×δX )(Z × Z), and hence m ◦ (id ×δX )(Z × Z) ⊂ Z.
For each X ∈ g/Zp and n ≥ n0 , we have exp(pn X) ∈ U and
 pin
ρ(exp(pn X)) = idL +dρ(X) dρ(X)i−1 .
i!
i≥1

 in
Let Epn X := i≥1 pi! dρ(X)i−1 as an endomorphism of V . By a well-known
estimate (cf. [LFE] Sect. 1.3), we have
i
ordp (pin /i!) ≥ in − ≥0 (10.1.5)
p−1
 in 
 
(by n ≥ n0 ≥ 2) and limi→∞  pi!  = 0, and hence Epn X takes L into L; so
p
we regard Epn X ∈ EndZp (L). Then εpn X := Epn X ⊗ idG m is an endomorphism
 m = Spf(k[[u]]). Thus, εpn X induces a corresponding k-algebra
of T = L ⊗Zp G
endomorphism ε∗pn X : k[[u]] → k[[u]]. Since

 pin
εpn X − pn idL = ≡0 mod pdn
i!
i≥2

pn
for dn = (2(n − 1
p−1 )) ∼ 2n by (10.1.5), then, in particular, limn→∞ pdn =0
n
in R. Thus, if we write φi,n,X (u) := ε∗pn X (ui ),
we have φi,n ≡ upi
mod (u)dn .
Put Φn (u) = Φn,X (u) = (φ1,n,X (u), . . . , φd,n,X (u)) ∈ k[[u]].
Since ρ(exp(pn X)) ⊗ idG m ∈ AutZp (L ⊗ G  m ) = AutZ (T ), we have
p

ρ(exp(pn X)) ⊗ idG

m

= idL ⊗ idG m +(dρ(X) ⊗ idG m ) ◦ εpn X = m ◦ (idT ×(δX ◦ εpn X )).

Now pick any f1 (u) ∈ P ⊂ k[[u]], and recall

f (u, v) = (m ◦ (idT ×δX ))∗ (f1 (u)) = (idT ×δX )∗ ◦ m∗ (f1 (u)).

Recall ι : k[[u]]/P → k[[x]] and its copy ι : k[[v]]/P → k[[y]] made out of
Proposition 10.2 applied to R = k[[u]]/P . Via ι⊗ι  : k[[u]]/P ⊗ k k[[v]]/P →
k[[x, y]], we regard f (u, v) = f (g(x), h(y)) ∈ k[[x, y]]. Then, by the above
computation, we find

f (g(x), Φn (h(x)) = (f1 ◦ (ρ(exp(pn X)) ⊗ idG m ))(u) = 0

for all n ≥ n0 , because (ρ(exp(pn X)) ⊗ idG m )(Z) ⊂ Z. We have already

verified all the assumptions of Proposition 10.4 for h(y) = g(x)|x=y and
Φn (u); so, by Proposition 10.4, we find f (u, v) = f (g(x), h(y)) = 0 in k[[x, y]]
for independent variables x and y. This finishes the proof of step 1.
 10.1 Rigidity of Formal Tori 395

Step 2: Let {Xi,j |i = 1, . . . , r, j = 1, . . . , ni } be a finite family of elements

in g/Zp , and write δi,j for δXi,j ∈ End(T ). Take the following morphism of
r+1
  !
formal groups s : T × T × · · · × T → T given by

r
(x0 , x1 , . . . , xr ) → x0 + δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (xi ).
i=1

Then s(Z r+1 ) ⊂ Z. In particular, σ(Z × Z) ⊂ Z for


r
σ(x, y) = x + δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (y).
i=1

Proof of step 2. Since T = Spf(k[[u]]), T (k) = {1T }. Thus, Z(k) = T (k) =

{1T }. By step 1, δX (Z) = m(1T × δX (Z)) ⊂ Z for all X ∈ g/Zp , and so we
find δX (Z) ⊂ Z. Fix i. We show δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (Z) ⊂ Z by induction
on ni . When ni = 1, taking X = Xi,1 , we have δi,1 (Z) = δX (Z) ⊂ Z. When
ni > 1, applying this δi,ni (Z) = δX (Z) ⊂ Z for X = Xi,ni , we have

δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (Z) ⊂ δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni −1 (Z) ⊂ Z,

where the last inclusion comes from the induction hypothesis. Suppose r = 1.
Then we have

s(Z × Z) = (m ◦ (idL ×δ1,1 ))(Z × δi,2 ◦ · · · ◦ δi,ni (Z))

⊂ (m ◦ (idL ×δ1,1 ))(Z × Z) ⊂ Z

because δi,2 ◦ · · · ◦ δi,ni (Z) ⊂ Z. Thus, we have shown the result when r = 1.
r−1
Now we proceed by induction on r. Since z0 + i=1 δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (zi )
with z0 , z1 , . . . , zr−1 ∈ Z is in Z, by  step 1 applied to δr,1 and Z × δr,2 ◦
· · · ◦ δr,nr (Z) ⊂ Z × Z, we get z0 + ri=1 δi,1 ◦ δi,2 ◦ · · · ◦ δi,ni (zi ) for any
z0 , . . . , zr−1 , zr ∈ Z. This finishes the proof of the first statement of step 2.
Note that σ is just the restriction of s to Z × Δ(Z) for the diagonal map
Δ : Z → Z r−1 . This proves step 2.
Step 3: We have m(Z × Z) ⊂ Z; so Z is stable under multiplication.
Proof of step 3. By Proposition 10.14, we can find a family of elements

{Xi,j ∈ g/Zp |i = 1, . . . , r, j = 1, . . . , ni }

such that the linear operator


r
A := dρ(Xi,1 ) ◦ dρ(Xi,2 ) ◦ · · · ◦ dρ(Xi,ni )
i=1

is injective on L. Write δ = A ⊗ idG m for the endomorphism of T induced

by A. Then δ : T → T is an isogeny (in particular, dominant) and preserves
396 10 Toric Subschemes in a Split Formal Torus

Z by step 2; hence, idZ ×δ : Z × Z → Z × Z is dominant. Again by step 2,

m(Z × Z) ⊂ m ◦ (idZ ×δ)(Z × Z) ⊂ Z. This shows step 3.
Step 4: Z is a formal subtorus of the form LZ ⊗ G  m for a Zp -direct sum-
mand LZ of L stable under the action of G(Zp ).
Proof of step 4. Let T [pn ] ⊂ T be the kernel of multiplication by pn
as a closed group subscheme. Then Zn := T [pn ] ∩ Z = T [pn ] ×T Z is a
finite scheme stable under multiplication. For any Artinian local k-algebra R,
Zn (R) is therefore a finite semigroup. Any finite semigroup is a group. Thus,
T [pn ] ×T Z is a group scheme. Since Z = T ×T Z = limn T [pn ] ×T Z, we know
←−
that Z is an integral group subscheme of the split formal group T , which is
a formal subtorus isomorphic to LZ ⊗Zp G  m for a Zp -direct summand LZ
(see [LHV] Chap. 1). Since LZ = X∗ (Z), the action of U on Z induces the
action of U on LZ = X∗ (Z), which coincides with the original action of U
on L induced on the summand LZ (because of the faithfulness of the functor
T  → X∗ (T  ) defined on k-split formal tori T  (see [LHV] Chap. 1). Thus, LZ
is stable under U .
Note that U ⊂ G(Qp ) is Zariski dense and that ρ : G/Qp → GL/V is a
morphism of algebraic groups. Then G(Qp ) leaves VZ = Qp · LZ ⊂ V stable
by the Zariski density of U . Since LZ = VZ ∩ L, LZ is stable under G(Zp ).
This finishes the proof of the theorem.
Corollary 10.7 Let Z ⊂ T be a reduced closed formal subscheme stable under
the action of U [an open subgroup in G(Zp ) as above]. If the representation
(ρ, G) does not contain the trivial representation 1G as a subquotient, then
there exists a finite index set I and Zp -direct summands {Li ⊂ L}i∈I indexed
  m ⊂ L ⊗Z Gm = T .
by I stable under G(Zp ) such that Z = i∈I Li ⊗Zp G p

Proof. Let I be the set of irreducible components of Z. Then U acts on the

finite set I by permutation. For each irreducible component Zi of Z, the
stabilizer Ui ⊂ U is still an open subgroup of G(Zp ). Applying the above
theorem to Zi , we get the result. In particular, Li is stable under G(Zp ).

10.2 Representation of Lie Algebras

Here is a summary of the results we used on the representation of Lie algebras.
If we replace representations of a Lie algebra g by representations of a group
G on a finite-dimensional vector space, the exposition is close to the one given
in [MFG] Sect. 2.1. In other words, the results presented here are also valid
for group representations once we replace the statement for Lie algebras with
the corresponding statements for groups. As for books on Lie algebras, see
[REP] for representations on a C-vector space, [LAG] III for Lie algebras over
general fields, and [BLI] for more general cases.
 10.2 Representation of Lie Algebras 397

10.2.1 Algebras

Let R be an algebra (which can be noncommutative). The algebra R is called

simple if there are no two-sided ideals of R except for {0} and R. An R-module
M is called irreducible or simple if M = 0 and any R-submodule N  M is
trivial. Thus, M is irreducible ⇔ M ∼ = R/m for a maximal left ideal m of R.
Let M be an R-module of finite type. Then for any given proper R-
submodule M0 of M , we consider the set S of all proper R-submodules of
M containing M0 . Here the word “proper”
 means that M0 = M . If X is an
ordered subset of S, then MX = N ∈X N is an R-submodule of M . Here
the word “ordered” means that if N, N  ∈ X, we can find N  ∈ X such that
(N ∪ N  ) ⊂ N  . If MX = M , we find an element N of X such that M = N
because M is finitely generated over R. This contradicts our assumption that
S is made of proper submodules. Thus, we have MX = M and MX ∈ S.
Namely, any ordered sequence in S has an upper bound in S. Then, by Zorn’s
lemma, S has a maximal element. This shows the existence of a maximal
proper R-submodule containing a given M0 .
Let J(M ) (radical of M ) be the intersection of all proper maximal R-
submodules of M . Then if M is of finite type over R, J(M ) = M implies
that M = 0. Let J = J(R) be the intersection of all maximal left ideals of
R, which is called the radical of R. Then R = J. If M is irreducible, then
the annihilator Ann(M ) = {r ∈ R|rM = 0} of M is a maximal left ideal
of R,5because R/ Ann(M ) ∼ = M via r → rm for any 0 = m ∈ M . Thus,
J ⊂ M:irreducible Ann(M ). Pick r in the intersection. Then r(R/m) = 0 for
any maximal left ideal m, since M = R/m for a maximal left ideal m is
irreducible. Thus, r ∈ rR ⊂ m, and hence we have
,
J= Ann(M ). (10.2.1)
M:irreducible

Since rM = 0 implies rxM = 0 for all x ∈ R, Jx ⊂ ∩M:irreducible Ann(M ) = J.

Thus, J is a two-sided ideal. We claim
For every r ∈ J, 1 − r ∈ R× . (10.2.2)
Proof. Since xr ∈ J for x ∈ R and r ∈ J, we prove 1 − xr ∈ R× in place of
1 − r ∈ R× . Suppose, on the contrary, that 1 − xr does not even have a left
inverse. Then R(1 − xr) = R, and hence, there exists a maximal left ideal m ⊃
R(1 − xr). Thus, 1 − xr ∈ m and xr ∈ J ⊂ m, which show 1 = 1 − xr + xr ∈ m,
a contradiction. Thus, 1 − xr has a left inverse. In particular, we find s ∈ R
such that s(1 − r) = 1. Then s = 1 + sr = 1 − (−s)r. Applying the above
argument for x = −s, we find t ∈ R such that ts = t(1 − (−s)r) = 1. Then
t = t(s(1 − r)) = (ts)(1 − r) = 1 − r. This shows that (1 − r)s = ts = 1 and
1 − r ∈ R× . 

Suppose that a ⊂ R is a two-sided ideal with the property that r ∈ a ⇒

1 − r ∈ R× . If a ⊂ J, then there exists a maximal left ideal m such that
398 10 Toric Subschemes in a Split Formal Torus

a ⊂ m. Then a + m = R and a + m = 1 for a ∈ a and m ∈ m. Then

m ⊃ Rm = R(1 − a) = R because 1 − a ∈ R× . This is a contradiction. Thus,
a ⊂ J. We thus have

If a ∈ a ⇒ 1 − a ∈ R× for a left (resp., right, two-sided) ideal a, then a ⊂ J.

(10.2.3)
By (10.2.3), we conclude
, ,
J= m= m. (10.2.4)
m:maximal right ideals m:maximal two-sided ideals

Lemma 10.8 (Krull–Azumaya, Nakayama)

1. Let M be an R-module of finite type. If M = JM , then M = 0.
2. Let A be a commutative local ring and M be an A-module. If either the
A-module M is of finite type or mNA M = 0 for a sufficiently large integer
N , then M = mA M implies M = 0.
This follows from the two facts (i) J(M ) = M ⇒ M = 0 and (ii) JM ⊂ J(M )
under the assumption of the lemma (cf. [CRT] Theorem 2.2).
Corollary 10.9 Let A be a local ring. Let M and N be A-modules and f :
M → N be an A-linear map. Suppose either that mA is nilpotent or that N
is an A-module of finite type. Then if f induces a surjection f : M/mA M →
N/mA N , then f itself is surjective.

Proof. Consider X = N/f (M ). By assumption, X/mAX = Coker(f ) = 0.

Thus, X = mA X, and hence by Lemma 10.8, X = 0.

10.2.2 Modules over Lie Algebras

Let E be a field of characteristic 0. A Lie algebra g over E is a vector space over

E with an E-linear Lie bracket map [·, ·] : g × g → g satisfying [x, y] = −[y, x]
and [x, [y, z]] + [z, [x, y]] + [y, [z, x]] = 0 for all x, y, z ∈ g.
Let g be a finite-dimensional Lie algebra over E with an E-linear Lie
bracket [·, ·] : g × g → g. For an E-vector space V of finite dimension n, a
representation ρ : g → EndE (V ) is an E-linear map with ρ([x, y]) = ρ(x)ρ(y)−
ρ(y)ρ(x) for all x, y ∈ g. A representation ρ : g → EndE (V ) is called reducible
if V = V (ρ) has a proper nontrivial subspace stable under g. A representation
is called irreducible if it is not reducible. An irreducible representation with
coefficients in E can be reducible as a representation into EndL (V ⊗E L) for
a field extension L/E. A representation ρ : g → EndE (V ) is called absolutely
irreducible if ρE on V (ρ) ⊗E E is irreducible for an algebraic closure E/E.
Let R = R(ρ) be the E-subalgebra of the E-linear endomorphism algebra
of V = V (ρ) generated over E by ρ(σ) for all σ ∈ g. Then R ⊂ EndE (V ) ∼ =
 10.2 Representation of Lie Algebras 399

Mn (E), and hence R is a finite-dimensional algebra over E; so it is Artinian

and noetherian. Let J = J(R). Then the sequence {J n }n stabilizes for a
sufficiently large n = N .5From Nakayama’s lemma (Lemma 10.8), we conclude
that J N = {0}. Thus, m:max. two-sided mN ⊂ J N = 0. For a maximal two-
sided ideal m and an ideal a ⊂ m, we see that m+a = R, and hence, mj +aj = R
for all j > 0. 
Applying the Chinese remainder theorem ([CRT] Theorem 1.4),
we have R = m R/mN for sufficiently large N , where m runs over all maximal
two-sided ideals of R. We write Rm for R/mN . If V is irreducible, then J = m
for a single maximal two-sided ideal. Then V = mV , again by Lemma 10.8.
Therefore, mV = 0. Since R acts faithfully on V , we conclude that m = 0.
Thus, R is a simple algebra over E. We have shown that

V is irreducible ⇒ R is simple.

Thus, the study of irreducible g-modules is reduced to the study of R-modules

for a simple E-algebra R.

10.2.3 Semisimple Algebras

To study modules over simple algebras, we start slightly more generally. Here
we only assume R to be an Artinian algebra. An R-module V is called com-
pletely reducible if it is a direct sum of irreducible modules. The algebra R is
called semisimple if its radical J = J(R) vanishes. Since maximal left ideals
of R/J(R) correspond bijectively to maximal left ideals of R by the homo-
morphism theorem, we see that J(R/J(R)) = 0. This shows that the quotient
R/J(R) is semisimple. Now, the following three statements are equivalent:

(SS1) R is semisimple.
(SS2) The left R-module R is completely reducible.
(SS3) Every R-module V of finite length is completely reducible.

Proof. We first prove the implication: (SS1)⇒ (SS2): Let Ω be the set of all
maximal left ideals of R. Then m + n = R for 5 two distinct elements m, n ∈ Ω.
Then,)by the Chinese remainder theorem, m∈Ω m = J(R) = 0 implies that
R∼ = m∈Ω R/m. Since R is Artinian, Ω is a finite set. By the homomorphism
theorem, R-submodules of R/m correspond bijectively to left ideals between
m and R. This shows that R/m is irreducible, since m is a maximal left ideal.
)
(SS2)⇒(SS3): Since R ∼ = )m∈Ω R/m, we have minimal left ideals Im indexed
by m ∈ Ω such that R = m∈Ω Im with Im ∼ = R/m as left R-modules. Then
1 = ⊕m∈Ω em for em ∈ Im . Multiplying the left-hand and right-hand sides by
a ∈ Im , we get Im  a = a1 = ⊕m∈Ω aem , and therefore, aen = δm,n a, where
δm,n = 1 or 0 depending on whether or not m = n. Thus, Im = Rem . Replacing
a by em , we get e2m = em and em en = 0 if m = n. Consider an R-linear map
ϕ : Im → Im v given by ϕ(i) = iv for v ∈ V . Since Ker(ϕ) is an R-submodule
of Im , the irreducibility of Im tells us that either Ker(ϕ) = 0 or Ker(ϕ) = Im .
400 10 Toric Subschemes in a Split Formal Torus

∼ 
Thus, Im v = 0, then
either Im v = Im or Im v = 0. In particular, if  m∈Ω em v =
v ∈ m∈Ω Im v. From this, we conclude that V = v∈V −{0} m∈Ω Im v. Then
) )
we can find mj and vj such that Imj vj = 0 and V = j Imj vj ∼ = j Imj as
R-modules, since V is of finite length.
(SS3)⇒(SS1): By (SS3), R is the direct sum of irreducible R-submodules Im .
By Lemma 10.8, I) m = J(R)Im . Since Im is irreducible, J(R)Im = 0. Then
J(R) = J(R)R = m J(R)Im = 0.  
  ∼
We now decompose Ω = Ω1 · · · Ω )λ so that m, n ∈ Ωj ⇐⇒ Im = In
as left R-modules. Then we write Rj = m∈Ωj Im . If m ∈ Ωj , Im a for a ∈ R
is isomorphic to eitherIm or 0, and therefore, it has to)be inside Rj . Thus,
Rj R ⊂ Rj ; hence, Rj is a two-sided ideal, and R = j Rj is an algebraic
direct sum. Returning to the original setting and applying the above argument
to R/J(R), we have
(S) An artinian algebra R has only one maximal two-sided ideal if and only
if there is a unique isomorphism class of irreducible R-modules
since the set of maximal two-sided ideals of R naturally corresponds to that
of R/J(R) bijectively. We now claim that the following three assertions are
equivalent (Wedderburn’s theorem):

(S1) R is a simple algebra;

(S2) R is a direct sum of mutually isomorphic minimal left ideals;
(S3) R ∼
= Mn (D) for a division algebra D,
where a division algebra D is an algebra such that D − {0} = D× .
Proof. (S1) ⇒ (S2): This follows from (S) because minimal left ideals are all
irreducible.
(S2) ⇒ (S3): Let V be the minimal left ideal of R. Then R ∼ = V n as a left
R-module. Then EndR (R) ∼ = nM (End R (V )). Pick φ : V → V ∈ EndR (V ).
Then Ker(φ) = 0 or V and Im(φ) = V or 0 because of the irreducibility of V .
This shows that φ is either bijective or the zero map; hence, D = EndR (V )
is a division algebra. On the other hand, it is easy to see that φ → φ(1)
induces EndR (R) ∼ = R, because φa (x) = xa gives an element in EndR (R)
with φa (1) = a.
(S3) ⇒ (S1): Let a be a two-sided ideal of R. If a has nonzero element
a, multiplying a by elementary matrices from left and right, we may assume
that a = dEij for 0 = d ∈ D with the elementary matrix Eij having nontrivial
(i, j)-entry. Thus, Eij = d−1 a ∈ a. Then, again multiplying Eij by elementary
matrices, we find Eij ∈ a for all (i, j). Thus, a = R.  
Let R be a simple Artinian algebra. Let E be the center of R. Then by
(S3), E is a field, which is the center of D. Suppose that E is algebraically
closed. Then for any x ∈ D, E[x] ⊂ D is a finite field extension of E. Thus,
E = E[x] and x ∈ E. This shows that E = D and
 10.2 Representation of Lie Algebras 401

(S4) If R is a finite-dimensional simple algebra over an algebraically closed

field E, then R ∼= Mn (E).
Let ρ : g → Mn (E) be an absolutely irreducible representation for a field
E. Let R be the E-subalgebra of Mn (E) generated by ρ(g) for all g ∈ g.
By absolute irreducibility, R ⊗E E remains simple for an algebraic closure
E of E. Since there is no simple algebra except for matrix algebras over an
algebraically closed field, R ⊗E E ∼
= Mn (E) for some n ≤ n if ρ is absolutely
irreducible. Pick x = 0 in V . We consider a map f : R ⊗E E → V ⊗E E
induced by r → rx. Then Ker(f ) is a maximal left ideal of Mn (E), and
n
hence V ⊗E E ∼ = E . This shows that n = n , and R ∼ = Mn (E). We record
here what we have proven:
Proposition 10.10 Suppose that ρ : g → Mn (E) for a field E is absolutely
irreducible. Let R be a E-subalgebra of Mn (E) generated by ρ(g) for all g ∈ g.
Then
1. (Burnside) R ∼ = Mn (E) for n = dimE V .
2. (Schur) If a linear map f : V → V commutes with ρ, then f is induced by
a scalar multiplication.
The second assertion follows from the first, as a linear endomorphism of E n
commuting with all matrices in Mn (E) is a scalar.
This result shows that V (ρ) ⊗E X [or ρ : g → Mn (X)] remains irreducible
for an arbitrary field extension X/E if ρ is absolutely irreducible.

10.2.4 Differential of Group Representations

Let G/E = Spec(OG ) be a connected affine algebraic group. Consider E-

derivations ∂, δ : OG → OG . By computation, we verify that Δ := [∂, δ] =
∂ ◦ δ − δ ◦ ∂ satisfies the derivation relation Δ(ab) = aΔ(b) + bΔ(a). Thus
DerE (OG ) = DerE (OG , OG ) is a Lie algebra. The multiplication x → gx
induces by pull-back a ring automorphism g ∗ : OG → OG . If ∂ ◦ g ∗ = g ∗ ◦ ∂,
we call ∂ a left invariant derivation. Since [∂, δ] is left invariant if ∂ and δ
are left invariant, we define the Lie algebra g of G to be the Lie algebra
of left invariant derivations. By evaluation at the identity 1 ∈ G, we may
(and do) identify g with the tangent space at 1 of g. There is another way
of defining g as the kernel of the homomorphism G(E[(]) → G(E)) induced
by the projection E[(]  E, where E[(] = E[x]/(x2 ) (for the polynomial ring
E[x]) with ( = x mod (x2 ). Indeed, writing 1 : OG → E for the co-identity,
for any P ∈ HomALG/E (OG , E[(]) = G(E[(]) projecting down to 1 ∈ G(E),
P (a) for a ∈ OG has the form 1(a) + ∂(a)(. We verify ∂(ab) = 1(a)∂(b) +
1(b)∂(a) from P (ab) = P (a)P (b), and hence ∂ is in the tangent space at 1.
Similarly, if P projects down to x ∈ G(E), writing P (a) = x(a) + ∂x (a)(, ∂x
is a tangent vector at x. From this, it is clear that the tangent space at 1
extends isomorphically to the Lie algebra of left invariant derivations.
402 10 Toric Subschemes in a Split Formal Torus

Exercise 10.11 Write down explicitly the Lie bracket [x, y] for two given
tangent vectors x, y at 1 ∈ G without extending x, y to vector fields over G.
Let G be another connected linear algebraic group defined over E with a
morphism ρ : G → G of group schemes over E. Write g for the Lie algebra of
G . Then its differential dρ = ρ∗ : g → g is a homomorphism of Lie algebras.
Exercise 10.12 Check that dρ is a homomorphism of Lie algebras.
An E-rational representation ρ : G/E → GL(n)/E is a homomorphism of E-
group schemes. Write gln (E) for the Lie algebra of GL(n)/E . Then gln (E)
can be identified with the Lie algebra of n × n matrices Mn (E) with entries
in E whose Lie bracket is given by [x, y] = xy − yx for the matrix product
xy with x, y ∈ Mn (E). Then dρ : g → gln (E) is an E-linear representation of
Lie algebras. Since ρ is complex analytic after extending scalars to C/E (after
embedding E into C), ρ is absolutely irreducible if and only if dρ is absolutely
irreducible. Over C, the exponential map expG : g/C = g ⊗E C → G(C)
∞ n
given by the usual formula expG (X) = n=0 Xn! converges absolutely, giving
an analytic surjection of g/C onto G(C) whose inverse is given by logG (g) =
∞ n+1 (g−1)
n

n=1 (−1) n . Then we see easily that expGL(n) (dρ(X)) = ρ(expG (X))
and logGL(n) (ρ(g)) = dρ(logG (g)) for all X ∈ g/C and g ∈ G(C) (see [GME]
Sect. 4.3.3 for a p-adic version of this). From this, the above equivalence on
absolute irreducibility of ρ and dρ is clear.
Lemma 10.13 Let K be an infinite field and {V1 , . . . , Vb } be a finite set of
finite-dimensional
) K-vector spaces. Let A1 , · · · , Ar be K-linear endomorphism
of V = bj=1 Vj preserving Vj (j = 1, . . . , b). If, for each j = 1, . . . , b, there
exists i = 1, . . . , r with det(Ai |Vj ) = 0,
rthen there exists (λ1 , . . . , λr ) ∈ K
r

such that the K-linear endomorphism i=1 λi Ai of V is invertible on V .

r
Proof. Consider the polynomial f (t1 , . . . , tr ) := det( i=1 ti Ai ) ∈ k[t] =
K[t1 , . . . , tr ]. Since Ai preserves Vj for all j, we have


b r
f (t) = det( ti Ai |Vj ).
j=1 i=1

If f (t) = 0 in K[t], Spec(K[t, f −1 ]) is a rational variety defined over K

birationally equivalent to a projective space Pr−1 , which has Zariski densely
populated K-rational points Pr−1 (K) (here we use the infinity of |K|). There-
fore, Spec(K[t, f −1 ]) has Zariski densely populated K-rational
r points. Thus,
we only need to show that f (t) = 0. For each j, fj (t) = det( i=1 ti Ai |Vj ) = 0,
because we have i0 such that det(Ai0 |Vj ) = 0. Thus, we get fj = 0 and its
product f = 0 as desired.

Proposition 10.14 Let G be a connected linear algebraic group defined over

a field E of characteristic 0. Let V be a finite-dimensional vector space over
 10.2 Representation of Lie Algebras 403

E, and let ρ : G → GLV be an E-rational representation with differential

dρ : g → EndE (V ). Then the following two statements are equivalent:
1. The trivial representation 1G is not a subquotient of ρ.
2. There exist elements {wi,j ∈ g}i=1,...,r,j=1,...,ni such that


r
dρ(wi,1 ) ◦ dρ(wi,2 ) ◦ · · · ◦ dρ(wi,ni )
i=1

is invertible as an endomorphism of V .

Proof. Let F : V = V0 ⊃ V1 ⊃ V2 ⊃ · · · Vl−1 ⊃ Vl = 0 be the Jordan–

Hölder filtration under the action of G. For a linear operator T preserving
the Jordan–Hölder filtration F , we write gr(T ) for the linear operator on
)
gr(V ) = lj=0 Vj /Vj+1 . Then gr(T ) is invertible if and only if det(T ) = 0.
Thus, we may replace V by its semisimplification under the action of G. Then
it is clear that if 1G is a subquotient of ρ, assertion (2) fails because d1G = 0.
This shows (2)⇒(1).
Suppose (1). Since we only need to compute the determinant of the linear
operator in (2), we may replace V by its semisimplification. Thus, V is a direct
)b
sum of irreducible G-modules Vj : V = j=1 Vj . By (S3), the E-subalgebra
Rj of EndE (Vj ) generated by dρ(X) for X ∈ g is isomorphic to Mnj (D) for
a division algebra D/E (except for the case where ρ = 1G , which is excluded
by our assumption). In particular, we can find Aj ∈ Rj of the form


r
dρ(w1 ) ◦ dρ(w2 ) ◦ · · · ◦ dρ(wni )
i=1

with w ∈ g such that det(Aj |Vj )  = 0. Then, applying Lemma 10.13 to

(A1 , . . . , A
b ), we can find λ so that j λj Aj is invertible on V . This linear
operator j λj Aj has the form specified in (2).
11
Hecke Stable Subvariety Is a Shimura
Subvariety

In this last chapter, we prove that any Hecke invariant subvariety of a prod-
uct of copies of mod-p Shimura curve is a Shimura subvariety, as stated in
Theorems 3.43 and 3.44. From this result, we pull out a linear independence
result (Corollary 11.13) more general than Theorem 3.38.

11.1 Stability under Hecke Correspondence

Recall the action of g ∈ G(A(∞) ) on the Shimura curve given by the pullback
of the level structure η → η ◦ g in Chap. 7. The action of τ (g) on a closed sub-
variety of Sh is called a Hecke action here because it induces Hecke operators.
We study a subvariety stable under many τ (g), in particular, for g belonging
to a subgroup that is the image of a torus over an imaginary quadratic field.

11.1.1 Locally Linear Subvariety

We recall the definition of locally linear subvarieties for a product of copies of

Shimura curves given in [Ch1] Sect. 5 for the Siegel Hilbert modular variety.
(p) 1
Let Shord
/F = Sh [ H ] for the ordinary locus (for the Hasse invariant H). Fix a
closed point x ∈ Shord
/F (F = Fp ) carrying a test object (Ex , η
(p)
) (thus, Ex has
complex multiplication by an order Ox of an imaginary quadratic field M with
Ox ⊗Z Zp ∼= Zp × Zp as Zp -algebras; see Corollaries 6.39 and 6.40). Let V be
(p)
the irreducible component of Sh/F containing x, and put V ord = V ∩ Shord .
Let m ≥ 1 be a positive integer. Suppose that Z is an irreducible closed
subvariety of (V ord )n = V ord × V ord × · · · × V ord defined over F.
(L1) Let z = (z1 , . . . , zm ) (zj ∈ V ord ) be any closed point of Z. We say that
Z is locally linear at z if the formal completion of Z at z is a formal
  ord ∼  n
subtorus of the Serre–Tate formal torus nj=1 V zj = G m .
(L2) We say that Z is locally linear if it is locally linear at every closed point
of Z.

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 405

in Mathematics, DOI 10.1007/978-1-4614-6657-4 11,
© Springer Science+Business Media New York 2013
406 11 Hecke Stable Subvariety Is a Shimura Subvariety

(L3) Denote by f : Y → Z the normalization of Z. We say that Z is weakly

locally linear if, for every closed point y of Y , the morphism induced by
f on the formal completion Yy of Y along y is an isomorphism of Yy to
a formal subtorus of the Serre–Tate formal torus G  n [at f (y) ∈ V n ].
m

In [Ch1], local linearity is called Tate linearity, and the definition of locally
linear subvarieties is given for a closed subvariety of the ordinary locus of
the Siegel modular variety. Since (V ord )n has a canonical closed immersion
into a Siegel modular variety, this definition is equivalent to Chai’s definition.
Chai conjectured that a weakly locally linear subvariety is actually locally
linear (see [Ch1] 5.3.1), which has been shown to hold for weakly locally
linear subvarieties of the ordinary locus of Hilbert modular varieties (see [Ch1]
Theorem 8.6 and [H10a] Sect. 3.5).
If Z is a variety with a morphism π : Z → (V ord )m and if, for a closed point
z ∈ Z, π induces an embedding of Zz into the formal completion of (V ord )m
at π(z), we can still speak of locally linearity (and weak locally linearity) at
z of Z (we make this abuse often later).

11.1.2 An Example of Hecke Stable Subvariety

We start preparing for a proof of key results on the linear independence of

arithmetic modular functions/forms (Theorem 11.12 and Corollary 11.13 be-
low, which imply Theorem 3.38). We study the skew diagonal image of a
Shimura curve into its product twisted by a transcendental automorphism of
the deformation space S over W at x. We keep the notation introduced in
Chap. 7. Thus, we have S = G  m , where G
 m denotes the completion of Gm
over W along the identity 1 in the special fiber at p. The definition of the
local linearity of the previous subsection applies to this case.
Reversing the setting, let M be an imaginary quadratic field with integer
ring O and x ∈ Ig(F) be a CM point corresponding to an ordinary elliptic
curve with complex multiplication by O of type (M, idx ). We may assume
that the point x has expression x = [z, g] = [z, 1] · g for g ∈ G(Zp × A(p∞) ).
Indeed, we can choose the CM elliptic curve Ex so that its lattice L = g −1 Lz
(which is a fractional M -ideal prime to p) is given by Z + Zz (here, placing
Zz at the end, we already incorporated the conjugation by J1 ). By our choice,
Lz ⊗Z Zp = Op = Op ⊕ Opc ; so we may choose g with ηx = ηz ◦ g so that
gp ∈ G(Zp ) is the matrix of change of basis from (−1, z) ∈ Q2p to the basis
(1p , 1pc ) ∈ Q2p for the idempotents 1p ∈ Op and 1pc ∈ Opc . The level-p∞
structure ηpord (of Ex ) sends a ∈ Zp to a · 1pc , identifying Ex [p∞ ]et with
Mp /Opc by Lz ⊗Z Zp = Op ⊕ Opc .
For this choice x = [z, g], we recall the representation rx : Tx → G
defined over A(∞) given at the beginning of Sect. 7.1.8 and the quotient
torus T (Z(p) ) = Tx (Z(p) )/T (Z(p) ) defined just above (7.2.5). As studied
in Lemma 7.43, the image rx (T (Z(p) )) gives the stabilizer of x = [z, g] in
G(Zp × A(p∞) )/Z(Z(p) ). We simply write ρ for rx hereafter.
 11.1 Stability under Hecke Correspondence 407

We call an open compact subgroup K in G(A(∞) ) maximal at p if K =

Kp × K (p) with Kp = GL2 (Zp ) and K (p) ⊂ G(A(p∞) ). Let VK for K maximal
at p be the geometrically irreducible component containing x in the reduction
(Sh(p) /K)/F modulo p of the Kottwitz model. Let V = limK VK for K running
←−
through open compact subgroups of G(A(∞) ) maximal at p. Strictly speaking,
the point x gives rise to a projective system of points xK ∈ VK (F) (the image
of x in VK ), but we write this point as x ∈ VK (F).
The formal completion S of V along x is isomorphic to G m , whose auto-
×
morphism group is isomorphic to Zp . Through the injective homomorphism
(7.2.5): α → α1−c , we regard T (Z(p) ) as a subgroup of Z×
p , identifying Op
with Zp by the inclusion Z → O.
Let OV,x = limK OVK ,x be the stalk of V at x, and let S = Spec(OV,x ).
−→
S of S.
The local ring OV,x is a dense subring of the affine ring O 

Take a1 , . . . , am ∈ Z×  
p . By the action of aj on S (and hence on OS ) given by
t → t , we have an algebra homomorphism
aj

  ! 
m
S sending f1 ⊗ · · · ⊗ fm to
φ : OV,x ⊗F · · · ⊗F OV,x → O S .
aj (fj ) ∈ O
j=1
(11.1.1)
If aj ’s (j = 1, . . . , m) are pairwise distinct modulo T (Z(p) ), we would like to
prove that φ is injective. Thus, for a nonconstant modular function f ∈ OV,x ,
{a1 (f ), . . . , am (f )} are linearly independent over F. Thus, we study Ker(φ)
for a1 , . . . , am ∈ Z× p.
Since ρ(T (Z(p) )) fixes x (Lemma 7.43), T (Z(p) ) acts on OS by ring au-
tomorphisms, and by Proposition 7.44, this action is compatible (and com-
mutes) with the action of Z× ×
p via the embedding T (Z(p) ) → Zp . Thus, we
have φ(α(f1 ) ⊗ · · · ⊗ α(fm )) = α (φ(f1 ⊗ · · · ⊗ fm )) for all α ∈ T (Z(p) ). In
1−c

other words, the closed subscheme Spec(Im(φ)) ⊂ S m = S × · · · × S is stable

under the diagonal action of T (Z(p) ) on S m . Thus, we study in the following
couple of propositions the (local) structure of a closed subscheme of S m stable
under the diagonal action of T (Z(p) ). After determining the structure of such
formal subschemes, we will globalize the result to reach our desired conclusion
of the injectivity of φ if the aj ’s are independent [i.e., pairwise distinct modulo
T (Z(p) )].
Since Ker(φ) is a prime ideal of OV,x ⊗ · · ·⊗ OV,x stable under the diagonal
action of T (Z(p) ), it is induced by an irreducible closed (pro-)subscheme X ⊂
V m passing through xm = (x, x, . . . , x). In other words, X is the Zariski
closure in V m of Spec(OV,x ⊗ · · · ⊗ OV,x /b) for the prime ideal b = Ker(φ).
More precisely, for any open affine subscheme U = Spec(R) ⊂ V m containing
xm (so R → OV m ,x ), we have U ∩ X = Spec(R/R ∩ b). By definition, X is
stable under the diagonal action of T (Z(p) ). A subvariety of V m stable under
the diagonal action of T (Z(p) ) is called a Hecke stable subvariety.
408 11 Hecke Stable Subvariety Is a Shimura Subvariety

11.1.3 Stability under Toric Action, Local Study

We take a more general setting than the example given above, specified as
follows (we use the following notation throughout).
(N0) Let S = Spec(OV,x )/F and SK = Spec(OVK ,x )/F with their formal com-
pletion S and SK along x isomorphic to G  m.
⊗m
(N1) For a prime ideal b ⊂ OV,x := (OV,x ⊗ · · · ⊗ OV,x ) (the m-fold tensor
product) stable under a p-adically open subgroup T of T (Z(p) ), we write
⊗m
X/F = Spec(OV,x /b) ⊂ S m and let Y  X be the normalization.
(N2) X ⊂ Sm is a formal completion of X along its closed point xm =
(x, . . . , x).
(N3) X/F is the Zariski closure of X in V m (so X is stable under T and X  is
the formal completion of X along xm ). Let Y  X be the normalization.
Write X = limK XK ⊂ V m with irreducible closed subschemes XK ⊂
←−
VKm (the image of X in VKm ) and YK  XK for the normalization of
XK (so Y = limK YK ), where K runs over open compact subgroups of
←−
G(A(∞) ) with K = K (p) × G(Zp ).
Suppose m = 1. Since dimF V = dimF Ig = 1, the irreducible reduced
T-invariant closed subscheme X is either a single point {x} or V itself, and
hence, we conclude b = 0; in particular, Ker(φ) = 0, taking b to be Ker(φ).
We restate Proposition 4.88 for elliptic curves:
Lemma 11.1 Let E → Z be an ordinary elliptic curve over a reduced excel-
lent affine base scheme Z over Fp . For a closed point s ∈ Z(Fp ) and a formal
completion Z  splits into a product
 along s, if the p-divisible group E[p∞ ] ×Z Z
of its connected component E[p∞ ]◦/Z and étale quotient E[p∞ ]et  , then on an
/Z
open subscheme U ⊂ Z containing s, the p-divisible group E[p∞ ]/U canoni-
cally splits into the product E[p∞ ]◦ ⊕ E[p∞ ]et /U for the connected component
E[p∞ ]◦/U and the étale quotient E[p∞ ]et /U .
Here the words “reduced excellent Z” means that Z = Spec(R) with excellent
reduced ring R (see Sect. 4.1.11 about excellent rings).
Exercise 11.2 Give a counterexample against the assertion of the above
lemma if Z = Spec(Z(p) ).
Our goal is to prove the injectivity of φ for general m > 1 in (11.1.1) under
the assumption that the aj ’s are pairwise distinct modulo T (Z(p) ) (as the
result is trivial if m = 1). The injectivity is equivalent to Spec(Im(φ)) = S m ;
hence, we study the local property of Spec(Im(φ)) to show that dim(Im(φ)) <
dim S m implies the equality of two of the aj modulo T (Z(p) ). The following
result dealing with the local structure of Spec(Im(φ)) when m > 1 is a key to
prove the linear independence.
 11.1 Stability under Hecke Correspondence 409

Proposition 11.3 Let the notation be as in (N0–3). In particular, for a pos-

itive integer m ≥ 2, let X be a closed integral subscheme of S m containing
xm = (x, x, . . . , x) for the closed point x ∈ S, and let ΠY : Y → X be
the normalization of X . Write S m = S  × S  for the first (m − 1)-factor
S  = S m−1 ⊂ S m and the last factor S  = S. Suppose that the projection
to S  induces a dominant morphism πX : X → S/F 
. Suppose further that X
is stable under the diagonal action of a subgroup T of T (Z(p) ) ⊂ Aut(OV,x ),
whose p-adic closure is open in T (Zp ). Then
(1) Y has finitely many points y over xm and is locally linear at every point
y over xm ; so Yy = G
 m ⊗Zp L for an Zp -direct summand L of X∗ (Sm ).
Moreover, the isomorphism class of L as a Zp -module is independent of y.
(2) Y is smooth over F and is flat over S  .
(3) Either X = S m or X is finite over S  via πX . If X is finite over S  , Y is
finite flat over S  .
(4) If πX ◦ ΠY induces a surjection of the tangent space at one y ∈ Y over
xm onto that of S  at xm−1 and X is a proper subscheme of S m , then
πX ◦ ΠY : Y → S  is étale.
Later in Corollaries 11.8 and 11.11, we prove that X is smooth; hence, Y = X .
Proof. Let S be the formal completion of S along x. By Serre–Tate theory,
we have S ∼=G  m . Since X is dominant over S  , we have dim X > 0. Let K
be an open compact subgroup of G(A(∞) ) maximal at p, and recall SK =
Spec(OVK ,x ). We assume that K is small so that S/SK is étale. Consider
the image of XK of X in SK m
. Then XK = Spec(RK ) for an integral domain
RK and X = Spec(R) for R = limK RK . Since RK is a localization of an
−→
integral domain of finite type over F, RK is excellent (see Sect. 4.1.11). Thus,
its formal completion XK ∼ = X along xm is reduced (by Corollary 4.37).
Since X is stable under the diagonal action of the subgroup T of T (Z(p) ) ⊂
Aut(OV,x ) and X is integral, by Corollary 10.7, X is a union of finitely many
formal Zp -submodules of Sm of the form G  m ⊗ L for Zp -direct summands L
∼ 
of the cocharacter group X∗ (S ) = Zp : X = L∈I G
m m  m ⊗ L for a finite index
set I of Zp -direct summands L of X∗ (S ). In particular, X is stable under
m

the action of T (Z(p) ) (not just T) diagonally embedded into AutGSCH (S)  m.
From this, we claim that X and X are stable under T (Z(p) ). Indeed, for the
mxm -adic completion  b of b, by [CRT] Theorem 8.1 (ii), X = Spf(O ⊗m 
V,x /b) and
   m ⊗ L. Then b = 
b is stable under T (Z(p) ) as X = L G ⊗m
b ∩ OV,x by faithful
flatness of O over O
⊗m ⊗m
(cf. [BCM] I.2.6); so b is stable under T (Z ), and
V,x V,x (p)
⊗m
hence, X = Spec(OV,x /b) is stable under T (Z(p) ). Then the Zariski closure
X of X is stable under T (Z(p) ).
The normalization Y → X is given by limK YK for the normalization YK
←−
of XK . Naturally, the semigroup EndSCH (X ) of endomorphisms of the scheme
X acts on Y; in particular, T (Z(p) ) acts on Y. The formal completion Yy along
410 11 Hecke Stable Subvariety Is a Shimura Subvariety

y for each point y ∈ Y over xm is isomorphic to the formal completion YK,y

of YK along the image of y in YK . The scheme YK is excellent, because YK
is finite over XK [see Remark 4.35 and [EGA] IV.7.8.3 (ii), (vii)]. Since YK,y
is the normalization of XK and YK,y is integral (by Corollary 4.37), points yL
of Y over xm are indexed by the irreducible components of X and hence by
L ∈ I so that YK,yL = G  m ⊗ L. Since Y → S  is dominant, for at least one
L0 ∈ I, the projection L0 ⊗Z Q → X∗ (S ) ⊗Z Q is surjective [i.e., the image
of L0 is of finite index in X∗ (S )].
Recall that we denote by X the Zariski closure of X in V m and the nor-
malization Π : Y → X of X. Again, EndSCH (X) acts on Y ; in particular,
T (Z(p) ) acts on Y . We have Y = limK YK for the normalization YK of XK . We
←−
look at the tangent sheaf ΘZ for Z = V m , Y, X, S m , and Sm . Here ΘZ is the
Zariski sheaf dual HomZZar (ΩZ/F , OZ ) as in Sect. 4.1.6. We have the tangent
sheaf ΘX ⊂ ΘV m , but ΘX may not be locally free around xm since X may
have singularity at xm . Let yL ∈ Y be a point above xm with YyL = G  m ⊗ L.

Since YyL = Gm ⊗ L, ΘYy = L ⊗Z OYy , and by the irreducibility of Y ,
rankZp L⊗Z Zp = rankOY ΘY = rankZp L0 ⊗Z Zp . Thus, L ∼
L L
= L0 as Zp -modules
for all L ∈ I, and Y is equidimensional. This proves assertion (1).
If L0 ⊗Z Q = X∗ (Sm ) ⊗Z Q, we get X = S m , and we are done. Hereafter
we assume rankZp L0 < rankZp X∗ (Sm ) (⇔ L0 ⊗Z Q = X∗ (Sm ) ⊗Z Q); so
rankZp L < rankZp X∗ (Sm ) for all L ∈ I. Recall the decomposition S m =
S  × S  with the last factor S  = S. Similarly, we decompose V m = V  × V 
for the product V  of the first (m − 1) copies of V and the last copy V  = V .
If π : G  m ⊗ L → S is not dominant for L ∈ I, the image π(G  m ⊗ L) is
a closed formal subscheme of S distinct from S . In particular, Y → S is
 

not flat over π(G  m ⊗ L)  S . Define the nonflat locus Y nf l ⊂ Y as the
Zariski closure of the set of closed points y ∈ Y such that OY,y is not flat
over OV  ,v for the image v ∈ V  of y. By Proposition 5.3, the nonflat locus
yL ∈ Y nf l ⊂ Y is a nonempty closed subscheme strictly smaller than Y ,
because G  m ⊗ L0 ⊂ Y = YyL is flat over S and flatness is an open property.
0

Since the formal completion of Y nf l at yL contains G  m ⊗L, dim Y nf l = dim Y ,

nf l
and so Y cannot be irreducible (because Y is a closed subscheme of Y
strictly smaller than Y ), a contradiction. Thus, G  m ⊗ L → S is flat for all
    
L ∈ I, and hence Y is flat over S . Since S /S is faithfully flat, Y is flat over
 m ⊗ L is dominant finite over S . This proves
S  . In particular, for all L ∈ I, G
assertion (2).
Since π : X → S induces a surjection π∗ : L ⊗Z Q → X∗ (S ) ⊗Z Q, the
intersection S ∩ (G  m ⊗ L) has dimension equal to

 − rankZp X∗ (Sm ) = rankZp L0 + 1 − m

δ := rankZp L0 + rankZp X∗ (S)
for all L ∈ I. Since X → S  is dominant, dim X = rankZp L0 ≥ m − 1. Thus,
 m ⊗L) is a formal Zp -submodule isomorphic to G
δ = 0 or 1. Then S ∩(G  m or
 11.1 Stability under Hecke Correspondence 411

the origin in S = S. If δ = 1, we have rankZp L0 = rank X∗ (Sm ), and hence
X = S ; so we are done. We hereafter assume that δ = 0. Since π : G
m m ⊗L →
  
S is dominant and dim Gm ⊗ L = dim S = rankZp L, π : Gm ⊗ L → S is
 
finite flat for all L ∈ I. Thus, X → S  is finite, and Y is finite flat over S  by
the faithful flatness of Yy over S  . This proves assertion (3).
To prove assertion (4), consider the differential sheaf ΩY /S  . We may as-
sume that (πX ◦ ΠY )∗ : ΘY → ΘS  is surjective at y0 = yL0 . Since Yy0 /S is
finite flat, Yy0 is étale over S , and hence Yy0 /S  is étale. Thus, ΩY /S  |Yy0 = 0
(Lemma 4.32), and hence ΩY /S  vanishes on a nonempty open subscheme of
Y . Thus, the support Y ram ⊂ Y of ΩY /S  is a closed subscheme of Y strictly
smaller than Y . If YyL /S  is not étale, YyL ⊂ Y ram . Thus, Y ram is a closed
subscheme of dimension equal to dim Y ; so it is an irreducible component of
Y , and hence Y is reducible, a contradiction. Thus, Y → S  is étale finite.
Remark 11.4 Let the notation and assumption be as in Proposition 11.3.
We suppose that m = 2 and that Y → X  S 2 has two dominant projections
onto the left and right factors S of S 2 . We write the Serre–Tate coordinate
(induced by the ordinary level structure on Ex ) of the left factor (resp., the
right factor) of S2 as t (resp., t ). Then by Theorem 10.1, the formal completion
Yy of Y along a point y above x2 = (x, x) is canonically isomorphic to a
formal subtorus of S2 given by G  m ⊗ L for a Zp -free direct summand L of
2 
Zp . Thus, if dim X = dim V , Yy is defined by the equation tu = t for
v

nonzero divisors u, v ∈ Zp with uZp + vZp = Zp , and L ⊂ Zp is given by 2

L = {(x, y) ∈ Z2p |ux = vy}. If two projections are étale, (u, v) can be chosen
to be (1, a) for a unit a = v/u ∈ Z× p (otherwise, one of the projections involves
the pth power map, which cannot be étale).
Corollary 11.5 Let b = Ker(φ) for φ as in (11.1.1). Let y ∈ Y be a point
above xm and let Yy be the formal completion of Y along y. Then Yy for at
least one y ∈ Y contains Δ  and for i = 1, 2, . . . , m,
 = {(ta1 , . . . , tam )|t ∈ S},
writing Si for the ith copy of S in S , the projection X∗ (Yy ) → X∗ (Si ) is
   m

surjective, considering Yy ⊂ Sm . In particular, if m = 2 and πX is finite,

Y → S  is étale finite.
Proof. We have the following commutative diagram:

OV,x ⊗F · · · ⊗F OV,x −−−−→

φ
OS
⏐ ⏐
⏐
ι.
⏐
. (11.1.2)
V,x ⊗F · · · ⊗F O
O V,x −−−−→ O
S ,
Φ

V,x = O
S , Φ(f1 ⊗ · · ·⊗ fm) = m
where O j=1 aj (fj ), and the map ι is the tensor
product of the natural inclusion OV,x ⊂ O V,x . Thus, Ker(Φ) ⊃ ι(b). Note that
 
Spf(OV,x ⊗F · · · ⊗F OV,x / Ker(Φ)) is the skew diagonal image Δ  in Sm . If we
412 11 Hecke Stable Subvariety Is a Shimura Subvariety

take the formal completion along xm , the map ι brings Δ  into X because
Ker(Φ) ⊃ ι(b). Thus, an irreducible component G  m ⊗ L of X contains Δ.
 In
  
particular, if m = 2, πX ,∗ (L) contains πX ,∗ (X∗ (Δ)) = X∗ (S ). Then the rest
follows from assertion (4) of the above proposition.

11.1.4 Stability under Toric Action, Global Study

We keep the assumption and the notation in (N0–3) for b = Ker(φ) (φ as

in (11.1.1)). We have globalized X , taking its Zariski closure X in V m . We
start with the simplest case where m = 2. There are two possibilities by the
above result that dim X = dim V or X = V 2 . The latter case implies that φ
is injective as desired; so we are done. Assuming dim X = dim V , we take the
Zariski closure X of X in V × V and its normalization Π : Y → X. We study
X (resp., Y ) as a global irreducible subvariety of the self-product V ×V (resp.,
as a correspondence V ← Y → V ). We are going to show in Corollary 11.8
after two preparatory propositions that X = Y and that the variety X is the
graph of an automorphism of V given by an action of an element in G(A(p∞) )
[in other words, a1 /a2 has to be in T (Z(p) )]. In this process of showing that X
is a graph of an automorphism, we repeatedly use the fact that the diagonal
action of T (Z(p) ) preserves X in V × V and extends to Y .
The subvariety X is a graph of an automorphism of V (as a correspondence
in V ×V ) if and only if the projections πj : X → V (j = 1, 2) are isomorphisms.
The only information we have is the following: (i) X is stable under the
diagonal action of T (Z(p) ) (or a finite index subgroup thereof) and (ii) the
formal completion Y at any point y ∈ Y over (x, x) ∈ X has isomorphic
projections to the formal completion of V at x (that is, we know that the two
projections Πj = Π ◦ πj of Y to V are étale infinitesimally around y). Thus,
out of (i) and (ii), we need to show that πj (j = 1, 2) are isomorphisms. We
will do this by the following two steps:
Step 1. We show that Πj is étale over a dense open subscheme of V (this
is basically achieved by Propositions 11.6 and 11.7).
Step 2. We show that the two pullbacks Yj := Πj∗ E (j = 1, 2) of the
universal elliptic curve E/V by Πj are isogenous over Y . Writing the prime-
to-p-level structure of Yj as ηj := Πj∗ η, for the isogeny ϕ : Y1 → Y2 , we have
ϕ ◦ η 1 = η2 ◦ g for some g ∈ G(A(p∞) ), and we conclude Y = X and X is the
graph Δ1,g ⊂ (V × V ) of τ (g) (Corollary 11.8).
After finishing off the case m = 2, we proceed by induction on m and show
that ai /aj ∈ T (Z(p) ) (for some i = j) if X = V m :
Step 3. Under a suitable assumption on X ⊂ V m , by induction on m,
we show that an irreducible subvariety X ⊂ V m [containing (x, x, . . . , x)]
stable under the diagonal action of T (Z(p) ) (or its p-adically open subgroup)
is contained in V m−2 × Δ1,g after permuting the components V . We get this
result by applying step 2 to the projected image of X to the product V × V
of the last two factors in V m after a permutation (Corollary 11.11).
 11.1 Stability under Hecke Correspondence 413
−
Then the linear independence of {f[b](t[b] )}b in Theorem 3.38 for elements
{[b]} = {aj |j = 1, . . . , h}, which are mutually distinct modulo T (Z(p) ), follows
easily from this (Corollary 11.13).
In step 2, the two elliptic curves Yj/Y are isogenous if and only if
EndQ (Y/Y ) = M2 (Q) for Y := Y1 ×Y Y2 . Our argument is by contradiction,
supposing EndQ (Y/Y ) = Q × Q. Since VK [for an open subgroup K ⊂ G(Z)] 
is actually defined over a finite field, the generic fiber of Y/Y is an abelian
scheme over a field of finite type over the prime field Fp ; so, generically, we
can use finiteness theorems of Tate–Zarhin on the endomorphism ring of an
abelian scheme over a field of finite type over Fp . Since πj is étale over an open
subset, we can study Y1 ×Y Y2 , specializing it to many CM points, and in such
a way, we exhibit a contradiction against the assumption End(Y/Y ) = Q × Q.
This type of arguments is impossible just by studying X , because the scheme
X has only one closed point and the function field of X is not of finite type
over Fp .
The main tool in step 1 is the local information from the Serre–Tate co-
ordinates we studied earlier in this chapter and Zariski’s main theorem (or,
equivalently, the Stein factorization of the projections X → V ). Adding cusps,
we have a unique smooth compactification V8 of V . Note here a prerequisite of
Zariski’s main theorem is smoothness and properness (so having smooth com-
pactification is important). By uniqueness, the isogeny Hecke action extends
to V8 . This fact is no longer true in the case of the Hilbert modular Shimura
variety (studied in [H10a]) different from the Shimura curve. Each smooth
toroidal compactification of a Hilbert modular variety for a totally real field
F = Q depends on a chosen cone decomposition of (F ⊗Q R)× stable under
unit multiplication, and such a decomposition is not stable under the isogeny
action; cf. [PAF] Sect. 4.1.4 or [HMI] Sect. 4.2.4. Thus, the generalization of
our argument given in [H10a] is more involved.
Let x ∈ V ord (F) = (V ∩ Shord )(F). The fiber at x of E/V is a test object
(p)
(Ex , ηx ). The elliptic curve Ex/F has complex multiplication by an imaginary
quadratic field M/Q (by a Corollary 6.40), which gives an embedding ρ :
(p) (p)
Tx (Z(p) ) → G(A(p∞) ) satisfying αηx = ηx ρ(α). Since the test object E x
(p)
is given to us, the point of Sh/W at which E x is realized as a fiber of E
may not be in the neutral component, but it is in the image of the neutral
component under the right action by g ∈ G(A(p∞) ). The point x is therefore of
the form [z, g], whose level structure ηx is of the form ηz ◦ g (g = 1; otherwise,
the image of the Q-anisotropic torus Tx under rz cannot be diagonal at p in
G(A(∞) )). Recall ρ = rx : Tx (Z(p) ) → G(A(p∞) ) in Sect. 7.1.8 with Im(ρ) in
G(A(p∞) )/Z(Z(p) ), giving the stabilizer of the point x = [z, g] (Lemma 7.43).
We start with the more general setting of (N0–3) with m = 2: Let

X/F ⊂ V × V
414 11 Hecke Stable Subvariety Is a Shimura Subvariety

be an irreducible subscheme with (x, x ) ∈ X ord (F) [X ord = X ∩(V ord ×V ord )]
stable under the diagonal action of a p-adically open subgroup T in T (Z(p) ).
As we mentioned already (in the sketch of step 1), for the use of Zariski’s
main theorem, we need smoothness and properness of our varieties; hence,
we write V8 for a smooth compactification of V , X 8 for the Zariski closure of
X in V8 × V8 , and Π 8 : Y8 → X 8 for the normalization Y8 of X. 8 The action of
T on X extends to Y . For open compact subgroups K1 , K2 ⊂ G(A(p∞) ), we
write V12 for VK1 × VK2 , and we define X12 for the image of X in V12 and
X812 for the image of X8 in V812 := V8K1 × V8K2 . We write Y812 (resp., Y12 ) for the
normalization of X12 (resp., X12 ). Thus, Y8 = limK ×K Y812 . We suppose the
8
←− 1 2
following [see Proposition 11.3 (3)]:
(DE) The two projections Π1 , Π2 : Y → V are finite at a point y ∈ Y above
a point (x, x ) in V (F) × V (F) fixed by the diagonal action of Tx (Z(p) ).
Since x and x are fixed by ρ(Tx (Z(p) )), Ex and Ex have complex multiplica-
tion by the same imaginary quadratic field M . Since elliptic curves over C (and
hence over any characteristic-0 fields) with complex multiplication by a given
imaginary quadratic field are isogenous, applying this to canonical lift (with
Serre–Tate coordinate = 1) of Ex and Ex , they are isogenous and have com-
plex multiplication by M . This isogeny property also follows from Honda–Tate
theory [Ho] and [T2] because M is generated over Q by the same Frobenius
endomorphism φ [with (φ) = pm if Ex and Ex are defined over Fpm ]. We
also have dimF Y = dimF X = dimF V and dimF Y812 = dim X 812 = dim V8K . If
  
Πj is not étale at (x, x ), Πj,∗ (X∗ (Yy )) ⊂ X∗ (S) = Zp is an Zp -submodule of
finite index, and we find α ∈ Tx (Z(p) ) such that α1−c X∗ (S)  = Πj,∗ (X∗ (Yy )) in
 −1
X∗ (S) = Zp . Then ρ(α )◦ Πj is étale [by Proposition 11.3 (4)]. The action of
ρ(α) for a p-adic nonunit α1−cis not  an automorphism of V but a “radiciel”
endomorphism of V . Indeed, 10 p0 acts on Sh(p)  as the relative Frobenius
map of degree p, and hence if rx (α)p K = 10 p0 K, the action of ρ(α) co-
incides with the Frobenius map composed with rx (α(p) ) on ShK . Since any
statement concerning the underlying topological space of our schemes is not
affected by “radiciel” endomorphisms, we may assume (for such statements)
(A) Π1 and Π2 are étale finite at any point y ∈ Y above (x, x ),
by modifying Πj by ρ(α) for α ∈ M × . This condition follows from Proposi-
tion 11.3 (4) and Corollary 11.5 in the case of our interest: b = Ker(φ).
As already remarked, we will show that X is the graph of the action by
an element g ∈ G(A(p∞) ). In this process, we may also assume the following
condition without losing generality:
(B) x = x .
By moving X under the automorphism 1 × ρ(b(p) ) of V × V for a suitable
b ∈ MA× , we can bring x to x, and hence we may assume (B).
 11.1 Stability under Hecke Correspondence 415

Let Vj = limK VKj (resp., V8j = limK V8Kj ) (j = 1, 2) be the jth factor in
←− j ←− j
V × V (resp., in V8 × V8 ). We now study the finite locus fi Vj = limK fi VKj in Vj
←− j
of the projection Πj : Y → Vj for j = 1, 2. By definition, the nonfinite locus
nfi 8
VKj is the closure of all closed points v ∈ V8Kj such that OYK ,y is not finite
j

over OVK ,v for at least one point y ∈ Πj−1 (v). We put fi V8Kj = V8Kj − nfi V8Kj .
j

Similarly, we define the nonflat locus nfl V8Kj ⊃ nfi V8Kj by the closure of all
closed points v ∈ V8Kj such that OYK ,y is not flat over OVK ,v for at least one
j j

point y ∈ Πj−1 (v). Since a flat morphism is an open map, by Corollary 5.11,
nfl 8
VKj is a closed subvariety of V8Kj of (at least) codimension 2; so nfl V8Kj = ∅
as dim V8Kj = 1. Thus, Π 8 j is everywhere finite flat.
Similarly, we define et VKj by the maximal open subscheme of VKj over
which Πj is étale (the cuspidal divisors ramify in V8j over V8Kj ; so the étale
locus is in Vj ). We write et VKj = VKj ∩ et V8Kj , and V et = et V1 ∩ et V2 (in other
words, over V et , Π1 and Π2 are both étale).
Proposition 11.6 Suppose (DE). Then we have
1. The morphisms Π8 j : Y8 → V8 (j = 1, 2) in V8 are finite flat.
2. If Π1 : Y → S and Π2 : Y → S are étale, V et = et V1 ∩ et V2 is an open
dense subscheme of V containing (x, x) stable under T.
Proof. The first assertion is already proven, so we prove (2). As explained
before, we may assume (A) and (B). The scheme Y12 is normal dominant
finite over V8Kj (and is generically étale finite). Since V8Kj is smooth if Kj
is sufficiently small, the ramified (non-étale) locus ram V8Kj = V8Kj − et V8Kj of
Y12 over V8Kj is a divisor of VKj ; hence, it is of at least codimension 1 for a
given Kj . We take the Stein factorization Y st → VKj of Y12 → VKj defined in
Sect. 5.1.3. Since V8Kj − VKj is the cuspidal divisor, the ramified (non-étale)
locus ram VKj ⊂ VKj of Y st over VKj is a divisor of VKj ; so it is of at least
codimension 1 for a given Kj . To extend this result to the provariety Vj ,
we need to show that ram VKj is sent into ram VKj under the projection map
VKj  VKj . To show this, we look into the following commutative diagram
(removing cuspidal divisors):

 finite  →
Y12 −−−−→ X12 −−−−→ VK1 × VK2
⏐ ⏐ ⏐
⏐
πY .finite
⏐
πX .finite
⏐
π .étale

→
Y12 −−−−→ X12 −−−−→ VK1 × VK2 .
finite

Taking fiber products, we get morphisms (from the commutativity of the

  
above diagram): Y12 → Y12 ×X12 X12 , X12 → X12 ×(VK1 ×VK2 ) (VK1 × VK2 ) and
Y12 ×(VK1 ×VK2 ) (VK1 × VK2 ) → X12 ×(VK1 ×VK2 ) (VK1 × VK2 ). The pullback
 
416 11 Hecke Stable Subvariety Is a Shimura Subvariety

X12 ×(VK1 ×VK2 ) (VK1 × VK2 ) of X12 to VK1 × VK2 is a closed subscheme of

VK1 × VK2 étale over X12 containing (x, x). By definition, X12 is the Zariski
closure of X  (i.e., the image of X in VK1 × VK2 ), which is therefore given by
the above closed subscheme of VK1 × VK2 over X12 containing (x, x). Then

X12 is a closed irreducible subscheme of X12 ×(VK1 ×VK2 ) (VK1 × VK2 ) of equal

dimension, and X12 is the irreducible component of
X12 ×(VK1 ×VK2 ) (VK1 × VK2 )
containing (x, x) and covering X12 , and πX is étale finite. Thus, we have a
commutative diagram:
 étale
Y12 ×X12 X12 −−−−→ Y12
⏐ ⏐
⏐ ⏐
. .normalization

X12 −−−−→ X12 .
étale

Since étale morphisms are isomorphisms at the level of completed local rings
(by Lemma 4.7), they commute with the formation of normalization. Thus,
 
Y12 is an irreducible component of Y12 ×X12 X12 , and therefore πY is étale
finite. Hence, the projection VKj  VKj sends ram VKj into ram VKj , and
ram
Vj = limK ram VKj is a closed pro-subscheme of at least codimension 1
←− j
(by Corollary 5.14) of the provariety Vj (whose image in VKj is contained in
ram
VKj ). Hence, V et = et V1 ∩ et V2 is open dense in V . By our assumption,
(x, x) ∈ V et , and V et is stable under T, since étaleness is preserved by the
action of T.  
Let v be a closed point of Y/F ord
= Y ×V 2 (V ord )2 above (v1 , v2 ) ∈ V 2 .
We consider the formal completion Yv [resp., VΠj (v) ] along v [resp., Πj (v)]. If
Π1 × Π2 embeds Yv into Vv1 × Vv2 and the equation defining Yv in the product
VΠ (v) × VΠ (v) is given by ta = tb for the Serre–Tate coordinate tj of Vvj ,
1 2 1 2
we call Y locally linear at v. Write Ylin ⊂ Y ord (F) for the subset of all closed
locally linear points.
Proposition 11.7 Suppose (DE), and let the notation be as in (N0–3) in
Sect. 11.1.3 for m = 2. In particular, let X be a Zariski closure of X in V × V
and Y → X be the normalization of X. The subset Ylin ⊂ Y of locally linear
points as defined above contains the set of all closed points of an open dense
subscheme Y lin in Y ord . In other words, at each closed point y  ∈ Y lin (F), the
formal completion of Y lin along y  is defined by a linear equation.
In the following corollary, we will find that the subvariety X is a graph of the
action of an element in G(A(p∞) ); hence, we conclude that Y lin = X lin = X ord .
Since X ord is locally linear at densely populated v in the image of Y lin , by
[Ch1] Proposition 5.3, X ord is weakly locally linear, and so Y ord is locally
linear. We shall give here an argument (again suggested by Chai) sufficient to
prove the weaker version as stated above.
 11.1 Stability under Hecke Correspondence 417

Proof. Modifying Πj by ρ(α) for α ∈ M × does not affect locally linearity at

a closed point of Y over (x, x ); so, by changing Πj by ρ(αj ) ◦ Πj for α ∈ M ×
if necessary, we assume (A) and (B) (thus, Πj is étale for j = 1, 2).
An endomorphism ax ∈ End(Ex ) induces an endomorphism of the defor-
mation space S = Vx = G  m . Modifying ax by the central action of Zp , we may
assume that ax is the identity on the connected component of Ex [p∞ ] without
affecting the endomorphism of the deformation space S induced by ax .
We fix an ordinary level-p structure ηpord on Ex . Identifying EndGSCH (S)  =
Zp by ηpord , the action of ax on S is then given by the action of ax over the
étale quotient Ex [p∞ ]et . By Proposition 11.3 (1), Y is locally linear at a point
y ∈ Y above (x, x), and hence, by Remark 11.4, we may assume that the
formal completion Yy along y is defined by t = tv [u, v ∈ Zp = EndGSCH (S)] 
u

for the Serre–Tate coordinate (t, t ) of S × S for S = Vx , where t and t are
 

associated with the ordinary level structure ηpord . Since the two projections
Π1 , Π2 : Y → V are étale at y [by (A)], a = v/u is a unit in Zp , and Yy
is defined by t = ta . We write ax ∈ End(Ex ) ⊗Z Zp = End(Ex [p∞ ]) for the
endomorphism inducing a ∈ End(S)  as normalized above. Then ax is a unit
in EndGSCH (Ex [p∞ ]).
We consider the universal elliptic curve E/V . We pull it back to Π : Y →
X ⊂ V × V : Y1 = Π1∗ E and Y2 = Π2∗ E. Identifying Ex with the fibers Yj,y of
Yj (j = 1, 2) at y, we regard the unit ax ∈ End(Ex [p∞ ]) as a homomorphism
ax : Y1,x [p∞ ] = Ex [p∞ ] → Ex [p∞ ] = Y2,x [p∞ ].
We now reduce the existence of the desired nonempty open subscheme
Y lin ⊂ Y ord to the existence of an étale irreducible covering U 8 over an open
dense subscheme U ⊂ Y ord containing the given point y ∈ Y ord such that ax
extends to an isomorphism 8 a : Y1 [p∞ ]/U → Y2 [p∞ ]/U of Barsotti–Tate groups
over U 8 . Thus, supposing the existence of the open subscheme U and such an
extension 8 a over U8 , we specify the open subscheme Y lin . Shrinking U ⊂ Y ord
(keeping y inside U ), we may assume that the projections Πj : U → V
(j = 1, 2) are both étale (cf. Proposition 11.6), because the projections are
étale at the specific point y.
By the étaleness of Πj , the formal completion Yu along u ∈ U with Π(u) =
(u1 , u2 ) ∈ V × V is isomorphic by Πj (j = 1, 2) to the universal deformation
space of the Barsotti–Tate group Euj [p∞ ] carrying the universal deformation
Yj [p∞ ]/Yu ∼= Ej [p∞ ]/Vu via Πj : Yu ∼ = Vuj .
j
Choose an ordinary level structures ηj,p et
: Qp /Zp ∼ = Euj [p∞ ]. Then
∞ ∼ ∞
the canonical coordinate tj of E[p ]/Vu = Y[p ]/Yu is given by tj =
j

limn→∞ “pn ”(ηj,p

et
(p−n )) for Drinfeld’s lift “pn ” in Theorem 6.44. Another
level structure 8a ◦ η1,p
et
of Eu2 [p∞ ] gives rise to the coordinate ta2 u for a
unit au ∈ Z×  ×
p because AutGSCH (Yu ) = Zp . Thus, we get the relation
t1 = ta2 u valid on Yu , because 8 a sends the t1 = limn “pn ”(η1,p
et
(p−n )) to
au
t2 = limn “pn ”(8 et
a(η1,p (p−n ))). In other words, Yu is contained in the locally
418 11 Hecke Stable Subvariety Is a Shimura Subvariety

linear formal subscheme Yu defined by t1 = ta2 u . Since Yu → Vu1 × Vu2 is a
smooth formal subscheme with two isomorphisms Yu ∼ = Vuj induced by Πj ,
we find Yu = Yu , and hence, Yu is defined by t1 = ta2 u . Thus, we may let


Y lin = U .
Next we shall show that ax extends to a morphism  a : Y1 [p∞ ] → Y2 [p∞ ]
of Barsotti–Tate groups over Yy . We make a remark first. In the above com-
putation, taking u1 = u2 = x and t = t1 = t2 , the action of ρ(α) (whose
matrix expression is given by α0 α0c inside GL2 (Qp ) by our choice of the
level-p
structure)
 acts on the
coordinate  t as if we were making conjugate
α1−c
ρ(α) 01 log1p (t) ρ(α)−1 = 1 logp (t ) by Proposition 7.44. By this re-
0 1
mark, identifying Ex with the fibers Yj,x of Yj (j = 1, 2) at y, we regard
the unit ax ∈ End(Ex [p∞ ]) as a homomorphism ax : Y1,y [p∞ ] = Ex [p∞ ] →
Ex [p∞ ] = Y2,y [p∞ ]. The formal completion Y = Yy of Y along y is the max-
imal subscheme of S × S over which this ax extends to a homomorphism
a : Y1 [p∞ ]/Y → Y2 [p∞ ]/Y of Y -group schemes.

To find  a, as above, we identify a with an element of Zp by projecting
ax down to EndBT (Ex [p∞ ]et ) = Zp for the maximal étale quotient Ex [p∞ ]et
of the p-divisible group. The isogeny action ρ(α) : E/V → E/V for α ∈
End(Ex ) = O induces
∼ α ∼
ρ(α) : Y1 [pn ]Y −−→ E[pn ]/Vx −
→ E[pn ]/Vx −−−→ Y2 [pn ]/Y .
−1
Π1 Π2

Choose α so that α ≡ a mod pn Op for p = p∈Σp p and α ≡ 1 mod pn Opc ,
and write it as αn . Therefore, the isogeny action of ρ(αn ) on E gives rise to
αn : Y1 [pn ]/Yn → Y2 [pn ]/Yn well defined over an infinitesimal neighborhood
Yn of y (isomorphic to the connected component of Ex [pn ]). Indeed, the em-
∼
bedding Y → S × S is given by (t, ta ), ρ(αn ) sends Y1,v [pn ]  −−→ E[pn ] 
/Yn Π Vn
1
∼
to Y2,ρ(αn )p (v) [p ]/Yn −−→ E[p ]/Vn , and v = ρ(αn )p (v) as long as v ∈ Yn .
n n a
Π2
Here Vn is the infinitesimal neighborhood of x isomorphic to the connected
component of Ex [pn ]), ρ(αn )p ∈ G(Qp ) is the p-component of ρ(αn ), and
αn gives rise to a|Y1 [pn ] after a base change to Yn . By taking the limit

a = limn→∞ αn |Y2 [pn ]/Y with respect to n, we find out that ax gives rise to
n
a unique homomorphism  a : Y1 [p∞ ]/Y → Y2 [p∞ ]/Y of Barsotti–Tate groups
over Y .
To show the existence of U , we follow Chai’s argument in the proof of
[Ch1] Proposition 8.4. We choose a sufficiently small open compact subgroup
K1 ×K2 ⊂ G(Z)  2 maximal at p so that Y12,y = Yy . Since Y ord is irreducible, we
12
only need to find a nonempty open subscheme U  ⊂ Y12 ord
with the required
property (then U is given by the pullback of U  to Y ord ). We have  a well
 
defined over Y = Y12,y . For any reduced local OY12 ,y -algebra R, a locally
linear isomorphism α : Y1 [p∞ ]/R → Y2 [p∞ ]/R inducing ax on Ex [p∞ ] (if
 11.1 Stability under Hecke Correspondence 419

it exists) is unique. Simply write O  for O

Y12 ,y = O
Y,y and O for OY12 ,y .
 
Since O ⊗O O is reduced (by Lemma 4.87), the pullbacks of  a by the two
projections πj : Y ×O Y → Y coincide by the above uniqueness; that is,  a

satisfies the descent datum (relative to O/O; see [GME] Sect. 1.11 for descent).
By faithfully flat descent,  a descends to O.
Since Yj [p∞ ] (j = 1, 2) is an ordinary Barsotti–Tate group of GL(2)-type,

HomSpec(O) (Y1 [pn ], Y2 [p∞ ]) = HomSpec(O) (Y1 [pn ], Y2 [pn ])

is a finite flat group scheme over O. The truncated  an = 

a|Y1 [pn ] : Y1 [pn ] →
∞ 
Y2 [p ]/O is defined over an open neighborhood U of y. The functor O →
HomO (Y1 [pn ], Y2 [pn ]) (for open subschemes O of U  ) is represented by a
locally free group scheme over U  , since Yj [p∞ ] (j = 1, 2) is an ordinary
Barsotti–Tate group of GL(2)-type. For an element a ∈ HomO (Y1 [pn ], Y2 [pn ]),
take its graph Γa ⊂ Y1 [pn ] ×O Y2 [pn ]. Then we have Γa ∼ = Y1 [pn ] over
∼
O, and so Y1 [pn ] ×O Y2 [pn ] = Γa  Γa ; i.e., Y1 [pn ] − → Γa is a con-
stant section of Y1 [pn ] ×O Y2 [pn ] → Y1 [pn ]. Consider the Zariski closure
et
Γ a ⊂ Y1 [pn ] ×Y12
ord Y2 [p ] of Γa . Then the image Γ
n
a of Γ a in the maximal
étale quotient (Y1 [pn ] ×Y12
ord Y2 [p ])
n et
is the Zariski closure of the maximal
étale quotient of Γa in (Y1 [pn ] ×Y12
ord Y2 [p ])
n et
(which is finite flat over Y12 ord
).
et ord
Thus, Γ a is finite étale over Y12 . Applying Cartier duality, we find that
Γ a ∩ (Y1 [p ] ×Y12
n
ord Y2 [p ])
n mult ord
is finite flat multiplicative over Y12 , giving
mult
∼
Γ a . Thus, Γ a = Y1 [p ] over Y12 . In other words, a extends uniquely
n ord

to a ∈ HomY12 ord (Y1 [p ], Y2 [p ]) by taking Zariski closure of its graph in

n n

Y1 [p ] ×Y12
n
ord Y2 [p ]. So U := Un is independent of n (and it can be taken to
n

be Y12 ). Hence, we have found an open Zariski neighborhood U  ⊂ Y12

ord ord
of

y over which we have an extension 8 a of ax . Then U = U ×Y12 Y does the job.
Corollary 11.8 Let the notation and the assumption be as in Proposi-
tion 11.7. Then X is everywhere smooth and X = Y . Moreover, if (DE)
is satisfied, there exist nonzero α, β ∈ O(p) such that X coincides with the
skew diagonal
Δα,β = {(ρ(α)(v), ρ(β)(v))|v ∈ V }.
If Π1 and Π2 are étale finite, we may assume that (α, β) = (1, β) with β ∈
O×(p) .

This is a restatement of Theorem 3.43. Here we give a detailed proof following

the outline sketched in Sect. 3.6.2.
Proof. If (DE) fails, Y = X = V 2 by Proposition 11.3 (3); hence, the asser-
tion follows trivially. We may assume (DE), (A), and (B) as indicated after
stating (DE). We follow Chai’s argument, which is a version of the argument
in [Ch1] Sect. 8 adjusted to our self-product of the modular curve. Since the
two projections Πj : Y → Vj are dominant, we have End(Yj ) ⊗ Q = Q
420 11 Hecke Stable Subvariety Is a Shimura Subvariety

for Yj = Πj∗ E = E ×Vj ,Πj Y . Let Y/Y = Y1 ×Y Y2 . Thus, there are only
two possibilities for EndQ (Y) = End(Y/Y ) ⊗ Q: Either EndQ (Y) = Q × Q
or EndQ (Y) = M2 (Q). Suppose that EndQ (Y) = M2 (Q). By the semisim-
plicity of the category of abelian schemes (e.g., [GME] Theorem 4.1.19), we
have two commuting idempotent ej ∈ EndQ (Y) such that ej (Y) = Yj . Since
EndQ (Y) = M2 (Q), we can find an invertible element β8 in GL2 (O(p) ) ⊂ M2 (Q)
such that β8◦e1 = e2 ; hence, β8 : Y1 → Y2 is an isogeny, whose specialization to
the fiber of Yj (j = 1, 2) at y gives rise to an endomorphism β ∈ End(Ex )⊗ Q.
Thus, the isogeny β8 is induced by ρ(β) [this point is explained more carefully
after proving EndQ (Y) = M2 (Q)].
We suppose EndQ (Y) = Q × Q and try to get a contradiction [in order
to prove that EndQ (Y) = M2 (Q)]. We pick a sufficiently small K1 = K2 =
K ⊂ G(A(p∞) ) maximal at p so that VK is smooth. For the moment, we
assume that K is open compact. The variety VK is naturally defined over a

finite extension Fq /Fp as the solution of the moduli problem EK,c in (7.1.12)
for the polarization ideal c of Ex (the minimal choice of Fq is the residue
field of W ∩ kK for Shimura’s field kK of the definition of VK ⊂ ShK/Q ). The
universal elliptic curve EK is therefore defined over VK/Fq , and EK is a variety
of finite type over Fq . Replacing q by its finite power, we may assume that
X12 ⊂ VK × VK/Fq is stable under the Galois action Gal(F/Fq ), and hence it
has a unique geometrically irreducible model X12/Fq ⊂ VK × VK/Fq defined
over Fq .
Let Y12/Fq be the normalization of X12/Fq . Then Y12 = Y12/Fq ×Fq F.
We write Y12/Y12/Fq for the abelian scheme E2K ×(VK ×VK ) Y12 . Then Y12
is an abelian scheme over the variety Y12/Fq of finite type over Fq . Let η
be the generic point of Y12/Fq , and write η for the geometric point over η
and Fq (η)sep for the separable algebraic closure Fq (η)sep of Fq (η) in Fq (η).
Take an odd prime # = p, and consider the #-adic Tate module T (Yη )
for the generic fiber Yη of Y. We consider the image of the Galois action
G := Im(Gal(Fq (η)sep /Fq (η))) in GLZ ×Z (T (Yη )).
By Zarhin’s result ([Z] and [DAV] Theorem V.4.7), the Zariski closure
over Q of G is a reductive subgroup of GLQ ×Q (T (Yη ) ⊗ Q). Write G for
the connected component of the reductive group. Then G ∩ G(Q ) is an open
subgroup of G(Q ). Moreover, by Zarhin’s theorem, the centralizer of G in
GLQ ×Q (T (Yη )⊗ Q) is End(Y)⊗ Q . Since the reductive subgroups of GL(2)
either are tori or contain SL(2), the derived group G1 (Q ) of G(Q ) has to be
SL2 (Q ×Q). Any noncentral semisimple element in SL2 (Q ) of infinite order
generates an infinite group whose Zariski closure has a torus as its identity
connected component, since SL(2) has only three types of proper algebraic
subgroups (i.e., tori, unipotent subgroups, and Borel subgroups).
Pick a pair (a1 , a2 ) of distinct nonconjugate semisimple elements in SL2
(Q × Q ) inside the Galois image [each belonging to SL2 (Q )] generating
an infinite group whose Zariski closure is a torus. Since Frobenius elements
are dense in G by (geometric) Chebotarev’s density in [Se1] Theorem 7,
 11.1 Stability under Hecke Correspondence 421

approximating aj by Frobenius elements, we can therefore find a set of closed

points u ∈ Y12 (F) with positive density such that the Zariski closure in G
of the subgroup generated by the Frobenius element F robu ∈ G at u with
Π(u) = (u1 , u2 ) [uj ∈ V (F)] is a torus (over Q) containing a maximal torus

Tu = (Tu1 × Tu2 ) ∩ G1

(over Q) of the derived group G1 of G. In particular, the centralizer of Tu in G1

is itself (i.e., Tu1 and Tu2 are not Q-rationally conjugate to each other). Then
Yu is isogenous to a product of two nonisogenous elliptic curves Y1 = Eu1 and
Y2 = Eu2 defined over a finite field. They are nonisogenous as they correspond
to distinct Frobenius conjugacy classes. The endomorphism algebra Mj =
EndQ (Yj ) is an imaginary quadratic field generated over Q by the relative
Frobenius map φj induced by F robu .
The relative Frobenius map F robu acting on X∗ (Vu1 ) ∼ = Zp has only one
(1−c)
eigenvalue {φ1 }, which differs from the eigenvalue of φ2 ∈ End(Y2 ) on
X∗ (Vu2 ) ∼= Zp . Since we have proven that over the open dense subscheme
U = Y lin of Y , the formal completion of U at u ∈ U with u = (u1 , u2 ) ∈
X ⊂ V 2 is canonically isomorphic to a formal subtorus Z  ⊂ Vu1 × Vu2 with
 ∼
cocharacter group X∗ (Z) = Zp , we may assume that our point u = (u1 , u2 ) as
above is in the (open dense) image U12 of U in X12 (because the set of such
u’s has positive density). Projecting X∗ (Z)  down to the left and the right
factors VK , we see that the projection map X∗ (Z)  → X∗ (Vuj ) is actually
an injection commuting with the action of F robu . Thus, F robu has more
than one eigenvalue on X∗ (Z),  which is a contradiction. Hence, we conclude
that EndQ (Y) = M2 (Q) for any choice of small open compact subgroups K
maximal at p. Passing to the limit, we may assume that K = GL2 (Zp ) (as we
do hereafter), and we still have EndQ (Y) = M2 (Q).
As we have remarked at the beginning, EndQ (Y) = M2 (Q) implies that
we have an isogeny β8 : Y1 → Y2 over Y . Writing ηj for the prime-to-p-level
(p)

structure of Yj , inducing the prime-to-p level structure already chosen for

Ex = Y1,y = Y2,y at y ∈ Y , we find that β8 ◦ η1 = η2 ◦ g for g ∈ G(A(p∞) ).
(p) (p)

Specializing at y, we have g = ρ(β) for β ∈ EndQ (Ex ) = M . Thus, Yy ⊂ S × S

is given by the equation t = tβ
1−c
for nonzero β ∈ O(p) for the Serre–Tate

coordinate t (resp., t ) with respect to the ordinary level-p structure ηpord of
Ex = Y1,y (resp., Y2,y ). By (A) (and Remark 11.4), β 1−c ∈ Z× p ; so, we may
assume that β ∈ O× (and hence 8 is a prime-to-p isogeny).
β
(p)
(x,x) =  
As in the proof of Proposition 11.3 (1), we have X L∈I Gm ⊗ L for

finitely many Zp -direct summands L of X∗ (S ). As we have shown in the proof
2

of Proposition 11.3 (1), points of Y above (x, x) are indexed by L ∈ I. Suppose

that y corresponds to L. Then Yy ⊂ S × S coincides with G  m ⊗ L. On the
other hand, we have the skew diagonal Δβ = Δ1,β = {(z, ρ(β)(z))|z ∈ V } ⊂
V × V . The formal completion Δ β along (x, x) therefore coincides with Yy and
422 11 Hecke Stable Subvariety Is a Shimura Subvariety

m ⊗ L ⊂ X
G (x,x) inside S2 . Thus, Δβ ⊂ X.
 Again writing OΔ ,x2 = O⊗2 /bβ
β V,x
and OX,x2 = O⊗2 /b, this implies 
V,x bβ ⊃ 
b for mx2 -adic completions 
bβ and 
b.
Therefore, bβ ⊃ b by the faithful flatness of O ⊗2 ⊗2
V,x over OV,x ; in other words,
Δβ ⊂ X. By the irreducibility of X, we conclude that X = Δβ . Since Δβ is
smooth, Δβ = Y , and hence X is smooth everywhere.
If condition (A) fails, as explained after statement (DE), the morphisms
ρ(α)−1 ◦ Π1 and ρ(β  )−1 ◦ Π2 for suitable nonzero α, β  ∈ O(p) are étale, and
so (ρ(α) × ρ(β  ))−1 (X) = Δ1,β by the above argument; hence, X = Δα,β  β .
This finishes the proof.
Here are two technical lemmas, before going into the case where m > 2.
Lemma 11.9 Let Ni = A for a commutative ring A (i = 1, 2, . . . , m). Let
N ⊂ N1 × N2 × · · · × Nm = Am be an A-free submodule of Am with m ≥ 2.
If A is a product of finitely many local rings, the projection of N to Ni × Nm
is surjective for all i = 1, 2, . . . , m − 1, and the projection π  of N to N  :=
N1 × N2 × · · · × Nm−1 is surjective, we have N = Am .

Proof. We may assume that A is a local ring. Tensoring its residue field,
by Nakayama’s lemma (Lemma 10.8), we may assume that A is a field k.
Suppose that dim N ≤ m − 1. Since π  is surjective, π  is an isomorphism, and
either N ∩ (N  × zm ) is empty or z ∈ N ∩ (N  × zm ) is a unique point with
π  (z) = zm . Since N → N1 × Nm is surjective, there exist at least two points
in N ∩ (N  × zm ), a contradiction. Thus, dim N = m and N = k m .  

For a scheme morphism f : Z → Z  , write f (Z) for the Zariski closure in

Z  of the image of the topological space of Z by f with reduced scheme
structure. Note that X is affine, as it is a closed subscheme of an affine scheme
⊗2
S 2 = Spec(OV,x ).
Lemma 11.10 Let the assumption be as in (N0–3). Let S 2 ⊂ S m be a factor
and π : S m  S 2 be the projection. Write π(X ) = Spec(B0 ) for a local ring

B0 ⊂ OX (with maximal ideal m0 ). Write X = L∈I G  m ⊗Zp L. Then
0 = lim B0 /mn , there exists a finite set I1 of Zp -direct summands
(1) For B
←−n 0

# ⊂ X∗ (S2 ) such that Spf(B
0 ) = 
∈I1 Gm ⊗Zp #, and rankZp # = dim B0 .
(2) rankZp π∗ (L) is independent of L ∈ I and is equal to dim B0 = dim π(X ).

Proof. From the definition of the image π(X ), B0 is given by the image of the
π∗ K =
composite OS 2 −→ OS m  OX . Let XK ⊂ VKm be as in (N3) such that X

X. Then π(XK ) is an excellent scheme since it is of finite type over a field F [see
Sect. 4.1.11 and [EGA] IV.7.8.3 (ii)]. For the projection XK of X to SK m
, write
π(XK ) = Spec(B0,K ). Then B0,K is a localization of π(XK ) at (x, x) ∈ SK 2

[SK = Spec(OVK ,x )] and is an excellent integral local ring (Sect. 4.1.11). By

[EGA] IV.7.8.3 (vii) and (x), B0 = B 0,K is reduced equidimensionally. Since
 
π(X ) ⊂ S 2 is irreducible and stable under T, Spf(B 0 ) =
∈I1 Gm ⊗Zp #
 11.1 Stability under Hecke Correspondence 423

with rankZp # = dim B0 , by Proposition 11.3 (1), for finitely many Zp -direct
summands # ⊂ X∗ (S2 ). This proves assertion (1).
We now give a proof of assertion (2). Let Spec(B) be the normalization
of π(X ). Let πV : VKm → VK2 be the projection that induces π. Let U =
Spec(B0 ) ⊂ π(XK ) be a sufficiently small affine open neighborhood of (x, x)
such that its normalization B/B0 is finite. We can find such B0 because B/B0 is
finite by (1). We take an affine open neighborhood U  = Spec(A0 ) ⊂ πV−1 (U )
of xm such that the normalization A/A0 is finite and A0 is of finite type
over B0 ; hence, A is a noetherian domain of finite type over B. As already
explained, A and B are excellent. Let U 8 = Spec(B) and U8  = Spec(A). Since
B ⊂ A and A and B are integral domains, the morphism Spec(A) → Spec(B)
is generically flat. The nonflat locus U 8  [which is the Zariski closure of {P ∈
nf l
U8  |AP is not flat over Bπ (P ) }] is a closed subscheme of U 8  strictly smaller
than U  m ⊗ L of A along
8  . If rankZp π∗ (L) < rankZp #, the formal completion G
8 
the point yL ∈ U corresponding to L is not flat over the formal completion
 m ⊗ # of B along the image π(yL ). Thus, U
G 8  contains a closed subscheme
nf l
of maximal dimension, a contradiction against the irreducibility of U 8  . Thus,
rankZp π∗ (L) = rankZp #, as desired.
Here is a restatement of Theorem 3.44:
Corollary 11.11 Let the notation be as in (N0–3) and the assumption be as
in Proposition 11.3. Then X is smooth everywhere, and X ord is locally linear.
If X is finite over S  , X either is given by V m−1 × {x} or is identical to
V m−2 × Δ(α,β) for some nonzero α, β ∈ O(p) (after permuting first m − 1
factors).
We now give a detailed proof.
Proof. We use the symbols introduced in Proposition 11.3 and its proof; in
particular, S = Spec(OV,x ) and S m = S  × S  ⊂ V m with S  = S. By
Corollary 11.8 (m = 2), we may assume that m > 2. Assume that X = S m .
Since X is irreducible, its projection to S  is irreducible. If the projection
of X to S  is a proper closed subscheme in S  (i.e., strictly smaller than
S  ), by dim S  = 1 (and by the fact that OV,x is a valuation ring), a closed
irreducible subscheme strictly smaller than S  is a closed point. Thus, we find
that X = S  × {x} as X → S  is dominant; hence, we are done. Thus, we may
assume that the projection of X to S  is dominant and that X is finite over
S  [Proposition 11.3 (3)].
We describe a way of reducing the assertion to Corollary 11.8. Let Π :
Y → X and ΠY : Y → X be the normalization. Then by Proposition 11.3
(3), Y is finite flat over S  , and Y is locally linear at every point y ∈ Y above
xm ∈ X (abusing the terminology).
Pick a point y ∈ Y above xm , and write
+
Yy = G
 m ⊗ L and X = G m ⊗ L.
L∈I
424 11 Hecke Stable Subvariety Is a Shimura Subvariety

We write Si = S be the ith component of S m . Let πi,m : S m → Si × S  with

i < m be the projection. We regard Yy = G  m ⊗ L ⊂ Sm . If πi,m,∗ : L ⊗Z Q →
X∗ (Si × S ) ⊗Z Q is surjective for all i < m, by Lemma 11.9 applied to


A = Zp ⊗Z Q = Qp and Ni = X∗ (Si )⊗Z Q, we find that L⊗Z Q = X∗ (Sm )⊗Z Q,

and so Yy = Sm , and hence, Y = X = V m , and we are done. Thus, we assume
that that the projection πi,m,∗ : L ⊗Z Q → X∗ (Si × S ) ⊗Z Q is not surjective
for an i < m, and
rankZp πi,m,∗ (L) < rankZp X∗ (Si × S ).

Recall that f (Z) denotes the Zariski closure in Z  of the image of the
underlying topological space of Z for a morphism f : Z → Z  of schemes. If
Z = Spec(A) and Z  = Spec(B), then the topological space of f (Z) is that of
Spec(f ∗ (B)). Write Πi,m := πi,m ◦ Π : Y → Si × S  . By Lemma 11.10 (2),

dim πi,m (X ) = rankZp πi,m,∗ (L) < rankZp (X∗ (Si × S )) = dim(Si × S  ).
(11.1.3)
By (11.1.3), the reduced image πi,m (X ) ⊂ Si × S  is an irreducible
closed subscheme (strictly smaller than Si × S  ) invariant under T. Apply-
ing Corollary 11.8 to πi,m (X ), we find that πi,m (X ) = Spec(OΔα,β ,x2 ) and
πi,m (X) ⊂ Δα,β for some nonzero α, β ∈ O(p) . Permuting indices to bring i
to m − 1, we conclude
−1
X ⊂ πm−1,m (Δα,β ) = V m−2 × Δα,β .

Since dim X = (m − 1) dim V [by Proposition 11.3 (3)], we conclude by irre-

ducibility that X = V m−2 × Δα,β , as desired.

11.1.5 Linear Independence Again

× ∼
Recall G+ ⊂ G = G(A(∞) )/Z(Q) in Theorem 7.18. The subgroup O× (p) /Z(p) =
ρ(T (Z(p) )) in G+ fixes x ∈ Ig(F) (Lemma 7.43) and hence acts on the stalk
OV,x and the stalk OIg,x of x on the Igusa tower Ig/V . The group T (Z(p) ) is
embedded into T (Zp ) = Z× p as in (7.2.5). Then the action of T (Z(p) ) extends to
×
its p-adic completion Zp = T (Zp ) = Aut(S)  for S = Spf(O V,x ) = Spf(O Ig,x ).
×
Each a ∈ Zp acts on the formal completion O Ig,x as automorphisms sending
the canonical coordinate t to ta for a ∈ T (Zp ) = Z× p . Each diagonal element
g = diag[a, d] ∈ T (Zp ) for the diagonal torus T ⊂ G also acts on Ig by
Δ Δ

the change of level structure ηpord → ηpord ◦ g. The image of T Δ (Zp ) ∩ G in G+

has trivial intersection with T (Z(p) ) inside G+ , because Tx (Z(p) ) is embedded
diagonally in G(A(∞) ) by ρ = rx , while each element of T Δ (Zp ) has only
nontrivial component at p. Thus, the two actions of a ∈ T (Zp ) = Z× p fixing x
and that of g ∈ T Δ (Zp )∩G moving x are compatible. In the following theorem,
a ∈ T (Zp ) = Z× 
p acts on OIg,x via t → t for the canonical coordinate t. We
a

are now ready to prove the following generalization of Theorem 3.38:

 11.1 Stability under Hecke Correspondence 425

Theorem 11.12 Let F be the residue field of W (so it is an algebraic closure

of Fp ). Let x ∈ Ig(F) be a closed point [which is fixed by the action of T (Z(p) )
embedded in G+ by ρ]. Let a1 , . . . , am ∈ T (Zp ), and assume that ai a−1 j ∈
T (Z(p) ) for all i = j. Then aj (OIg,x/F ) (j = 1, 2, . . . , m) are linearly disjoint
over F in O Ig,x/F , where OIg,x is the stalk at x of the Igusa tower over V .

Let b = Ker(φ) be the kernel of the homomorphism φ in (11.1.1). Let 8 b be

the unique prime ideal of OIg,x ⊗ · · · ⊗ OIg,x over b. Then 8
b is the kernel of
the map φ8 defined in the exactly the same way as φ replacing OV,x by OIg,x .
The assertion of the theorem is equivalent to 8 b = 0. Since b = 0 ⇔ 8 b = 0
Fx = Vx (Lemma 4.7), it is
by the fact that Ig/V is étale over V and hence Ig
sufficient to prove b = 0.
Proof. We first suppose that m = 2. We use the symbols we introduced in
the proof of the above two propositions. In particular, V = limK VK for K
←−
maximal at p. For simplicity, we write O = O  , S = Spec(O), and S =
S/F
 m ⊗Z O. Suppose b = 0. Apply Proposition 11.3 (3) to the two projections
G
S × S → S and X = Spec(R), which has two dominant projections onto
S = Spec(O). Then the formal completion X of X along x2 = (x, x) is a
formal torus defined by tu2 = tu1 for u1 , u2 ∈ Zp ∩ Q× p (Corollary 11.8). By
our definition of b, we have u2 /u1 = a2 /a1 ∈ Z× p ; hence, we may choose u1
and u2 so that u1 = 1 and u2 ∈ Z× p . Let X be the schematic closure of X in
V × V . Then by Corollary 11.8, we find that X = Δ1,α and, hence, u2 = α1−c
for α ∈ O×(p) . Since α
1−c
∈ T (Z(p) ), this contradicts a1 /a2 ∈ T (Z(p) ). Thus,
X = V , and a1 (O) and a2 (O) are linearly disjoint over F.
2

We now deal with the case where m > 2. Recall

m
  !

φ : O ⊗F O ⊗F · · · ⊗F O → O

in (11.1.1), which is the F-algebra homomorphism given by f1 ⊗f2 ⊗· · ·⊗fm →

m  
j=1 aj (fj ) ∈ O ⊗W F. Let R = Im(φ) ⊂ O ⊗W F. We consider X = Spec(R)
m
a closed subscheme of S for S = Spec(O). Take the schematic closure X of
X in V m . By the induction hypothesis on m, X surjects onto S  and S  . By
Proposition 11.3 (3), X is either finite over S  or X = S m In the latter case, we
are done; thus, we assume that X is finite over S  . Then by Corollary 11.11,
there exists an index 0 < i < m so that πi,m (X) = Δα,β inside V 2 = Vi × V 
for the ith factor Vi = V in V m . We have X ⊃ Δ  in Lemma 11.5, and
×
we conclude that Zp = T (Zp )  ai /am = (α/β) 1−c
∈ T (Q), which is a
contradiction [because T (Z(p) ) = T (Zp ) ∩ T (Q)]. Thus, X = S m (and hence,
b = 0) and X = V m .
By the construction of the Igusa tower and p-adic modular forms in
Sect. 7.2.4, if we look into the Igusa tower Ig over Y1 (N ) for a level N prime
to p, OIg/F is exactly the space of p-adic modular forms with coefficients in
426 11 Hecke Stable Subvariety Is a Shimura Subvariety

F. Thus, OIg/F contains Gk (F) = r Gk (Γ1 (N pr ); F) for any fixed k ≥ 1. Let
1 be the constant function in OIg/F whose q-expansion is just 1 as the Hasse
invariant. Thus, the above theorem applies to modular forms mod p:
Corollary 11.13 Fix a weight k ≥ 1. Let a0 , . . . , an ∈ Tx (Zp ) and suppose
that ai a−1
j ∈ Tx (Q) for all i = j. Let I ⊂ {0, 1, 2, . . . , n} be a subset of indices.
Then if {1, fij ∈ Gk (F)}j are linearly independent over F for each i ∈ I, then
{ai (fij )}i∈I,j in OS/F
 are linearly independent over F.
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Symbol Index

[·], 24 φf , 370
x, 9 ϕψ , ϕ− ψ , 377
ψP , 87
αl,P , 92 Ω∞ , Ωp , 334, 335
α(t), 358 ΩVa /k , ΩC/k,η , ΩC/A , 48, 55, 66
Γ ± , 353, 376 ΩR/A , ΩX/S , 164, 166
Γ1,0
1
(f2 ), 338 ω(O), ω(a), 275
Γ (N ), Γ? (N ), Γ11 (N ), 285, 296
 ω k , 250, 254
Γ0 (pm )p , Γ1 (pm )p , 280 ζN , 12
(γ : x → y), 69
Δalg , 353 [A], 370
Δ(E, ω), 60 A1 , An , 45
δP , P , 87 A/B , 262
 ∗ ϕ, 375  /B , ALG/B , ART/B , 205, 210, 225
ALG
εP 87 A(l), 92
η (p) , 277, 287 AP , 111
◦
ηpet (a), η∞ (a), ηpord (a), 277 a(l), 86
×
ι : T → Z, 370 B, 72
κ(P ), 86 BIALG/B , 193
Λ, 85 C, 337, 370
λ∗ , λ∗ , 371 C(a), 276

λκ,k , 130 C(Zl , A), C(G, B), C(Z, W ), 12, 15, 377
μ(ϕ), μ(Φ), 130 CL/B , 208, 210, 264
μN , μ× N , 3, 234, 281 CB , 151
π0 (T ), 229 CB , 205
π1 (X, x), 187 CBT/B , 210
π1top , 69 COF , 149
π∗ (ϕ), 375 CT F , 149
π − , 377 C(Π), 181
ρI , ρP , 86, 87 Cζ , 271
ρsym⊗n , 106 (CF ), 183
ρz , 31 Cl(Γ ), 290
Φ◦ , ψ ◦ , 339, 368 Clalg , 353

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 437

in Mathematics, DOI 10.1007/978-1-4614-6657-4,
© Springer Science+Business Media New York 2013
438 Symbol Index

Cl(N ), ClM , ClM +

, 285, 377, 378 hk+1,ψ , hk+1,ψ , Hk+1,ψ , Hk+1,ψ , 85, 86
ClM (i), Cl− (i), 370 HomALG , 24
c0 , 373 HomA-curves , 65
DEF (B, B/I), 262 HomB , HomCB , 151
DerVa /k , DerA (R, R ), 48, 66 Homproj k-curves , 52
dρ, 399 I, i, 370
deg(D), deg(φ), 55, 228 Im,α , 260
dim V , 168 Ip , 5
div(ω), div(f ), div0 (f ), div∞ (f ), 55 (if , if ), 276
Div(C), Div0 (C), 55, 56 ip (A), 370
 264
E, J (C), 56
E? , 248, 249, 254, 281, 289 J(R), J(M ), 53, 174, 395
E? , 291, 297 K(f ), 86
E(a), E(aζ ), 32, 275 k(Va ), k(C), 46, 53
Ek (ψ), 339 k(P ), 87
E(λ),E (λ), 342 Lan (ρ), 7
L(Ad(ρP )), L(Ad(ρI )), 128, 129
Eαord, E  α , 260
ord
Q Lat, Lat,  23, 71, 292
EΓ , 289
ELL, ELL(Σ) , ELLQ , ELL(p) , 226, 287 L(D), (D), 56
ET/S , 184, 187 LIE/B , 210
e, 85 Ln (s, χ), 344
L(s, f ), L(s, Ad(f )), 87, 88
e(x), 73
Lp (Ad(ρI )), 88
eQ , 337
LV (Σ) , 287
FI , 87
(l), 340
F, Fc , f, f , 337, 370
logp (p), 8
FY , F(p) , FΓ , 282
M? , 244, 249, 254
f, 313
Max(R), 50
f∗ F , f ∗ G, 160, 162
Mm , 259
f −1 (Y  ), 150
“N ν ”, 262
G, 299  368
O,
G(Γ0 (N ), χ; I), 328
O(a), 274
G1 , GI , 280
OGm ,1 , 15
G1 , 304, 310 On , 343
1
GΓ (Z[ 6N ]), 250 OV,P , OC,P , O C,P , 47, 65, 66
Ga , G  a , 152, 190, 206
O(X), 149, 158
Gm , G m , 190, 208 [P ], 55
Gk (N ; B), Gk (Γ ; B), 26, 250 ℘, 63, 67
Gk (Γ0 (N ), ψ; B), 250  314
℘,
Gk (Γ1 (N ); Tp ), 323 ℘? , ℘? , 234, 245, 254
GLX , 190 P ψ, 337, 338
Gord
k (Γ1 (N ); R), 323 Pn , 51
GSCH/B , 193 Pic(C), 56
g(C), 57, 66 P rojS (A), 170
H, h, Hψ1 , hψ1 , 85, 86, 330 “pν ”, 265
H, 72, 248 pALG/Wm , 260
HA (I), 91 [Q]Γ , Q, 353, 354
H(E, ω), 256 Q(f ), 86
Hk (I), 90 QS(X), 162
 Symbol Index 439

R, 354 U (l), U (p), 246, 326

RΓ1 (N) , 240, 244 V , VK , 405
ResF /Q G, ResR /R H, 192 V12 , 412
r(E), 237 V, VΓ , VΓ ,V (Γ ; W ), 312, 313
r(P ), 87 Vord , 323
rz , rx , 302 Vr (I), VA (I), 90, 117
S(Γ0 (N ), χ; I), 328 V nfl , 218
SA , 150 Vm,0 , 260
SCH/B , SET S, 225 vm , 282
ShΓ , Sh, Sh(p) , 281, 298 Wm , 259
Shord = Sh(p) [ H 1
], 300 X, X+ , 286, 290
1
Sm = Mm [ E ], S∞ , 259 X12 , X 12 , 412
SpecB , Spf B , 150, 205 X(N )ζN , 254
S(Sτ ), Sτ , 171, 172, 200 X0 (N ), X1 (N ), 250
Sk (Γ1 (N ); B) Sk (Γ0 (N ), χ; B), 255 X∗ (Gm ⊗Z L), 190
S(Sf ppf ), 200 x(a), 276
s, 370 xOn , 343
T , T, T × , 368 (x, a; y, b), 368
Tate(q), 25, 251 Y12 , Y12 , 412
T (l), T (n), 85, 246, 329 Y (N, Γ ), YΓ,ζ , Y (Γ ), 281, 297
Tl E, 9, 242 Y (N )ζN , 254
TM , 335 Y1 (N ), Y0 (N ), 248, 249
TP , 47 Y nfi , 222
(p)
Tp , 322 Yζ , 281
TX/Y , 167 Z, 370
Tz , Tx , 301, 302 Z(1) 
 × , Z(1), 281, 290
tE/R , 266 [z, g], 285, 404
Statement Index

(∞), 306 (G0–4), 25, 26

(Ω1), (Ω2), 275 (G0 ), (G0 ), 74
(G3), 251
(A), 412 (Gal), 103
(Abel), 229 (gn), 307
(A1–2), 305 (H), 355
(B), 412 (I), 127
(b), 86 (I1–3), 274
(bd), 107 (K), 37
(BT), 104 (L1–3), 403
(C), 117 (N0–3), 406
(C1-3), 182 (O), 117
(Ct1-3), 147 (PV), 337
(cf1–3), 151, 152 (pl), 337
(cm), 306 (pv1–2), 366
(cm1–4), 103 (Q1–2), 29
(ct), 337 (q0–3), 30, 31
(DE), 412 (S), 398
(Dist1–2), 15 (S1–4), 398
(d1–3), 330 (Sh), 33
(E), 171 (SS1–3), 397
(Ex), 132 (s1–2), 171
(E1-3), 226 (s), 26, 30
(e1–3), 173, 174 (sp), 337
(F), 171 (T1–3), 171
(F1–3), 151 (U), 13
(f1–3), 182 (UL), 14
(G), 305 (V), 127
(G0-2), 245 (V0–3), 30
(G0–3), 68, 72, 73 (Z), 171

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 441

in Mathematics, DOI 10.1007/978-1-4614-6657-4,
© Springer Science+Business Media New York 2013
Subject Index

Abelian scheme/variety, 198 full sub-, 148

associated with Hecke eigenform, 111 Galois, 182
conductor of, 113 sub-, 148
F -simple, 109 Character,
of GL(2)-type, 109 anticyclotomic, 333
ordinary, 109 branch, 130
supersingular, 110 co-, 190
Affine conductor of, 333
formal scheme, 205 cyclotomic, 333
group scheme, 189 dual Hecke, 371
morphism, 161 Hecke, 131, 335, 371
ring, 3 nearly ordinary, 124
scheme, 150 Neben, Nebentypus, 84
Algebra Closure
bi-, 193 Galois, 175
division, 398 reflexive, 106
dual bi-, 193 CM
étale, 154 component, 87
finitely presented, 153 complex multiplication, 71
Hecke, 85, 330 elliptic curve, 71
Hopf, 193 family, 121
Iwasawa, 85 field, 94, 95
Lie, 396 p-adic . . . type, 112
of finite type, 152, 153 period, 334, 335
Analytic point, 33, 276, 301
L-invariant, 7 type, 111
family of Galois representations, 87 Co-
family of modular forms, 87 character, 190
Avatar identity, 193
p-adic, 41, 131, 336, 371 inverse, 193
multiplication, 193
Category, Completion
fiber, 226 adic, 66

H. Hida, Elliptic Curves and Arithmetic Invariants, Springer Monographs 443

in Mathematics, DOI 10.1007/978-1-4614-6657-4,
© Springer Science+Business Media New York 2013
444 Subject Index

formal, 207 Degree

Component divisor, 54, 228
abelian, 87 homogeneous, 169
CM, 87 of a morphism, 228, 230
cuspidal, 87 Derivation, 48
Eisenstein, 87 Differential
geometrically connected, 198 divisor of, 55
irreducible, 45, 161 invariant . . . operator, 33
neutral, 281 k-, 48
Conductor meromorphic, 55
of abelian variety, 113 Néron, 275
of character, 333 nowhere vanishing, 59, 66
of compatible system, 111 of morphism of algebraic groups, 399
of order, 274 p-adic invariant . . . operator, 36
Congruence sheaf of . . . forms, 166
criterion, 88 Dimension
number, 89 Krull, 173
Conjecture of variety, 168
Hasse–Weil, 93 Divisor,
Weil, 93 canonical, 57
Coordinate degree of, 55, 228
Serre–Tate, 266 group, 54
Correspondence of differential, 55
Hecke, 136 of function, 55
Covering Dual
open, 158 bialgebra, 193
open formal, 207 Cartier, 196, 197
universal, 69 Hecke character, 371
Critical
L-value, 7 Eisenstein
Curve, 168 component, 87
CM elliptic, 71 series, 132
elliptic, 226 Elliptic curve, 226
genus of, 57, 66 CM, 71
Igusa, 260 ordinary, 237
Jacobian, 56 supersingular, 237
normal plane, 50 Tate, 25
ordinary elliptic, 237 Endomorphism
plane, 44 central, 136
projective plane k-, 52 Equation
supersingular elliptic, 237 Weierstrass, 60
Tate, 25, 251 Equivalence
Cusp, 97 algebraic, 56
form, 26, 255 anti-, 197
p-adic . . . form, 313 linear, 56
p-, 98
Deformation twist, 109
functor, 209 Expansion
Galois . . . functor, 124 q-, 74
 Subject Index 445

q-expansion principle, 30, 312, 313 fibered product, 150

t-, 134 fully faithful, 150
Extension fundamental, 183
anticyclotomic, 131 Galois deformation, 124
field . . . of finite type, 179 intersection, 150
fppf, 199 left exact, 153, 182
tamely ramified, 96 local, 158, 161, 166
Zp -, 130 local formal, 207
open formal sub-, 207
Factor open sub-, 157
modification factor, 6 Picard, 229
Family, pullback, 150
CM, 103 representable, 180, 237, 245
of Galois representations, 87 right-derived, 172
of modular forms, 87 right exact, 182
p-adic analytic, 87, 328 sub-, 150
Fiber, 166
category, 226 Group,
-ed product, 150 Barsotti–Tate, 200
-ed product of scheme, 155, 157 character, cocharacter, 190
of a morphism, 166 connected smooth formal, 210
Field diagonalizable, 195
arithmetic modular function, 282 divisor, 55
CM, 94, 95 formal additive, 206
extension of finite type, 179 formal . . . of E, 30
Hecke, 86 formal multiplicative, 208
perfect, 59 formal Lie, 210
rational function, 46, 53 fundamental . . . of (C, F ), 183
residue, 86 GL(2)-type Barsotti–Tate, 215
totally real, 95 locally free, 195
Formula maximal at p, 293
eigenvalue formula, 104 multiplicative, 190
Function neat sub-, 288
adjoint L-, 88 ordinary Barsotti–Tate, 202
divisor of, 55 orthogonal, 191
field, 46 p-divisible, 200
p-adic adjoint L-, 88 Picard, 56
Ramanujan’s Δ-, 60 scheme, 189
rational, 11, 46 symplectic, 191
rational . . . field, 53 topological fundamental, 69
Weierstrass ℘-, 71
Functor, 148 Hecke
Albanese functoriality, 230 action, 136
closed formal sub-, 207 algebra, 85, 330
closed sub-, 157 character, 131, 335, 371
covariant, 148 correspondence, 136
contravariant, 148 eigenform, 85
deformation, 209 field, 86
exact, 182 operator, 85, 246
446 Subject Index

ordinary part of the . . . algebra, 85 nonfinite, 222

stable subvariety, 405 nonflat, 218, 219
Logarithm
Ideal Iwasawa, 8
annihilator, 162
locally principal, 275 Map
proper, 274 rational, 217
Igusa regular, 45
curve, 260 relative Frobenius, 256
tower, 304 Modular form, 68
Invariant cusp form, 26, 255
analytic L-invariant, 7 Hecke eigenform, 85
differential operator, 33 Λ-adic form, 328
Greenberg’s L-, 128 ordinary/nonordinary form, 86
Hasse, 256 p-adic analytic family of, 328
I-adic L-, 129 p-adic cusp form, 313
λ-, 4 slope of, 85
μ-, 4, 130 Module
p-adic . . . differential operator, 36 absolutely irreducible, 396
Irreducible/Irreducibility, 45, 46, 161 completely reducible, 397
component, 45 functorial, 194
geometric, 45 irreducible, 396
module, 396 projective, 275
of a projective curve, 65 relative cotangent, 66
scheme, 162 schematic, 194
Isogeny, 287 semisimple, 397
prime-to-p, 293 Tate, 9, 242
Iwasawa Tate . . . prime-to-Σ, 287
algebra, 85 Moduli,
logarithm, 8 coarse, 237, 245
μ- and λ-invariant, 4, 130 fine, 237
scheme, 245
Lemma Morphism, 149
Nakayama’s, 396 absolute Frobenius endo-, 256
rigidity, 140 affine, 161
Schur’s, 399 base change, 171
Yoneda’s, 46, 157 B-, 151, 168
Level structure, 25, 288 degree of, 228, 230
Γ -structure, 288 epi-, 180
full, 287 étale, 154, 155, 168
L-function faithfully flat, 153
adjoint, 88 fiber of, 166
p-adic adjoint, 88 finite, 153, 163
Lift finitely presented, 153, 171
canonical, 272 flat, 153
Line local homo-, 208
bundle, 162 mono-, 180
tangent, 47 of finite type, 153, 163
Locus of functors, 45
 Subject Index 447

projective, 170 p-adic CM, 335

proper, 159, 163 Plane
quasi-compact, 159, 202 curve, 44
quasi-finite, 163 normal . . . curve, 50
quasi-projective, 170 projective . . . k-curve, 52
regular, 173 upper half-complex, 248
relative Frobenius, 256 Point
separable, 188 arithmetic, 87
separated, 159 CM, 33, 276, 301
smooth, 47, 66, 153, 168 geometric, 160, 248
strict epi-, 181 maximal, 65, 160
structure, 160 rational, 151
Polynomial
Neighborhood isobaric, 68
simply connected, 69 Principle
Number boundedness, 86
congruence, 89 q-expansion, 30, 312, 313
Weil l-, 92 geometric, 2
limit, 31
Object, rigidity, 130
connected, 183 Product
final, 180 contracted, 181
fundamental pro-, 184 direct, 180
initial, 180 fibered, 150, 155, 157, 181
test, 25, 29, 277, 289, 322 Projector/Projection
Operator ordinary, 85
degeneracy, 303 p-torsion-free, 9
diamond, 246 Push-out, 181
Hecke, 85, 246
Hecke operator for Gm , 13 Quotient
invariant differential, 32 categorical, 181
p-adic invariant differential, 35 maximal étale, 237
Order, 274
conductor of, 274 Radical, 395
of a field, 274 Jacobson, 174
Regulator, v
p-adic, Rank
avatar, 41, 131, 336, 371 p-rank, 203, 237
CM period, 335 Rational function, 46
CM type, 112 field, 46, 53
invariant differential operator, 35 of Gm , 11
ring, 328 Reduction
Pairing potentially good, 110
Weil, 236 split multiplicative, 78
Parameter Representation,
adapted to a differential, 61 p-distinguished, 124
Path, 69, 186 Steinberg, 94
Period symmetric nth tensor, 106
Archimedean CM, 334 unramified, 5
448 Subject Index

Residue, sheafication, 149, 172

field, 86 stalk, 11, 160
Restriction structure, 161
Weil, 192 support of, 162
Ring tangent, 167
affine, 3 Site
catenary, 173 small τ -, 171
excellent, 173 Slope
local, 47, 65 of eigenform, 85
p-adic, 328 Smooth, 66
regular, 173 at P , 47
semilocal, 174 Space
universally catenary, 173 projective, 51
tangent/cotangent, 48
Scheme, 158, 168 Spectrum
abelian, 198 relative, 161
affine, 150 Stalk
affine formal, 205 of a sheaf, 11, 160
base change, 171 Structure
equidimensional, 168 full level, 287
fibered product, 155, 157 level, 25, 288
formal, 207 level-Γ , 288
geometrically connected, 198 morphism, 160
group, 189 sheaf, 160
irreducible, 162 Sum
locally noetherian, 163 direct, 180
moduli, 245 fibered, 181
morphism of, 168 Gauss, 17, 340
noetherian, 163 local Gauss, 371
open sub-, 156 System
ordinary abelian, 110 compatible, 5, 87
Picard, 229 conductor of a compatible, 111
reduced scheme, 161
relative projective, 170 Tangent
separable, 188 cotangent space, 48
Sequence line, 47
exact, 181 relative cotangent module, 66
long exact, 172 sheaf, 167
Sheaf, 160 space, 48
abelian fppf, 200 Test
coherent, 162 object 25, 29, 277, 289, 322
direct image, 160 Theorem
f ppf , 200 Abel’s, 58
inverse image, 162 Bézout’s, 55
invertible, 162 Drinfeld’s, 262
of differential forms, 166 of Faltings–Zarhin,
p-divisible abelian fppf, 200 Galois’, 175
pre-, 160 Hasse’s, 232
quasi-coherent, 162 horizontal, 91,
 Subject Index 449

linear independence, 134 Tate, 6

Mahler’s, 39 Type
Riemann–Roch’s, 57 CM, 111
Serre–Tate’s, 263, 266 GL(2)-, 109, 215
Steinitz’s, 105 ∞-,p-, 336
Tate’s, 78 p-adic CM, 112
vertical, 117
vertical control, 327 Value,
of Wedderburn, 398 critical L-, 7
Weierstrass’, 72 Variety
Zariski’s connectedness, 221 abelian . . . associated to Hecke
Zariski’s main, 221 eigenform, 112
algebraic, 168
Topology
equidimensional, 168
τ -, 171
dimension of, 168
(et), 171
Hecke stable, 405
(f ppf ), 171
Jacobian, 56
Krull, 176
locally linear, 403
(Zar), 171
normal, 168
Zariski, 146, 155
weakly locally linear, 404
Torus
formal, 210 Weight
formal sub-, 210 of compatible system, 5
split, 190 Weil,
Transform/Transformation pairing, 236
natural . . . of functors, 45 restriction, 192
partial Fourier, 337, 339, 366, 368
Twist Zero
equivalence, 110 exceptional, 8, 122