Lecture Notes in Mathematics

A collection of informal reports and seminars

Edited by A. Dold, Heidelberg and 6. Eckmann, Zurich

Series: Forschungsinstitut f i r Mathematik, ETH, Zurich . Adviser: K. Chandrasekharar

Goro Shimura
Princeton University, Princeton, New Jersey

Automorphic Functions
and Number Theory

Springer-Verlag Berlin Heidelberg New York

 Preface

These notes a r e based on l e c t u r e s which I gave a t the

Forschungsinstitut f a r Mathematik, Eidgenossische Technische
Hochschule, Ziirich in July 1967. I have attempted to make a
s h o r t comprehensible account of the l a t e s t r e s u l t s in the field,
together with an exposition of the m a t e r i a l of an e l e m e n t a r y nature.
No detailed proofs a r e given, but t h e r e i s a n indication of b a s i c ideas
involved. Occasionally even t h e definition of fundamental concepts
m a y b e somewhat vague. I hope that this procedure will not bother
the r e a d e r . Some r e f e r e n c e s a r e collected in the final section in
o r d e r to overcome these shortcomings. The r e a d e r will be able to
find in them a m o r e complete presentation of the r e s u l t s given h e r e ,
with the exception of s o m e r e s u l t s of §lo, which I intend to d i s c u s s
in detail in a future publication.
It is m y pleasure to e x p r e s s m y thanks t o P r o f e s s o r s K.
Chandrasekharan and B. Eckmann for their i n t e r e s t in this w o r k ,
and f o r inviting m e to publish it in the Springer L e c t u r e Notes in
Mathematics. I wish a l s o acknowledge the support of the
Eidgenossische Technische Hochschule, Institute for Advanced Study,
and the National Science Foundation (NSF-GP 7444, 5803) during the
s u m m e r and f a l l of 1967.

Princeton, January 1968 G. Shimura

All rights re\crued. N o part uf this book m q be translated or reproduced in any form without wrincn permission from
Springer Veriag. 0 by Springer-Vdag Berlin. Hddelberg 1%8
.I,ibmty of Congress Catalog G r d Number 68-2>132. Printed in Germany. Title No. 7374
 Contents Notation

We denote by 2 , Q, R and C respectively the ring of rational

i n t e g e r s , the rational number field, the r e a l number field and the
1 complex number field. F o r a n associative ring Y with identity ele-
Introduction
X
ment, Y denotes the group of invertible elements in Y, M (Y) the
Automorphic functions on the upper half plane, especially modular n
r i n g of a l l m a t r i c e s of s i z e n with e n t r i e s in Y, and GLn(Y) the
functions
group of invertible elements in M (Y), i. e. , Mn(Y)X . The identity
Elliptic c u r v e s and the fundamental t h e o r e m s of the c l a s s i c a l n
element of M (Y) i s denoted by 1 and the t r a n s p o s e of a n element
t h e o r y of complex multiplication n n '
t
A of Mn(Y) by A a s usual. When Y i s commutative, SLn(Y)
Relation between the points of finite o r d e r on an elliptic curve
denotes the group of a l l elements of M (Y) of determinant 1. F o r a
and the modular functions of higher level n
Abelian v a r i e t i e s and Siege1 modular functions typographical reason, the quotient of a space S by a group G will be
denoted by S/ G, even if G a c t s on the left of S. If F i s a field
The endomorphism ring of an abelian variety; the field of moduli
and x i s a point in a n affine (resp. a projective) space, then F ( x )
of a n a b e l i a n v a r i e t y with many complex multiplications
m e a n s the field generated over F by the coordinates (resp. t h e
The c l a s s -field-theoretical c h a r a c t e r i z a t i o n of K' ( (z)).
quotients of the homogeneous coordinates) of x. If K i s a Galois
A f u r t h e r method of constructing c l a s s fields
extension of F, G(K/ F) stands f o r the Galois group of K o v e r F.
The H a s s e z e t a function of a n algebraic c u r v e
Infinite Galois extensions with l -adic representations
F u r t h e r generalization and concluding r e m a r k s
Bibliography
 1. Introduction

Our starting point i s the following t h e o r e m which was stated by

Kronecker and proved by Weber:

Theorem 1. E v e r y finite abelian extension of Q contained &

2ni/ m
a cyclotomic field Q(5)
- with a n m - t h root of unity 3 =e for-
s o m e positive integer m.

As i s immediately observed, 5 i s the special value of Qe expo-

2 niz
nential function e a t z = l/ m . One can naturally a s k the following
question:
2 niz
Find analytic functions which play a r o l e analogous to
- e

-f o-r a given algebraic number field.

Such a question was r a i s e d b y Kronecker and l a t e r taken up by
Hilbert a s the lzth of h i s famous mathematical problems. F o r an
imaginary quadratic field K, this was settled by the works of Kronecker
himself, Weber, Takagi, and Hasse. It t u r n s out that the m a x i m a l abelian
extension of K i s generated over K by the special values of c e r t a i n
elliptic functions and elliptic modular functions. A p r i m a r y purpose of
t h e s e l e c t u r e s is to indicate briefly how this r e s u l t can be generalized
f o r the number fields of higher d e g r e e , making thereby an introduction
to the theory of automorphic functions and abelian v a r i e t i e s . I will a h o
include s o m e r e s u l t s concerning the zeta function of an a l g e b r a i c curve
in the s e n s e of Hasse and Weil, since this subject i s closely connected
with the above question. F u r t h e r , it should be pointed out that the auto-
morphic functions a r e meaningful a s a m e a n s of generating not only
abelian but a l s o non-abelian algebraic extensions of a number field. and vice v e r s a . We s h a l l l a t e r d i s c u s s special values of automorphic

Some ideas in this direction will b e explained in the l a s t p a r t of the functions with r e s p e c t to r f o r an arithmetically defined l? with

lectures. compact #/r . But we f i r s t consider the m o s t c l a s s i c a l group l? =

S L (2). Since i s not compact in this c a s e , one has to impose
2 $/I'
a c e r t a i n condition on automorphic functions. It i s well known that
e v e r y point of f c a n be t r a n s f o r m e d by an element of T = SL ( 2 )
2
2. Automorphic functions on the upper half plane, into the region

e s p e c i a l l y modular functions

Let 5 denote the complex upper half plane:

No two distinct inner points of F can be t r a n s f o r m e d to each other
by a n element of T . Now $/I? c a n be compactified by adjoining a
2riz
point a t infinity. By taking e a s a local p a r a m e t e r around this
b
We l e t e v e r y e l e m e n t a = d) of GL2(R), with det ( a ) > 0 , act point, we s e e that $1 r becomes a compact Riemann s u r f a c e of
genus 0. Thus we define an automorphic function with r e s p e c t to l?
t o b e a meromorphic function on this Riemann s u r f a c e , considered a s

(2.1) a ( z ) = (az + b ) / (cz t d) a function on

/B .f.
In other w o r d s , l e t f be a r - i n v a r i a n t m e r o m o r -
6 1
phic function on For y = , we have y (z) = z t 1. Since
It i s well known t h a t the group of analytic automorphisms of ff is f (y ( 2 ) ) = f (z), we can e x p r e s s f (z) in the f o r m f (z) = Z 0 c e 27rinz
n=-w n
isomorphic to S L (R)/ { t l ). L e t r be a d i s c r e t e subgroup of with c c C. Now a n automorphic function with r e s p e c t t o r i s an
2 2 n
SL2(R). Then the quotient $ 1 ~ has a s t r u c t u r e of Riemann surface f such that c = O for a l l n < n f o r s o m e n , i. e . , meromorphic
n
such that the n a t u r a l projection $+ $/I? i s holomorphic. If
in the local p a r a m e t e r q = e
2riz
a t q = 0 . Such a function i s usually
$ /r i s compact, one can simply define an automorphic function on
called a modular function of level one. $ 1
f r e s p e c t t_o l? to be a m e r o m o r p h i c function on -$ invariant
Since is of genus 0,
a l l modular functions of level one f o r m a rational function field over C.
under the e l e m e n t s of I? . Such a function m a y be r e g a r d e d a s a
As a generator of this field, one can choose a function j such that
merornorphic function on the Riemann surface $11. in an obvious way,
 h a s one of the following two normalized f o r m s :

(i) P(z) = z t A,
Obviously the function j c a n be c h a r a c t e r i z e d by (2.2) and the
(ii) P(z) = K z ,
property of being a g e n e r a t o r of the field of a l l modular functions
of level one.
with constants h and K . This can be shown, for example, by taking

Now l e t K b e a n imaginary quadratic field, and a a frac- the Jordan f o r m of a . In the f i r s t c a s e , we call a parabolic; in
the second c a s e , a i s called elliptic, hyperbolic, o r loxodromic,
tional ideal in K. Take a b a s i s {wl, w2) of 8t over Z. Since K
is imaginary, wl/ w2 i s not r e a l . Therefore one may a s s u m e that
according a s 1K I = 1, K r e a l , o r otherwise. In this classification,

wI/ Y2 '$ . by exchanging w and u2 if n e c e s s a r y .

1
In this setting.
we exclude the identity transformation, which i s represented b y the
scalar matrices.
we have:
If a s GL2 (R) and d e t ( a ) > 0, a maps -f onto itself, and a
is
T h e o r e m 2. T h e maximal unramified abelian extension of K
elliptic if a h a s exactly one fixed point in
--
c a n be generated 9 j (w / w2)
1
over K. $ 8

hyperbolic if a h a s two fixed points in R U {m),

This is t h e f i r s t m a i n t h e o r e m of the c l a s s i c a l theory of c o m -
parabolic if a h a s only one fixed point in R U {m).
plex multiplication. To c o n s t r u c t ramified abelian extensions of K , No transformation in G L (R) with positive determinant i s loxodromic.
2
one needs m o d u l a r functions of higher level (see below) o r elliptic If we put
functions with p e r i o d s w w2 . Even Th. 2 c a n fully be understood
with the knowledge of elliptic functions o r elliptic c u r v e s , though such
a r e not explicitly involved in the statement. T h e r e f o r e , our next t a s k
i s to r e c a l l s o m e e l e m e n t a r y f a c t s on this subject. But before that, then i t c a n easily be verified that SO (R) i s the s e t of a l l elements 0.l
2
i t will be worth d i s c u s s i n g a few elementary facts about the fractional SL2(R) which leave the point i fixed. Therefore the map
l i n e a r t r a n s f o r m a t i o n s and discontinuous groups. \
Every a = % r GL (C) a c t s on the Riemann s p h e r e C U{m)
):
2 -1
by the rule (2.1). With a suitable element fj of GL2(C), P = S a c
gives a diffeomorphism of the quotient SL2 (R)/ Slb2 (R)onto # . (Here note that if f s a t i s f i e s (i), then f(p(z)) i s invariant under

It i s a fruitful idea to r e g a r d $. a s such a quotient. But I shall not z Hz + 1, hence f(p(z)) i s always meromorphic a t l e a s t in the

pursue this view point, f r o m which one can actually s t a r t investi-

domain O < ( q[ < r for some r > 0 ) .
gation in various directions. Let 9 b e the join of # and a l l the cusps of I? . Then J?

We s e e easily that a differential f o r m

a c t s on 9. One can define a s t r u c t u r e of Riemann surface on
fj*/rby taking 2 z ] a s a local p a r a m e t e r around the
-2 point s . (Actually the proof of the fact that
Y dxAdy (z = x t iy)
-%
*/I? i s a Hausdorff
space i s not difficult, but non-trivial. ) Then an automorphic function

on is invariant under SL2 (R). Therefore we can introduce an with r e s p e c t to r , defined above, i s nothing e l s e than a meromorphic

invariant m e a s u r e on # by means of this form. function on the Riemann s u r f a c e PIT,

regarded a s a function on
To speak of a n automorphic function for a r with non-compact -f . The above discussion about SL ( Z ) i s a special c a s e of these
2
facts. Now the following facts a r e known:
1 , we have to introduce the notion of cusp. Let J? be a d i s c r e t e
subgroup of SL2(R). We c a l l a point s of R U { m ) a=of J? if Proposition 1. j'/r -
i s compact if and only if d/r -has

there e x i s t s a parabolic element y of I7 leaving s fixed. Let --

a finite m e a s u r e with r e s p e c t t o the above invariant m e a s u r e .
Proposition 2. Suppose that
$/r has a finite m e a s u r e .

-
Then
I i s compact if and only if I' has no parabolic element.

As for elliptic elements, the following proposition holds :

Then one c a n find an element p of S L2 (R) s o that p(w) = s , and Proposition 3. k t r &a point of -$ fixed 9 an e c element
PTsp
-1
i s generated by (1O i) and possibly by -I2 . Then we define -
of r. -
Let = a az =z . -
Then Tz 2 a cyclic group of
an automorphic function on #. w x respect 2 r to be a meromorphic --
finite order. 6
function on -# satisfying the following two conditions:
Such a point z i s called a n elliptic point of I?, and the o r d e r
(i) f ( y ( z ) )= f ( z ) f o r a l l y e r . of r z .{+12}/ {+12} is called the o r d e r of the point z (with r e s p e c t
(ii) Lf s g
a cusp of I? a n d p k a s above, then f(p(z)) ka t o I?). Two elliptic points or cusps a r e called equivalent if they a r e
2riz
i z _n neighborhood o_f q = 0.
meromorphic function in q = e transformed to each other by elements of I?. If - f / r is of finite
 periods in L i s a m e r o m o r p h i c function on C invariant under the
m e a s u r e , t h e r e a r e only a finite number of inequivalent elliptic
points and c u s p s , and the following f o r m u l a holds: translation u u +w for every w t L. Define complex numbers
g2, g3 and meromorphic functions P(u) and 8. (u) on C by

H e r e g i s the genus of p / r ; h i s the number of inequivalent

c u s p s ; C Z i s the s u m extended over a l l inequivalent elliptic points;

e is the o r d e r of z. F o r r = S L 2 ( Z ) , one h a s g = 0, h = 1, e Z =
2 o r 3 according a s z = c
l o r z = (-1 + c 3 ) / 2.
F o r e v e r y positive integer N, set
where C denotes the s u m extended over a l l n o n - z e r o w in L.

I'm) = { a c S ~ ~ (1 za) r l2 mod N. M ~ ( z ) ) . Then it is well-known that

An automorphic function with r e s p e c t to I'm) i s called a modular

---
function of l e v e l N.
(3. 3) The field of a l l elliptic functions with periods in L coincides
-
-
with C ( 9 , ), the field g e n e r a t e d b~ P -
and $g E r C.

Now l e t E be the algebraic curve defined b y

3. Elliptic c u r v e s and the fundamental t h e o r e m s
of the c l a s s i c a l theory of complex multiplication

L e t L b e a l a t t i c e in the complex plane, i. e . , a f r e e

H e r e we consider E a s the s e t of a l l points (x. y) satisfying (3.4)
Z - submodule of C of r a n k 2 which i s d i s c r e t e . Then C / L i s a '

An elliptic function with

with x, y in C , together with a point (w,a!. Then the m a p
compact Riemann s u r f a c e of genus one.
 A. L C L. Let End(E) denote the ring of all such endomorphisms. It
can easily be proved that End(E) i s isomorphic to Z unless
gives a holomorphic isomorphism of C / L onto E in the sense of Q(w / w ) i s a n imaginary quadratic field. Assume that Q(w / w ) is
21 2 1 2
complex manifold. It is a l s o known that any elliptic curve (i. e . an imaginary quadratic, and put K = Q(w / ). Then End(E) i s iso-
1 ' 2
algebraic curve of genus one) defined over C i s isomorphic to a morphic to a subring of the ring 0' of a l l algebraic integers in K ,
curve of this type, and hence t o a complex torus. which generates K. In this c a s e we say that E has complex multi-
Take a b a s i s {ul, w ) of L over 2. We may a s s u m e that
2
plications. In particular, if L = Zwl + Zw2 i s an ideal in K , End(E)
w 1/ u 2 f
, Then one c a n easily show that i s isomorphic to Q . P u t jo = j(wl/ %). F o r a given L (or wl, w2),
one can find the equation (3. 4) s o that g2 and g3 a r e contained in
Q(j ). Moreover j i s a n algebraic number if E has complex multi-
0
plications.
defines a one-to-one correspondence between $11. & a l l the iso- Now write E a s E(&) if L = DL for an ideal 6t in K.
m o r p h i s m - c l a s s e s of elliptic c u r v e s . F u r t h e r m o r e we have an We choose the equation f o r E(8L ) s o that g 2 , g3 c Q(jo). Suppose
important relation we could somehow prove that K(j ) i s an abelian extension of K.
(Anyway this i s not the m o s t difficult point of the theory. ) Take a
p r i m e ideal J7/ in K u n r a m i f i e d i n K ( j ), andlet a = [T , KGo)/K]
(= the Frobenius automorphism of KG ) over K f o r 2 ). Then g2
One should note that the right hand side can be obtained purely a l - and g3 a r e meaningful. Therefore we can define an elliptic c u r v e
gebraically f r o m the defining equation (3. 4) for E, while the l e f t E(@L)O by
i s defined analytically. This coincidence of an algebraic object with
an analytic object h a s a deep meaning, though we know, f r o m (3. l ) ,
that g2 and g depend analytically on wl and w2 . We call the
3
number e x p r e s s e d by ( 3 . 5 ) the invariant o_f E. Two elliptic curves Then one has a fundamental relation:
have the s a m e invariant if and only if they a r e isomorphic.
Let us now observe that any holomorphic endomorphism of E =
C /L i s obtained by u H Xu with a complex number X satisfying
If we denote by j ( a) the invariant of E(& ), then (3.6) i s equi- The answer is affirmative but not unique. It may be said that the
valent to world of mathematics is built with a g r e a t harmony but not always
in the f o r m which \r*e expect before unveiling it. This certainly
applies to our present question. I s h a l l , however, f i r s t present a
comparatively simple answer which consists of the following t h r e e
F r o m the relation (3.6) o r (3.7), one c a n easily derive Th. 2 objects:
and a l s o the r e c i p r o c i t y law in the extension KGo) of K. H e r e I do (A1) abelian variety,
not go into d e t a i l of the proof of (3. 6), but would like to call the r e a d e r 1s (B' ) Siege1 modular function,
attention t o the following point: Although no elliptic curves appear in (C1) totally imaginary quadratic extension of a totally r e a l
Th. 2 , they conceal themselves in it through the above (3.6) and the algebraic number field.
following f a c t s .
At l e a s t this will include the above r e s u l t concerning elliptic c u r v e s

2 a s a special case. A different type of theory, which I feel r a t h e r un-

(3.8) -
The quotient $/I? in o n e - 5 - 0 2 correspondence with all
t h e i s o m o r p h i s m c l a s s e s of elliptic c u r v e s . expected, and which a l s o generalizes Th. 2, will be discussed l a t e r .

j(w 1w ) i s the invariant of an elliptic curve E isomorphic

(3. 9)
1 2 --
-
to C / (Zwl Zw2).+
(3.10) 2 Q(ul/ uZ) 2 imaginary quadratic, End@) i s non-trivial. 4. Relation between the points of finite o r d e r on
an elliptic curve and the modular functions of
L e t u s now consider the question of generalizing Theorems 1 and
higher level.
2 t o the fields of higher degree. We observe that t h e r e a r e three
objects:
Before talking about abelian v a r i e t i e s , l e t us discuss the topic
(A) elliptic c u r v e ,
given a s the title of this section. Any hasty r e a d e r may skip this
(B) modular function,
section, and come back afterward.
(C) imaginary quadratic field.
F i x a positive integer N. Observe that any point t on E
Among many possible i d e a s , one c a n take the m o s t naive one, namely
such that Nt = 0 can be expressed a s
ask whether t h e r e exist generalizations of (A), (B), (C)whose i n t e r -
relation i s s i m i l a r to that of the original ones, a s described in (3.8-10).
 Theorem 3. L e t K be a s above, and @
, an ideal in K. Take
@L L, and l e t 6 = Zw1 t Zw2 wifh wl/ w2 6 6. Suppose that
with integers a , b. Now, f o r each o r d e r e d pair (a, b ) of integers g Z ( 6t ) g 3 ( 8 L ) # 0. Then the maximal abelian extension f K i s
N
such that (a, b) ? (0, 0) mod (N), we can define a meromorphic g e n e r a t e d over K & j (wl/ w2) and the fab (wl/ w2) for a l l N, a , b ,
N
function f (z) on
ab
by # ---
with a fixed . 8L .
N
It should be observed h e r e that fab(wl/ w2) i s a special value
of an elliptic function and a special value of a modular function of
level N a s well. This coincidence will not n e c e s s a r i l y be retained
in one of our l a t e r generalizations.
where z = w / w and L = Zwl t Zw2
1 2
.
This i s possible because the We note that g
2
(a
) = 0 o r g3 (a
) = 0 according a s K =

right hand s i d e depends only on z = w / w

1 2'
Then a((-1t a)/ 2) o r K = Q ( m).
In these special c a s e s , we c a n still
hT
obtain the s a m e type of r e s u l t by modifying the definition of fLY
ab
N N suitably.
fab(z)=f z (a,b)=_(c,d)mod(N)
cd
The function field C ( i , f
N
), with a fixed N, is a Galois ex-
o r (a, b ) (-C, -d) mod (N).
ab
tension of C(j) whose Galois group i s isomorphic to r ( l ) / r ( N ) . {&12};
By a simple calculation, we can show that, for every a r SL2(Z), the l a t t e r group i s isomorphic to S L (Z/ NZ)/ (21 ). Since our purpose
2 2
i s to construct number fields by special values of functions, i t i s
meaningful to take Q, instead of C, a s the basic field. Then we
obtain:
N N
Therefore, f (2) = f (a ( 2 ) ) for a l l (a, b) if and only if a belongs
ab ab
Theorem 4.
N
Q(j, fab) i s a Galois extension o_f Q(j) whose
to ?I (N). { i J L } . It follows that j and the b:f , for a l l (a, b ) ,
Galois group i s isomorphic t o GL2(Z/ NZ)/ {f12}, and the following
generate the field of a l l modular functions of level N. Roughly speak- statements hold.
ing, the modular functions of level N c a n be obtained f r o m the in-
(i) F o r e v e r y a E G L 2 ( Z / NZ), the action of a a n element
v a r i a n t of elliptic c u r v e s and points of o r d e r N on the curves.
we have the following r e s u l t which i s an analogue of Th. 1 for an
Now
---
of the Galois group is given by fib -
f N with (c d) = (ab ) a .
cd
I-+
N
(ii) If y E S L ( Z ) , the action of y mod (N)
2
Q(j, f ) i s
ab -
imaginary quadratic field. N
obtainedh 'f'(z)rj y ( y ( z ) ) for YE
Q ( j , fab).
 N
(iii) Q(j, f ) contains 5= e 2nil N, and
a r GL2 ( Z / N Z ) 6
ab - We call such a Riemann form on Cn/ L. Take a basis
n
sends 5 2 6 det(a) {vl, . . . , v 2n ) of L over Z , and r e g a r d the elements of C a s
column vectors. Then we obtain a m a t r i x
We shall l a t e r extend this theorem to the field of automorphic
functions with r e s p e c t t o a m o r e general type of group.

of nX2n type, which may be called a p e r i o d m a t r i x for Cn/ L. De-

fine a m a t r i x P = (p..) of s i z e 2n by p.. = f * ( v i , v.). T h e n t h e
U 1J J
above a r e equivalent to the following (Ri-3):
5. Abelian v a r i e t i e s and Siege1 modular functions
i ) 'P = - P ;

A non-singular projective v a r i e t y of dimension n , defined over (R;) p.. Z;

1J
i s called a n abelian v a r i e t y if i t i s , a s a complex manifold, iso-
C,
morphic to a complex torus of dimension n.
5 ) 52p-l . = 0, & -~ ---
1 a ~ -t~I . i s a positive definite -
An elliptic curve i s
hermitian matrix.
nothing but a n abelian v a r i e t y of dimension one. We know that any
one dimensional complex t o r u s defines an elliptic c u r v e , but such The m a t r i x P (or its i n v e r s e ) i s called a principal m a t r i x of 52 .
i s not t r u e in the higher dimensional case. To explain the n e c e s s a r y Assuming these conditions, l e t A be a projective variety i s o -
n
condition, l e t L be a lattice in the n-dimensional complex vector morphic t o C / L. Shifting the law of addition of cn/L to A , we
space cn , a d i s c r e t e f r e e Z-submodule of rank 2n in C n
i. e . , . c a n define a s t r u c t u r e of commutative group on A. Then the map
n
Then the complex t o r u s C / L h a s a s t r u c t u r e of projective variety,
and hence b e c o m e s an abelian variety, if and only if t h e r e exists an A X A 3(x, y ) C , x + y E A
R-valued R-bilinear f o r m G ( x , y) on Cn with the following
properties: can be e x p r e s s e d rationally by the coordinates of x and y. This i s
'
classically known a s the addition theorem of abelian functions.
In general, a projective variety A, defined over any field of
any c h a r a c t e r i s t i c , i s called an abelian v a r i e t y , if t h e r e exist rational
mappings f : A X A -+ A and g: A --t A which define a group s t r u c -
t u r e on A by f(x, y) = x + y, g(x) = -x. Additive notation i s used since any such
group s t r u c t u r e on a projective variety can be shown to be commuta- corresponds t o such a n abelian variety. Obviously
tive. It should be observed that such a variety defined over C , As a n analogue of S L (R), we introduce a group
2
being a connected compact commutative complex Lie group, m u s t be
isomorphic to a complex torus.
If n = 1, t h e r e i s a single universal family of elliptic curves
p a r a m e t r i z e d by the point of #. If n > I, however, t h e r e a r e F o r every U = [: 1 1 6 Sp(n, R ) with a , b , c , d in Mn (R), we
infinitely many f a m i l i e s of abelian v a r i e t i e s depending on the elementary define the action of U on
divisors of P , a s shown in the Supplement below. But we s h a l l f i r s t
fix our attention to one particular family by considering only abelian
v a r i e t i e s f o r which P = J
n
. where
Put

When n > I, we can define an automorphic function with r e s p e c t to

Under t h i s assumption, l e t q and w2 be the s q u a r e m a t r i c e s of s i z e Sp(n, Z ) to be a meromorphic function on invariant under
n composed of the f i r s t and the l a s t n columns of respectively. Sp(n, Z). Fortunately, if n > 1, i t i s not n e c e s s a r y to impose any
-1
One c a n show that w i s invertible. P u t z = w u1 If we change the . f u r t h e r condition like that we needed in the c a s e n = 1. Such a
n
coordinate s y s t e m of C by w2 , we may a s s u m e that 52 i s of the function i s us'ually called a Siege1 modular function (of degree n
form and level one).
Put r = Sp(n, Z). Now one can a s k whether the quotient
fillr
i s in one-to-one correspondence with all the isomorphism c l a s s e s of
abelian v a r i e t i e s of type (5.1). This i s a l m o s t s o but not quite. To
Now it c a n be. shown (see Supplement below) that z i s s y m m e t r i c and g e t a n exact answer, we define 2n r e a l coordinate functions x (u),
1
Im(z) i s positive definite. We denote by $-- the s e t of a l l such z ... 2n
n
, x (u) (u E C ) by u =
n
xi(u)vi , and consider a cohomology
of degree n. Thus every abelian v a r i e t y , under the assumption that c l a s s c on A represented by a differential f o r m
P has the f o r m (5. l ) , c o r r e s p o n d s to a point of , though z i s
#n
not unique for a given abelian variety. Moreover, e v e r y point of
 -
and (A, c ) respectively.
~ Then the coordinates of the point (z)
belong to k, a n d ~ ( z= )Y)(zl
~ ).

of degree 2. Such a c is called a polarization of A, and the s t r u c - In (iii), we of c o u r s e consider A a s a projective variety de-
t u r e (A, c ) f o r m e d by A and i t s polarization c i s called a p o l a r i z e d fined by s o m e homogeneous equations. Now one can prove that the
abelian variety. T&n f n r e p r e s e n t s a11 the isomorphism c l a s s e s cohomology c l a s s c i s r e p r e s e n t e d by a divisor on A (i. e. an (n - 1)-

-of polarized abelian v a r i e t i e s of type (5. l ) , the isomorphism being de- dimensional algebraic s u b s e t of A). If the defining equations f o r A
fined in a n a t u r a l way. and such a divisor have coefficients in a field k , we s a y that (A, c )
O u r next question i s about the existence of s o m e functions s i m i l a r i s defined over k. If o i s a s in (iii), the t r a n s f o r m s of the equations
to j and the analogue of (3.5). F i r s t one should note that t h e r e e x i s t s by o define an abelian v a r i e t y together with a d i v i s o r , which t u r n s out

--
a Z a r i s k i open s u b s e t V o_f 5 projective v a r i e t y V* and a holomorphic to be a polarized abelian v a r i e t y of type (5. l ) , which we write a s (A, cIa .
mapping of fn into V which induces a biregular isomorphism of We can actually prove a s t r o n g e r statement than (iii), which i s roughly
$n/r Onto V. T h i s was proved by W. L. Baily using the Satake a s follows:
compatification of I . We c a l l such a couple (V, y) a model (iv) If (A' , c 1) 2 specialization of (A, c ) o v e r Q, z'
for Sn/r. This is-not sufficient f o r our purpose. In f a c t , in the corresponds 2 (A' , c ' ), then ((A1, c 1), (zl )) specialization
c a s e n = 1, the function (aj + p)/(yj + 6) plays a r o l e of ? for -
of ((A, c ) , cf(z)) over Q.
F o r details we r e f e r the r e a d e r to the paper [ZO] in $12.
any [: GL2(C). Of c o u r s e one can not r e p l a c e j b y such a
Thus plays a r o l e s i m i l a r to j. It i s analytic on f n , and
function in Th. 2. F u r t h e r m o r e , we would like t o have an analogue of
a t the s a m e t i m e , it i s a rational expression of the coefficients of defin-
(3.5). T h e r e f o r e a f u r t h e r refinement i s n e c e s s a r y , and can be given
ing equations f o r (A, c ) , a s explained in (iii). F r o m (i) it follows that
a s follows:
the coordinates of y ( z ) generate the whole field of Siege1 modular
T h e o r e m 5. T h e r e e x i s t s a couple (V, ) with the following
functions of degree n. The couple (V, y) c a n b e c h a r a c t e r i z e d by
properties:
these p r o p e r t i e s (i, i i , iii). Namely, if (V' , cj?') i s another couple
(i) (V, y) i s a model for
fnfr . with the s a m e p r o p e r t i e s , t h e r e e x i s t s a biregular isomorphism f of
(ii) V is.defined over Q.
V onto V' defined over Q such that y' =f 0 (o . Moreover, from
(iji) k t (A, c ) a polarized abelian v a r i e t y with a P of type
(iii), we s e e that the field Q ( 'f'(z)) has an invariant meaning f o r the
(5. l ) , defined over a subfield k f C, and a & isomorphism of k

-
into C. L e t z and z' be points on fn corresponding t_o (A, c )
isomorphism c l a s s of (A, c ) . We c a l l i t the field of moduli of (A, c ) . T h e r e f o r e , to discuss 52 satisfying (Ri-3), we may assume
Actually we c a n prove a l l these things without assuming P = J
n
. r0 -el
with e a s in the above lemma. Let Y p be
F o r each choice of P (or r a t h e r f o r a choice of elementary divisors thatP=Le ol
of P ) , one obtains a group r (see Supplement below) acting on
%n
the space of a l l such 51, and l e t
P
and a couple (Vp , yp) with the properties (i, ii, iii) modified
suitably. F u r t h e r , by considering the points of finite o r d e r on the
abelian v a r i e t i e s , one c a n generate the field of automorphic functions
with r e s p e c t t o congruence subgroups of Sp(n, Z ) ; one then obtains
a theorem analogous to Th. 4.
The next thing t o do i s the investigation of special m e m b e r s of In particular G
P
= Sp(n, R) if e = 1
n
. If 52 c Yp and U r G
P '
our family of abelian v a r i e t i e s , analogous t o elliptic c u r v e s with com- t
then a U r Yp . ObviouslyB J B = P, hence BG B-I = Sp(n, R).
n P
plex multiplications. This will be done in s6.
Now write = (v v l ) with two elements v and v' of Mn(C). Then,
Supplement t_o s5. To d i s c u s s the families of abelian v a r i e t i e s
from (R;), we s e e easily that
of a m o r e g e n e r a l type, for which P i s not n e c e s s a r i l y of the f o r m
(5. l ) , f i r s t we r e c a l l a well known

Lemma. L A P b_e invertible alternating m a t r i x of s i z e 2n

---
with e n t r i e s in 2. Then t h e r e e x i s t s an element U of GL
2n
(Z) e l . - ve -1 . t-v ' ) i s positive definite.

-
that
The l a s t fact implies that v and v1 a r e invertible. F r o m these
relations i t follows that e v l -'v i s s y m m e t r i c and has a positive
definite imaginary p a r t , i. e. , ev' - l v r
n
.
If z $n and U =[: t] r Sp(n, R ) , then (z ln)U r Y
Jn'
hence by the above r e s u l t , (z ln)U = A(w
ln) with A r M (C) and
n
-
= 0 mod
w t $n . Then one obtains w = (az t b ) ( c z t d)
- 1 This shows .
that
--
where the e
i -
a r e positive integers satisfying eitl (ei).
the action of U on can actually be defined. Since the action
-fn
 In g e n e r a l , two d i v i s o r s X and Y a r e called algebraically
of U-I c a n b e defined, U gives a holomorphic automorphism of
equivalent, if t h e r e exist a divisor W and i t s specializations W
Now s e t 1
and W2 over an algebraically closed field such that X - Y = W - W
1 -2
If t h e universal domain i s C , then the algebraic equivalence of di-
v i s o r s coincides with the homological equivalence. Moreover, if a

It c a n e a s i l y be s e e n t h a t rp i s a d i s c r e t e subgroup of Sp(n,R). Then divisor X r e p r e s e n t s the cohomology c l a s s c obtained f r o m a

fn/Fp r e p r e s e n t s a l l the isomorphism c l a s s e s of p o l a r i z e d abelian Riemann f o r m , then 3X i s ample. E v e r y abelian v a r i e t y , defined

over a field of any c h a r a c t e r i s t i c , h a s a polarization, since i t always
v a r i e t i e s with principal m a t r i x P.
The notion of polarization can a l s o be defined in the c a s e of h a s a n ample divisor.

positive c h a r a c t e r i s t i c . Given a n abelian v a r i e t y A defined over a Now a polarized abelian variety i s a couple (A, X ) formed by
field of any c h a r a c t e r i s t i c , and given a divisor X on A, l e t L be a n abelian v a r i e t y A and a polarization of A. This definition
the l i n e a r s p a c e of a l l r a t i o n a l functions on A whose poles a r e con- i s equivalent to the previous one, if the universal domain i s C. An

tained in X (even with multiplicities). Take a b a s i s {fo, fl, . . . , fN) i s o m o r p h i s m of A of A' i s called an isomorphism of (A, x ) to

of L over k, and consider the m a p (A', xt) if it sends to X I . For a given (A, x),we can
prove that t h e r e e x i s t s a field k with the following p r o p e r t i e s :
0

A 3 x (fo(x), . . . , fN ( x ) )projective
~ N-space. (i) If (A, x) i s defined over k,
-
then k i s contained & k.
-
0
(ii) F o r a n isomorphism o of k into the universal domain,

We c a l l X ample if this i s a b i r e g u l a r embedding of A into the (nu. EO) 5 isomorphic f_o (A, X) if and only if
-- o i s the identity

projective space. Now a polarization of A i s a s e t of d i v i s o r s mappins on k - .

on A satisfying the following conditions: If the universal domain i s C , k i s uniquely determined by the

(1) contains a n ample divisor. i s o m o r p h i s m c l a s s of (A, x), and is called the field of moduli of
(2) _II X X' belong to , then t h e r e a r e two positive (A, XI. This of c o u r s e coincides with Q ( Y, ( 2 ) ) in the special case

integers m mt such that mX & m ' X t a r e algebraically P = J n .

equivalent. .
(3) 5 m a x i m a l s e t satisfying the above two conditions.
 6. The endomorphism-ring of a n abelian variety; L e t k be a field of definition f o r A and the elements of End(A),
the field of moduli of a n abelian v a r i e t y and l e t D b e the vector space of a l l l i n e a r invariant differential forms

with many complex multiplications on A, defined over k. If zl, . . . , zn a r e the complex coordinate
n
functions in C , then d zl, . . . , dzn a r e considered a s invariant dif-
F o r an abelian v a r i e t y A, we denote by End(A) the ring of f e r e n t i a l f o r m s on A, and one has
a l l holomorphic endomorphisms of A. If A i s isomorphic to a
complex t o r u s Cn/ L , e v e r y endomorphism of A c o r r e s p o n d s to
a n e l e m e n t T of M (C), r e g a r d e d a s a C-linear transformation
n
on Cn , satisfying T (L) C
L. T h e r e f o r e End(A) i s a f r e e Z-module Now e v e r y A E
*
End(A) a c t s on D a s usual; denote the action by A*.

of finite rank. L e t End

Q
(A) = End(A) 8 =Q,
and W = Q. L. Then W i s Then X H < can be extended to an anti-isomorphism of End
Q
(A)
n
a vector s p a c e o v e r Q of dimension 2n, which spans C over R, and into the ring of linear transformations in D. F r o m the relation (6. l ) ,
End (A) i s isomorphic to the ring we obtain
Q
--
(6. 2) This anti-isomorphism equivalent to the t r a n s p o s e of t h e
complex representation o_f End (A).
Q
Let b e a Riemann f o r m on cn/L. For every T E End
Q
(A),
F o r each e l e m e n t of End (A), consider the corresponding element T
Q one can define a n element T~ of EndQ(A) by
of Mn(C). Then we g e t a faithful r e p r e s e n t a t i o n of End (A) by complex
Q
m a t r i c e s of s i z e n , which we c a l l the complex r e p r e s e n t a t i o n of End (A).
Q
On t h e other hand, with r e s p e c t t o a b a s i s of W over Q (for example,
{vl,. . . , v 2n ) c o n s i d e r e d i n s5), we obtain a r e p r e s e n t a t i o n of End
Q
(A)
H e r e we identify an element of End (A) with the corresponding element
by rational m a t r i c e s of d e g r e e 2n, which we c a l l the rational r e p r e - Q
of M n ( C ) Then p $ a positive involutinn o_f EndQ(A). In g e n e r a l ,
sentation of End
Q
(A). As an e a s y e x e r c i s e of l i n e a r a l g e b r a , one c a n
a n involution of an associative a l g e b r a S over Q (or R ) i s , by
prove :
definition, a one-to-one m a p p of S onto S such that
L e m m a . , The rational r e p r e s e n t a t i o n f End (A) equivalent
Q
to the d i r e c t s u m of the complex r e p r e s e n t a t i o n of
------ End (A) and i t s
Q
complex conjugate.
 to s e e that the direct factors of F 8 R a r e a l l r e a l , i. e. , F i s
Q
totally r e a l . F u r t h e r , if [K : F ] = 2, the d i r e c t f a c t o r s of K @ R
Q
a r e a l l C, i. e . , K i s totally imaginary.
Conversely, l e t F be a totally r e a l algebraic number field, K
a totally imaginary quadratic extension of F , and p the non-trivial
P
Such a p i s called positive if T r ( x x ) > 0 for 0 f x r S, where
automorphism of K over F. Then p is a positive involution of K.
T r denotes the t r a c e of a r e g u l a r representation of S over Q.
We fix such F , K, p, and consider a triple (A, c , 8 ) formed
If an a l g e b r a S over Q o r R h a s a positive involution p,
by a polarized abelian variety (A, c) and an isomorphism 8 of K
then S has no nilpotent ideal other than (0). In fact, if x , f 0,
into End (A) such that the map 8 (a) H 8 (aP) i s exactly the r e s t r i c -
belongs to a nilpotent ideal, then T r (xy) = 0 for e v e r y y c S, but Q
tion of the involution of End (A) obtained a s above. (Note that End (A)
this i s a contradiction, since ~r (xxP)> 0. It follows that S i s s e m i - Q a
m a y be l a r g e r than 8 (K).) We a s s u m e a l s o that 8 (1) i s the identity
simple. If e is the identity element of a simple component of s ,
of End (A). Take cn/L and W a s above. Then W may be regarded
then e e P f 0, hence e P = e. It follows that p i s stable on each Q
a s a vector space over K , by means of the action of 8 (K). Let m
simple component of S. Thus the classification of S and p can be
be the dimension of W over K, and g = [F : Q]. Then we have ob-
reduced t o the c a s e of simple algebras.
viously
If S i s an a l g e b r a over Q with a positive involution p, we
c a n extend p t o a positive involution of S 8 *R . In particular ,
(6.4) n = gm.
consider the c a s e where S i s a n algebraic number field, and use the
l e t t e r K instead of S. Put
Now r e s t r i c t the complex representation of End (A) to 8 (K). Then
Q
we obtain a representation of K by complex m a t r i c e s of s i z e n.
In this situation, we s a y that (A, c , 8 ) of type (K, 9).Since K is
a field, 9 i s equivalent to the d i r e c t sum of n i s o m o r p h i s m s of K
Then [K : F] = 1 o r 2. By the g e n e r a l principle we just mentioned,
into C. By our choice of K, there a r e exactly 2g isomorphisms of
p i s extended t o a positive involution of the tensor product K BQR
K into C , which can be written a s
which i s a d i r e c t s u m of copies of R o r C. F r o m this fact i t i s e a s y
 7
71
with a suitable choice of g isomorphisms rl, .. ., 7 among them. s ,. . . , s . Take any f r e e 2-submodule 6t of K of rank 2g.
g
Let r and s V be the multiplicity of 5 and p r V in 9 , re- Put
spectively, o r symbolically, put

It can easily be shown that L is a lattice in cg , s o that c g / L is

u
Note that a P u i s the complex conjugate of a for e v e r y a r K and a complex torus. Take a n element 5 of K s o that
e v e r y i s o m o r p h i s m a of K into C. F r o m the above l e m m a it follows

that ~ t = ~ s(Vr)(rV
~ + +
p7 ) i s equivalent to a rational representation
of K. T h e r e f o r e we have
Define a n R-valued alternating f o r m E ( x , y) on cg by

Since i s of degree n and n = m g , we have

where x v ( r e s p . y i s the f h component of x (resp. y). and t

(6.7) rv + s V= m (v = I , ..., g ) . i s a positive integer. F o r a suitable choice of t , we s e e e a s i l y that

6 becomes a Riemann f o r m on c g / L, hence cg/ L i s isomorphic

In p a r t i c u l a r , if m = 1 (and hence n = g ) , either r or s t o an abelian variety A. From 6 we obtain a polarization c of
i s 0. Exchanging r V and pry if n e c e s s a r y , we may a s s u m e that A. F o r every a r K , the diagonal m a t r i x with diagonal elements
7
,. . . , a
7~
a defines an element of Endo(A), which we write B(a).
.-
In p a r t i c u l a r , if aOt C a , the m a t r i x sends L into L, hence
3).
i.e., ip - z;=~T~. 8 ( a ) r End(A). Thus we obtain
one can prove that any (A, c , 8 ) of type
(A, c , 8 ) of type
(K, 9)
(K, Actually
i s constructed in
F o r a given K and 7 , the existence of (A, c , 8 ) of this way. If 8t i s a fractional ideal in K , and 0 denotes the
type (K, $1, with 3 - 1'"" 7g
c ~ , ,~ can
T be
~ shown a s follows. For ring of algebraic integers in K , C
then 8 ( 0 ) End(A). If n = 1, our
every s E K, l e t u ( s ) denote the element of cg with components
 (A, c , 8 ) i s nothing but an elliptic c u r v e isomorphic to C/Bt 7. The class-field-theoretical characterization
(provided that r1 i s the identity map of K). of K' ( y ( z ) )
Now taking a period m a t r i x f o r A, we obtain a point z of
$n
a s in $5. H e r e we a s s u m e that (A, c ) i s such that P = J , and L e t us f i r s t r e c a l l the fundamental t h e o r e m s of c l a s s field
n
8( U ) C End(A). L e t (V, y) b e a couple a s in T h e o r e m 5. Let theory. On this topic, I s h a l l give a n exposition which i s somewhat
K(y (2)) b e the field g e n e r a t e d over K by the coordinates of the out of mode, since such will be m o s t convenient to d e s c r i b e the
point y ( z ) . One m a y naturally a s k a question: field K1 ( y ( z ) ) .
-
Is K ( 40 (z)) the m a x i m a l unramified abelian e x t e n s i o n f K? L e t F be a n algebraic number field of finite d e g r e e , Z an
This i s s o if n = 1, a s a s s e r t e d by T h e o r e m 2. But if n > 1, integral ideal in F , and .jL a (formal) product of r e a l archimedean
this i s not n e c e s s a r i l y t r u e . To c o n s t r u c t the maximal unramified p r i m e s of F. F o r an element a of F , we write
abelian extension of K, we s h a l l l a t e r d i s c u s s a function which i s
rather different from . However, even though (P is not a
function with the expected p r o p e r t y , y(z) h a s s t i l l an interesting
number t h e o r e t i c a l p r o p e r t y , which i s roughly described a s follows: if t h e r e e x i s t two algebraic integers b and c in F such that

over 5 a = b / c , b =_ c =_ 1 mod $ , and b , c a r e positive for e v e r y

-T h e o r e m 6. L e t K' be the field g e n e r a t e d Q
archimedean p r i m e involved in &. We denote b y I ( F , Z ) the
a " for a a c K. T h e n K1 ( (2)) & unramified abelian
group of a l l fractional ideals in F p r i m e to T , and by P ( F , tg)
extension of K1 . the subgroup of I ( F , 2') consisting of a l l principal ideals (a) such
V
I t c a n be shown that K' is a l s o a totally imaginary quadratic that a 1 mod* Z U.
extension of a totally r e a l a l g e b r a i c number field. Obviously L e t M b e a finite abelian extension of F. For every prime
K' = K if n = 1. However, both c a s e s K = K1 and K f K' can ideal in F unramified in M, the Frobenius automorphism
happen if n > 1. E v e n the d e g r e e s of K and Kt over Q m a y be [g , M/ F ] i s meaningful. Let .? be the relative discriminant of
different. The field K1 ( y ( z ) ) i s not n e c e s s a r i l y the maximal un- M over F. Then we can define [BL , M/ F] for every eL e I(F, 3)
ramified abelian extension of K1 . Then how big i s Kt ('-f'(z))? We s o that
s h a l l a n s w e r this question in the following section.
 again by r v . Put T = Hrv , and
H' = { y c G I Ty = T I .
i s a homomorphism of I ( F , 2) into the Galois group G(M/ F) of
M over F. We have now Then f r o m our definition of K' (see Th. 6 ) , we observe that K t
i s the subfield of S corresponding to H I . Since H t T -1 = T -1 , we
Theorem 7. The m a p (7.1) $ s u r j e c t i v e , and i t s k e r n e l con-
tains P ( F , 36) f o r G.
.
c a n find elements ol , . . , oh of G s o that
- some

T h e r e f o r e , if Y i s the k e r n e l , G(M/ F) i s isomorphic to

I(F, J ) /Y. M o r e o v e r , a p r i m e ideal J in F i s fully decomposed

in M if and only if f c Y. The converse of Theorem 7 is given by

Counting the number of e l e m e n t s , we s e e that [K' : Q] = 2h. More-
T h e o r e m 8. For e v e r y g r o u p Y ' of ideals in F such that o v e r , f o r e v e r y element a (resp. ideal ? ) in K ' ,

fok s o m e 7 a s &, t h e r e e x i s t s a unique abelian extension M of

i s a n element (resp. ideal) in K .
F such that Y t n I ( F , $3)i s the k e r n e l of the m a p This follows e a s i l y f r o m (7. 2).
Now l e t I' be the group of a l l ideals /e in K 1 such that

where /Q i s the r e l a t i v e d i s c r i m i n a n t of M over F.

with an element f3 of K. I t can easily b e s e e n that I t contains
One c a n actually show that Y t C I(F, &). We c a l l this M
P ( K t , (1)). Now Th. 6 i s refined in the following way: -
----
the c l a s s field over F corresponding to Y t .
Coming back to K , rl,. . . , 7g and K' of $ 6 , l e t us take the
Theorem 6 ' . Kt ( 9 (2)) ----
i s exactly the c l a s s field over K 1
correspondingt_o I t .
s m a l l e s t Galois extension S of Q containing K, and denote by G
the Galois group of S over Q. L e t H be the subgroup of G c o r r e s - F u r t h e r m o r e , we have an analogue of the relation (3.6). T o
ponding t o K. Extend each rV to an element of G, and denote it d e s c r i b e i t , l e t us denote by A ( & ) the abelian v a r i e t y isomorphic
to cg/L with L defined by (6.8) for a n ideal in K. Take a T o prove (7.3), we have to introduce the notion of reduction of

field k of definition f o r A ( a ) containing K' ( y ( z ) ) . L e t u b e a n algebraic v a r i e t y modulo a p r i m e ideal. L e t V be a variety in

an isomorphism of k into C such that u = [T , K1 ( y ( z ) ) /K t ] on a projective s p a c e , defined over a n algebraic number field k. Let 7
K' ( (z)) f o r a p r i m e ideal 8 in K' . Then we have b e a p r i m e ideal in k , and k( ) the r e s i d u e field modulo
;P -
uA
We consider the s e t f of a l l homogeneous polynomials vanishing on

(7.3) A ( a )a 5 isomorphic fo A(O(,~-'), where % = . V, whose coefficients a r e 7 -integers. F o r each f r ,f , we

consider f mod , which is a polynomial with coefficients in k ( P ).
F u r t h e r we c a n obtain r a m i f i e d abelian extensions of K' by m e a n s Then we define the reduction of V modulo , denoted by V[ 1, to
of the points of finite o r d e r on A. be the s e t of a l l common z e r o s of the polynomials f mod f? f o r all
L e t us b r i e f l y indicate how Th. 6 and (7. 3) c a n b e proved. f c 8. If V i s an abelian variety defined over k, then one c a n show

F i r s t l e t us d e r i v e Th. 6' f r o m (7.3). Let A = A ( 6 t ) and k be a s that V[ 7] i s a n abelian v a r i e t y defined over k( -

P ) for all except a

above, and T an i s o m o r p h i s m of k into C. To simplify the m a t t e r ,

l e t us a s s u m e that (iii) of Th. 5 i s t r u e f o r the p r e s e n t A even if we
finite number of
P. F o r such a , reduction mod
e v e r y element of End(V) i s well defined, and gives an element of
of

d i s r e g a r d the polarization; namely a s s u m e End (V[FI).

We apply these f a c t s to the above A ( m ). It i s not difficult to
7 . obtain A ( 8t ) defined over a n algebraic number field k.
(7.4) A isomorphic to A ~f and only if y(z) = ~(2)' . We a s s u m e
that k contains K' ('fJ (2))and i s Galois over K' .
By the principle
(This is t r u e if g = 1, but not n e c e s s a r i l y s o if g > 1. ) Now we observe (6. 2), we can find n l i n e a r l y independent l i n e a r invariant differential

that A((%) and A ( c ) a r e isomorphic if and only if 8t and t be- forms w, ... , wg on A, rational over k , s o that

long to the s a m e ideal c l a s s . T h e r e f o r e , the notation being a s in (7. 3 ) ,

we s e e that A(UL )* i s isomorphic t o A ( ) if and only if b is a ( a € 0 ; v = I , . . . , g).
principal ideal in K. Combining this fact with (7.4), we conclude
that a p r i m e ideal in K ' decomposes completely in K' ( ( p ( z ) ) L e t u s a s s u m e , f o r the s a k e of simplicity, that K i s n o r m a l over

if and only if fl:=l ih i s a principal ideal in K.

the d e s i r e d r e s u l t , but not quite.
This i s a l m o s t
We could not obtain the condition
Q, K = K' , and the c l a s s number of K is one, though Th. 6 '
comes somewhat t r i v i a l under the l a s t condition. By (7. 2 ) , we can
be-

about N ( -$?), since we d i s r e g a r d e d the polarization. A c a r e f u l analysis

of polarization leads to Th. 6' .
put a = 7
-1
Let 2 be a p r i m e ideal in K of absolute degree one, Then it i s not difficult t o lift the isomorphism to that of A ( m ) O to
A A '
u
and l e t b = m:=l 7A . Take a p r i m e ideal f? in k which divides
~ ( b - l m ) ,hence (7.3).

2 , and consider reduction modulo . Indicate the reduced objects

b y putting tildes. F r o m (7.5) we obtain

8. A further method of constructing c l a s s fields

.- As I mentioned in §3, there a r e s o m e other ways of generalizing

if % = (b) with a n integer b in K. Let x be a generic point of A
Theorem 2. F o r example this can be done by considering special
over k. Then the relation (7.6) shows that every derivation of %(x)
-CV values of automorphic functions with r e s p e c t to a discrete subgroup of
vanishes on k(O (b)x), hence
S L (R) obtained f r o m a quaternion algebra.
2
A quaternion algebra over a field F i s , by definition, an algebra
B over F such that B 8
F
F i s isomorphic to M2 @) , where F
where p i s the rational p r i m e divisible by 2. Since
denotes the algebraic closure of F. F o r our purpose we take F to
be a totally r e a l algebraic number field of finite degree. Then one
can prove that

we obtain

where D i s the division ring of r e a l Hamilton quaternions, g =

over K ,
On the other hand, if
then mod p
a i s the-Frobenius substitution for
can be identified with xp .
P
Therefore
[ F : Q],
r > 0,
and r is an integer such that
and r e g a r d B a s a subset of BR
0 <_ r <_ g.

.
- -
We assume that
AO How many such B do
(7. 7) shows that, if A = A ( a), t h e r e e x i s t ? I shall answer this question afterward.

7 8 A((~L)O mod f'2 2 isomorphic f_o A(b

- 1 OL) mod 7.
 For a e B, let a a be the projections of a to the (or i t s compactification when B = M2(Q)) i s a compact Riemann
1""' r
t s u r f a c e , and an automorphic function with r e s p e c t to
f i r s t r f a c t o r s M2(R). W e d e n o t e b y B t h e s e t o f a l l a in B ( 2. ) i s a
such that d e t ( a ) > 0 f o r v = 1 , .
V
..
, r . Then e v e r y element a of m e r o m o r p h i c function on 8 invariant under r ( t) (satisfying
t a n additional condition when B = M2 (Q)).
B a c t s on the product -$r of r copies of the upper half plane $,
the action of e a c h a
V
on -$
being defined a s in §2. If we denote
t em ark.In S2 we considered only d i s c r e t e subgroups of SL (R).
( a ) the reduced n o r m of a to F, then B i s the s e t of 2
by NB,
a l l a such that N ( a ) i s totally positive.
The action of a n element a of r ( ) on 5
i s that of al, i. e . ,
B/ F the projection of a to the f i r s t factor M2(R) of BR . The element
O b s e r v e that B i s of dimension 4g over Q. By a n o r d e r in
a l m a y not be contained in S L (R). But this does not produce any
B, we understand a subring O of B, containing Z, which i s a 2
difficulty, since we only have to consider
f r e e Z-module of r a n k 4g. An o r d e r i s called maximal, if i t i s not
contained p r o p e r l y in another o r d e r . T h e r e a r e infinitely many m a x i -
m a l o r d e r s in B. We f i x a m a x i m a l o r d e r 0 in B , and put

in place of r ( Z ).

The group of the above type was f i r s t introduced by P o i n c a r 6

F u r t h e r , f o r e v e r y integral ideal 1: in F , put about 80 y e a r s ago in the c a s e F = Q, and l a t e r F r i c k e considered

the g e n e r a l c a s e . They d i s c u s s e d t e r n a r y quadratic f o r m s instead of
quaternion algebras.
We have to define " s p e c i a l pointsn on % relative to ,
Then r and r ( T ),
t
a s subgroups of B , a c t on 5' . o n e can analogous t o w / W of Th. 2, where we s h a l l examine the values of
1 2
show t h a t /r( ) i s compact if and only if B has no z e r o - automorphic functions. F o r this purpose, we notice:

divisor other than 0. F o r example, if B = M2(Q), we can s e t

(?' = M 2 ( Z ) , hence r = S L 2 ( Z ) , and %i/
sInot
? compact.
em ma.
- - Let M &a totally imaginary quadratic extension of F -
Now l e t .us a s s u m e r = 1. Then $/r (Z) i s compact unless --
which i s isomorphic t o ? quadratic subfield of B over F. Then the

B = M2 (Q). T h e r e f o r e , a s was d i s c u s s e d in S 2 , the quotient $ . / I ?( ) following a s s e r t i o n s hold.

 If
(l) f i s _s F - l i n e a r isomorphism o_f M into B , then Thus and z correspond to j and w / w
1 2
of Th. 2. We
t
f (M) - (0) contained 2 B , and e v e r y element of f(M) -F c a l l such a couple (V, y ) a canonical model f o r $ I T ( 7 ). If
has exactly one fixed point on # which i s common to a l l elements
- (V, 'p ) and (V' . (PI ) a r e two canonical models f o r the s a m e $ 1 (~7 ),
of f(M) - F.
- then we can show the existence of a biregular isomorphism 5 of V onto

(2) -
If 'ICM denotes the r i n g o f i n t e g e r s M, then t h e r e Vf , rational over k, such that = 6 0 . In this s e n s e , (V, (i7 )
exists a n F - l i n e a r i s o m o r p h i s m f o_f M into B such that f ( % M) C
-- 0 . i s uniquely determined f o r $/I?( Z ). It may be worth noting that the
m a x i m a l abelian extension of M can thus b e generated, over the maxi-
The f i r s t a s s e r t i o n i s quite e a s y to prove, but the second needs
m a l abelian extension of F , by special values of some specific automorphic
a somewhat deep f a c t of a r i t h m e t i c of quaternion algebras.
functions.
We a r e going to take the fixed point of f (M) -F a s our special
T o answer the questions about B and M, denote the
point" . One can of c o u r s e a s k a question: What kind of M can be let Fk
completion of F with r e s p e c t t o a n archimedean or a non-archimedean
embedded in B ? Leaving this question a s i d e for a while, we a r e now
ready t o s t a t e the main r e s u l t :
prime 2 of F. Put B
2
= B @ F
F ?'
.
Let PB b e t h e s e t o f a l l ?
such that B i s a division algebra. Then we have the following a s -
T h e o r e m 9. T h e r e e x i s t s a couple (V, y) f o r m e d by & p r o j e c t i v e sertions:
8
-
non-singular c u r v e V and a holomorphic mapping o_f $. into V (8. 2) PB & a finite s e t with an even number of p r i m e s .
with the following p r o p e r t i e s : (8.3) F o r any finite s e t P with a n even number of archimedean
(i) g i v e s a b i r e g u l a r isomorphism of $/r (T ) into V.
--
o r non-archimedean p r i m e s of F , there
--- e x i s t s a quaternion a l g e b r a
( 9 s u r j e c t i v e u n l e s s B = M (Q).) over
2 B F, --
unique up to F-linear i s o m o r p h i s m , such that P = P
B '
(ii) V i s defined over the c l a s s field k over F corresponding (8.4) _A quadratic extension M f F can be F - l i n e a r l y embedded
-
to P(F, Z C ~ )w, h e r e a0
" is the product of &l archimedean p r i m e s
-
in B if and only if M @ FF2 - ---
i s a field f o r e v e r y P P J 3 .
-
of F. (For notation, s e e § 7 . ) These r e s u l t s a r e special c a s e s of H a s s e s f s t h e o r e m s on s i m p l e
(iii) L e t M and f be a s in (2) of the above L e m m a , a& z the a l g e b r a s over algebraic number fields. Observe that g -r f a c t o r s of
fixed point of t h e e l e m e n t s of f (M) - F
- f . T h e n t& composite
(8.1) correspond to the archimedean p r i m e s of P
B '
-
of k ( and M i s exactly the c l a s s field over
(2)) M corresponding The r e c i p r o c i t y law for the extension M. k( Cp (2)) over M c a n
-
to P ( K Z ). b e described explicitly in t e r m s of the special points (z). F o r
simplicity, l e t u s consider only the c a s e where the c l a s s number of
 F in the n a r r o w s e n s e i s one, i. e . , P(F, Go) = I @ , (1)). F o r every (Such a n a ~ not unique. ) With such an element a , one has
p r i m e ideal J2 in F, let 16 be the ring of ? - i n t e g e r s in F
9 I '
and l e t
J B
= % 0 . Then
2
i s a m a x i m a l o r d e r in B L e t
t 8'
U( ) denote the g r o u p of a l l e l e m e n t s a of B such that a is a
unitof 8
8
forall 3 dividing .Z , and l e t U ( t) b e the subgroup H e r e we s a y that f i s normalized if
of U( ) consisting of a l l a s u c h that a Z% I mod ru for all
dividing r. I t c a n e a s i l y be shown that U( t )/ U ( T )
3 2
i s isomorphic
(0 f a r M).
to ( 0 l f C 7 ) ~ (see Notation). F o r every a c U( t y, put

If we define ? by ?(a) = f 6) f o r a E M, then we s e e that e i t h e r f

-
or f i s normalized.
It should be observed that (iv) of Th. 10 i s a generalization of
Now we have
(3. 7 ) . F u r t h e r , if B = M2(Q), = M 2 ( Z ) , and r = (N)with a
(9

T h e o r e m 10. ---
T h e r e e x i s t s a s y s t e m of b i r e g u l a r i s o m o r p h i s m s positive integer N, the function field of V i s exactly the field
N
R ( a ) of V t o
7 - v U b ), defined f o r each a r U ( f ) and rational over Q(i, f ) considered in 93. T h e r e f o r e the f i r s t t h r e e p r o p e r t i e s of
ab
k, with the following p r o p e r t i e s : R ( a ) in Th. 10 m a y be r e g a r d e d a s a generalization of Th. 4.
(i) R ( ~ ) o @ ) R(p) = R ( a p ) .
Example. Let us consider the c a s e F = Q(3 + 5 -1) with 5 =
(ii) R ( a ) = R ( p ) if a - l p r Uo(E). e2ni1
f o r d = 7, 9, o r 11. By ( 8 . 3 ) . t h e r e e x i s t s a unique quaternion
(iii) R ( y )[ (z)] = 'p(y (2)) f o r e v e r y z r $. if y r ro). a l g e b r a B over F , f o r which P
B c o n s i s t s of a l l but one archimedean
(iv) L e t M, f , z be a s in (iii) of Th. 9 (still under the
p r i m e s of F , the exception being the archimedean p r i m e of F c o r r e -
condition f ( WM) C 0 ) . Suppose t h a t f & n o r m a l i z e d & the sense
sponding to the identity m a p of F. The p r e s e n t F has the c l a s s num-
--
defined below. Let 3 b e a n ideal in M p r i m e to Z. , and l e t
b e r one in the n a r r o w sense. Moreover, a l l the maximal o r d e r s in
B a r e conjugate to each other under the inner automorphisms of B
defined by the elements of B+ . Take a maximal o r d e r 73 in B , and

----
Then t h e r e e x i s t s an element a fU ( Z ) such that f ( 8 ) O = a g . .
define I? = r(l) a s above. Then one can prove that $1 i s of extension K of F and consider (A, c , 8 ) of type (K, 9) in the
genus 0, and r modulo i t s center i s generated by t h r e e elements s e n s e of 56 with a representation 3 of K such that
y 2 , y 3 , y d of o r d e r 2, 3, d, y 2 y 3 y d = 1.
respectively, satisfying

(If d = 7 , the m e a s u r e given by (3.4) is 11 42, which is the s m a l l e s t

value of (3.4) for a l l possible l?. ) These t h r e e elements have unique

fixed points on $, one for e a c h , which we denote by w2. w3 , wd . where T,, and P a r e a s in 56. Then i t can be shown that the (A, c , 8 )
Then t h e r e e x i s t s a unique m e r o m o r p h i c function on $. such of this type a r e parameterized by the point on gr, and t h e r e is a dis-
that C ( y ) is the field of a l l automorphic functions on 5 with continuous group I? acting on $r such that $r/l" is inone-to-one
r e s p e c t to J?, and (i) (w2) = 1, f' (w3) = 0, (wd) = UJ . If we denote
correspondence with a l l the isomorphism c l a s s e s of such (A, c. 8 ) .
by V the complex projective line, then gives a biregular i s o m o r - Taking K suitably, we can identify J?' with the above I? (in the case
phism of $/r onto V. Now we can prove that this (V, p) $32 r = 1). F o r this family of (A, c , 8 ) , we can find a model (V' , )
canonical model for #/l7 . By (8.4), for e v e r y totally imaginary of #/rf with the properties analogous to those of Th. 5. If M and
quadratic extension M of F , t h e r e e x i s t s a F - l i n e a r isomorphism z a r e a s in (iii) of Th. 9, the corresponding (A, c , 8 ) i s such that
f of M into B such that f ( % M) C c. L e t {zl, . .. , z 9 } be a s e t End
Q
(A) contains a n isomorphic image of K 8 M.
F
The coordinates
of r e p r e s e n t a t i v e s for the r-equivalence c l a s s e s of the fixed points of of (z) generate a n abelian extension of the nature described in Th. 6 ' .
f(M) -F f o r a l l such f. Then q i s exactly the c l a s s number of M, This couple (V1, ) is the f i r s t approximation to the desired (V, yl).
and f r o m (iii) of Th. 9 and (iv) of Th. 10, we obtain: F r o m infinitely many such (V' , ), depending on the choice of K , we

..., c a n construct a canonical model (V, y).

(8.5) The values ?(al),
4 --
?(Z ) f o r m a complete s e t of
conjugatesf ?(z 1) over F, and for each i , M( y ( z i ) ) i s the maxi- If B = M (Q), t h e r e i s a family of elliptic c u r v e s , for which the
2
value of j is the modulus. F o r the basic field F of higher d e g r e e ,
m a 1 unramified abelian extension of M.
t h e r e is no such standard family of a b e l i a n v a r i e t i e s , though infinitely
Thus has a s t r o n g resemblance t o the c l a s s i c a l modular
many families of abelian v a r i e t i e s can be loosely associated with a
function j.
given $ 1 . It i s a n open question whether there exists any family
Unfortunately, the proofs of Theorems 9 and 10 a r e long and
of geometric s t r u c t u r e s , other than the above (A, c , 8 ), of which our
v e r y complicated. T h e r e f o r e I have to content myself with a rough
canonical model (V, y) i s a natural variety of moduli.
sketch of the m a i n ideas. We take a totally imaginary quadratic
 9. T h e H a s s e zeta function of a n algebraic curve where T = 0) and the c l a s s number of F in the n a r r o w s e n s e i s
one, i. e. , every ideal in F i s a principal ideal generated by a
L e t V be a projective non-singular curve of genus h defined totally positive element. In this c a s e , f o r e v e r y right 0 -ideal 8t ,
over an algebraic number field k. F o r every p r i m e ideal J2' in k , there exists a n element a in B' such that
= a 8. .
l e t k ( 2 ) denote the residue field modulo 2 . Considering the Let us introduce cusp f o r m s and Hecke operators with r e s p e c t

equations for V modulo & , we o b t a i n a c u r v e V [ p ] over k ( & ' t o the group I? = r p ) . F o r e v e r y f = b 6

d) c GL2 (R) with det (f) > 0,

(see §7). It can be shown that V[ ] i s non-singular, and of genus h for Put
almost all J2 . (We c a l l such 2 good. ) Therefore one can speak
of the z e t a function of V[f ] over k ( p ) which i s of the f o r m

1
Z (u) = Z (u)/ [(I - u)O - N ( ~ ) U ) ] , L e t m be a positive integer. By a cusp f o r m of weight m w
&
h respect
B 8
1
-
to r, we understand a holomorphic function f (2) on $, satisfying
where u i s a n indeterminate, and Z (u) i s a polynomial of degree 2h. the following two conditions:
Y
The H a s s e zeta function of V over k, denoted by Z ( s ; V/ k ) with com- (i) f ( y ( z ) ) j ( y , z)m = f ( z ) f o r a l l y c r.
plex v a r i a b l e s , i s now defined by (ii) s a cusp of I-', a n d p , q a r e a s in $ 2 , then
f (P (z))j(P, 4 holomorphic & q = 2niz,
---
and vanishes a t q = 0.
The l a t t e r condition is n e c e s s a r y only when B = M (a), since
2
I? h a s no cusps otherwise. All such functions f o r m a vector s p a c e of
the product being taken over a l l "good" 8. Qt i s important to con- finite dimension over C, which we write S (r). If m = 2,
m
the map

sider also "badf1 &, which we s h a l l not discuss h e r e . ) Now one

c a n m a k e the following

Conjecture. Z (s; V / k ) can be continued to the whole s -plane

gives an isomorphism of S ( r ) onto the space of differential f o r m s of
-
and s a t i s f i e s 5 functional equation. 2
the f i r s t kind on $D, hence the dimension of S (r) i s equal t o
2
The purpose of this section i s t o verify this conjecture for the genus of f/r.
the curve which i s a canonical model for f /r ( 7: ) in the s e n s e of
§8. F o r the sake of simplicity, we shall consider h e r e only the c a s e
 t
F o r every a E B , we note that the double coset F a r can (see (8.2-4)), and the second over the remaining p r i m e s in F. More-
be decomposed into a finite number of one sided cosets: over, D (s) can be holomorphically continued to the whole s -plane,
m
and s a t i s f i e s a functional equation:
r a r = urZlair (disjoint).

Then for f c S (I?), we define ( T a r ) f by

m m

-1 -1 m
(raTlmf = z d 1 f ( a i (z))j(ai , 2) .

In this way we obtain a l i n e a r transformation ( r a r ) m on Sm ( r ) ,

which i s of c o u r s e independent of the choice of the representatives
a F o r e v e r y integral ideal 8t in F , l e t T(BL), denote the
i '
of a l l distinct ( r a r ) , such that a E 0 and (N ( a ) ) = 61. . where P; means the s e t of non-archimedean 2 in P
B ' The last
B/ F
few stand for the usual gamma function.
Then we define a Dirichlet s e r i e s D ( s ) , whose coefficients a r e linear
m
Now we have
endomorphisms of S (I?), by
m
Theorem 11. Let (V, y ) &a canonical model for f/r . TZ,
---
f o r a l m o s t a l l p r i m e ideals
3 & F, the z e t a function o_f V z d 2 ,
over the residue field mod 2 , -
coincides with
where (9t r u n s over a l l integral ideals in F. It can be shown that
2
D (s) converges for sufficiently l a r g e Re (s) and has a n Euler product:
m det[l - T(7I2u + N(J?)u I/ [(I - u)(l - N(Z)u)]
1
Z (u) is the
B --
(i. e . , ,., Euler 2 -factor
of Dm (s) &
y m = 2 and N(?)-' = u). -
-
Thus Z (s; V/ F) coincides &
y det(D (s)) u p to a finite number
2
of
2 -factors.

The proof of this theorem i s roughly a s follows. For every

where the f i r s t product is taken over a l l the p r i m e ideals 2 in P
B a E B
t
. define a s u b s e t X ( I ? a r ) of V X V by
 Therefore the equality

We s e e t h a t X(l?al?) is a n algebraic correspondence, which depends

o n l y on F a r and not on the choice of a . We o b s e r v e that T (
7 I2
= (rar), with any e l e m e n t a of 0 n Bt such that f = (NBI (a)). should hold..
F o r such a n a , we w r i t e X ( I ' a r ) a s X L e t A denote the diagonal of V X V. Then
L e t M, f , and z b e a s in (iii)
2 -
of Th. 9 and (iv) of Th. 10.
T a k e M s o that 2 decomposes into two p r i m e ideals 7 and
7'
in M. We can find a n e l e m e n t P of 60Bt s o that f ( =PW .
Then 2 = NMl ( 7 = (NB1 (PI), hence (rPrI2= T (f) 2 by the The relations (9.1) and (9. 2) show that any s y m m e t r i c function of
above r e m a r k . Therefore ~ ( ~ - ' ( z )X ) y ( z ) c X? . Now l e t and tm can be obtained f r o m a correspondence of V by reduction
T = [q , M ( l (z))/ MI. By (iv) of Th. 10, we have ~ ( 2 ) '= ~ ( ~ - ' ( z ) ) , modulo 8. In p a r t i c u l a r , f o r e v e r y positive integer m , we have
h e n c e , putting y = y ( z ) , we obtain yT X y c X Consider now
2 .
r e d u c t i o n modulo a p r i m e divisor of a suitably l a r g e field, which
h

divides 2
, and denote the reduced object by tilde. Then y = y
7

hence f o r a polynomial P , which i s determined by

m

--dud log (1 - XU + yu 2) = *
x Pm(x, y)um-l
m =I

Let rr denote t h e Frobenius correspondence on V X V , i. e . ,

N
'V rV

with indeterminates x, y, and u.

the l o c u s of x X x N ( f ) f o r x c V. The above discussion shows that
hl L e t I[Y] denote the number of fixed points of a correspondence
h a s infinitely m a n y points in common with t m , the t r a n s p o s e
X,
of . Since trr
i s i r r e d u c i b l e , we have
t
mcT8 . F r o m our
Y, i. e . , the intersection number of Y with
the zeta function of V mod 2 , then
A . If Z
2
(u) denotes

definition of X i t can e a s i l y be s e e n that t~ = X Therefore

2 ' P
+ . Again f r o m the definition of X
8
. 8 '
we s e e that
.(xXV)
N N N
X c o n s i s t s of N ( Y ) t l p o i n t s f o r a g e n e r i c x on V.
Y
 hl
10. Infinite Galois extensions with l -adic representations.
But if Y i s a correspondence on V X V, we have I[Y] = 1[Y], and

by the Lefschetz fixed point t h e o r e m ,

So f a r we have been interested only in the construction of abelian
extensions. Now we a r e going to show that the above canonical model
for $/TIf') can be employed to obtain m e a n i n g f d non-abelian ex-
i tensions of a number field, with some pleasant features.
where H (V) denotes the usual r e a l i-th cohomology group of V. For
L e t us call (V, f', R ( a ) ) of Th. 10 a canonical s y s t e m of level .t.
Y =Xrar), it i s e a s y to s e e that
F o r every integral ideal 8L in F, we fix a canonical s y s t e m of level

tr(Y 1 1
H (V)) = 2 . ~ e [ t r( l ? a r ) 2 ] ,
& , and denote i t by (Va , t,
RoL( a ) ) . (We a r e still assuming
that the c l a s s number of F i s one in the n a r r o w s e n s e , though our dis-
cussion c a n actually be done without this assumption. ) Let k a denote
since S2 (I?) is isomorphic to the space of differential f o r m s of the
the c l a s s f i e l d o v e r F corresponding to P ( F . a&), where 4x0 is
f i r s t kind on V = $ 1 ~ . Also i t is obvious that
2 the product of all archimedean p r i m e s of F (see $7). As i s stated in
t r ( Y ( HOW)) = tr(Y ( H (V)) = the number of right c o s e t s in r a r .
One can f u r t h e r show that t r (l?al?)2 is r e a l . Therefore we have
Th. 9, 10, Va and R a ( a ) a r e defined over k a . If eL C d , we
c a n obtain a rational m a p

defined over kw , such that

In view of (9. 3), we obtain

-d 1
du log 1 (u) = (det[l - T ( & )2u t N ( j )u2]-'} ,
2 du log

hence our theorem.

When 6L = b , this m e a n s the uniqueness of canonical s y s t e m of on f sothat f'*(z)=y, andput y = G ( z ) . ) Let
6t Y
level a. In the g e n e r a l c a s e , the m a p (10.1) defines a Galois c o v e r - denote the composite of the ka (ya ) for a l l
By Prop. 1, a.
ing. If we consider the c u r v e s over the u n i v e r s a l domain C , then 4 is a Galois extension of k r (y). Our purpose i s to investigate
Y
the Galois group i s isomorphic t o r ( $i )/r( cz )E% , where E % the Galois group of &
over k (y) and the behavior of the
Y
denotes the group of a l l units e of F such that e =- 1 mod 1 . If Frobenius automorphisms (when y i s algebraic) with r e s p e c t t o

we take kOL a s the field of definition, we obtain: c e r t a i n representations of the Galois group.

Proposition 1. Let y1 be an a r b i t r a r y point of Vm a& y =

F o r every p r i m e ideal f in F, l e t F1 . f. BI , and Oy
be the localizations a s defined in g8. F o r m the product lt of the
T b , &(yt ). (y' m a y b e generic o r algebraic. ) Then k o, (y' ) depends X
groups 0
1
(see Notation) f o r a l l 1, with the usual product top-
only on y, and i s a finite Galois extension o_f k a. (y). F o r e v e r y
7 c G(k., (yl ) / k (Y)), t h e r e e x i s t s a n element P of U(a,) nuo( b ) ology. ~e't atdenote the subgroup of a consisting of the elements

--
such that y1
7
= Rot,(P)(yl), & T = o on k, . ( u l ) with ut c 0; such that u
I-
= 1 mod f D for every
t .
F o r simplicity, we a s s u m e
Proposition 2. Take a point z of # s o that L(z)
= y' , and (10.2) {Y r r(Z)1 v(z) = z ) = E
-
let r Z= {y I- ( 2)1 y (z) = z ) . Then the following statements hold: t

(i) r ( e e ) . r z = { Y c r ( b ) I R,(Y)(Y') = y t ) . f o r a point z on $ such that

c ( z ) = y. This i s satisfied f o r all
(ii) F r o m the correspondence 7 H P described in P r o p . 1, one except a finite number of points on Vr .
Under the assumption, we
a r e going to define an injection
--
obtains a n i s o m o r p h i s m o_f G(ka(y1 )/ k (y)) into

- a.Let 1 k t (y)).
(iii) If -
y is g e n e r i c on Vg k% -
' this isomorphism i s
where E% i s the closure of EI in s r G(&
Y
surjective, a n d rZ= E b . F o r every C '2, we find, by P r o p . 1, an element em = 5 ( a )of
u ( an) u o ( t ) * '7
that YOL = Ra (ta)(y, 1. It i s not difficult t o choose
Let us now fix an integral ideal 2: in F and an a r b i t r a r y the elements $ s o that
OL
point y on Vy : Take a point ya on Va for each 6LC Z so
that T1; = y% i f 01 C 1, and yr =
a ( ~) a J . (For example, choose a point Z
F o r each p r i m e ideal f, the sequence { ( ( l n ) } n = l , 2 , ... converges Next l e t us consider the c a s e of an a r b i t r a r y algebraic point
to an e l e m e n t u of C; . We define J ( r ) to b e the element of y of Vr . Take any c e n t r a l simple a l g e b r a A over Q , and
r e p r e s e n t e d by (u ). We can verify that J i s actually a consider a representation
t t
continuous injection. 3 depends on the choice of the sequence of points
{y }. But it i s unique up to inner automorphisms of
OL
Er .
F u r t h e r we have:
satisfying the following two conditions:
Proposition 3. If y i s g e n e r i c on Vr o ~ kr , J issur- X X

jective.
tr @) p is rational over Q, B
-
and A being considered
algebraic groups over Q.
m
L e t u s now d i s c u s s the points y whose coordinates a r e algebraic (2) p (a) = NF/ (a) for every a e with an integer m,
n u m b e r s ; our main i n t e r e s t i s of c o u r s e in this c a s e . F i r s t we con- independent of a.
s ider the point fixed by an imaginary quadratic subfield of B. Let
F o r e v e r y rational p r i m e I , l e t QI denote the field of I -adic
M, f , and z b e a s in (iii) of Th. 9, and XM the ring of integers i n
i n t e g e r s , and l e t B
I = B QQQI, AI = A @,aI . F r o m p one can
M. Then f ( X M ) C 0. P u t naturally obtain a representation

and view a s a subgroup of %. Then, f r o m (iv) of Th. 10, we

obtain
Let aI denote the product of the groups 0 f o r a l l prime
factors t of I , and Eg
I
the c l o s u r e of Er in d. Put
Proposition 4. If y = Tr(z) M Ck (y), then the image
& (R )/ E r.
= b . Combining J with a n a t u r a l homomorphism of
-
of J contained
t m,/B, to a:/ I
ET , we obtain a homomorphism
If M is not contained in k (y), we have to consider a l a r g e r
group which contains rb;?f) fir a s a subgroup of index 2 , but we shall
not go into details.
Now we m a k e the following assumption: Suppose this i s t r u e , and l e t f. denote the principal polynomial
of p, J (cr . Then one
2
can define a zeta function c(s; k y ; p) of
(3) p ( e ) - 1 f o r a l l e c Ey . o
1 2
k Yassociated with the representation p &
In view of (2), this i s automatically satisfied if either m i s even,
o r the units of Er a r e a l l totally positive. Under the assumption,
observe that P I J i s meaningful, and defines a representation of
x
G ( & ~ k/ r (y)) into Al- . Now i t i s important t o investigate the b e -
where the product i s extended over a l l p r i m e ideals
I
havior of the Frobenius automorphisms of .gywith r e s p e c t to the p r i m e t o W , and n i s the degree of f
8 in k z ( y )

I -adic representations" pI o JI . F i r s t we notice: 7 '

Conjecture 11. 6(s; diy; P ) can be analytically continued f_o the

Theorem 12. There exists a n integral ideal p v ~ k (y) s u c h
whole s-plane and satisfies 5 functional equation.
-
that e v e r y p r i m e ideal of k (y), p r i m e to I M , unramified &
F u r t h e r , a s for the nature of & one may make
---
the subfield of Ay which c o r r e s p o n d s t o the kernel of p I J I ' 0
Y'

T h e r e f o r e , if i s such a p r i m e ideal of k (y), is a prime

Conjecture 111. The image of J i s a n open subgroup of 'aT/
tr ,
divisor of
Y
dividing 8,
and
is a Frobenius automorphism of -
unless y = yZ(z) with a point z such that

& over k (y) for f2 , then the conjugacy c l a s s of p

Y
determined only by J2 . In this setting, we have the following t h e o r e m ,
which m a y be r e g a r d e d a s the main r e s u l t of this section:

T h e o r e m 13. The roots of the principal polynomial of p J (U

-
for -
s o m e totally imaginary quadratic extension M f F and a n
0
I % F - l i n e a r isomorphism f of M into B.
over QI are algebraic n u m b e r s fabsolute value
- N(
It should be r e m a r k e d that the above representation p i s analo-
This fact leads u s t o a temptation of making the following conjec-
gous t o the G r k s e n - c h a r a c t e r in Hecke1 s s e n s e , o r m o r e precisely,
tures.
to the Grijssen-character of type (A ) in the s e n s e of Taniyama-Weil.
Conjecture I. T h e principal polynomial of p
1
0 J
1
(U
2
) has If y = yr(z) with a point z fixed by f(M - (0)) a s excluded in
rational coefficients, and i s independent of I . Conjecture 111, and if M C k (y), then we can show that c(s; ; p) &
Y
i s a product of s e v e r a l zeta functions of k 7 (y) with Grossen-characters.
One m a y a l s o notice that b%r/Et. i s analogous to the idsle c l a s s
group of a number field modulo the connected component. Further,
if B = M (Q), 0 = M (Z), Z =N Z with a positive integer N, then
2 2
r (7 ) is the principal congruence subgroup of S L2 (Z) of level N, One can show that a
* t B if a E B, and a H a
I
i s an involution
and the choice of a point y on Vr i s a l m o s t equivalent t o the choice of B in the s e n s e of 46, which i s not n e c e s s a r i l y positive. F o r an
element U = (a..) c M (B) with a.. r B, put U = (a .. ).
t :$ t * Then
of an elliptic curve. Thus, if p is the identity mapping of B' = GL2(Q)
1J n 1J 1J
to itself. ((a, gYy,
p) i s the Hasse zeta function of the c u r v e s o r r e s - t *
U w U defines a n involution of M (B). This involution c a n be
n
ponding to y. A s i m i l a r fact holds a l s o when F = Q and B i s a divi- R-linearly extended to M (B ), where B = B @ R. Define a Lie
sion algebra. It is a n open question whether such a n interpretation
n R R a
group G by
exists for c(s,
Y
, P ) in the c a s e where F is of degree >1 . In
this connection, i t should be mentioned that the extension &Y is
r a t h e r different f r o m the extension obtained f r o m the points of finite
o r d e r on a n abelian v a r i e t y , if [ F : Q] > 1. In view of (8. l ) , we have

11. F u r t h e r generalization and concluding r e m a r k s

We have obtained two different types of r e s u l t s : one i s r e p r e - According to this d i r e c t s u m decomposition, G can be decomposed into
sented by Th. 5. Th. 6, and Th. 6'; the other by Th. 9 and Th. 10. a d i r e c t product:
They a r e however two special c a s e s of a m o r e g e n e r a l theorem. To
s e e t h i s , l e t us introduce discontinuous groups which include Sp(n, Z) G = G X...
1
XGrXGr+lX... XG
g
.
and F ( 7 ) a s s p e c i a l c a s e s .
L e t F, B and r be a s in S8. Since B BFT = MZ(F) for the One can easily show that
algebraic c l o s u r e
-F of F, we c a n r e g a r d the elements of B a s
- b
m a t r i c e s of d e g r e e 2 with e n t r i e s in F . F o r every a = d) c M ~ F ) ,

put
 by a maximal compact subgroup i s a bounded s y m m e t r i c domain. Then
one can speak of (meromorphic) automorphic functions and f o r m s on

where the b a r m e a n s the quaternion conjugate in D. Therefore, this domain with r e s p e c t to the group I? = qz formed by integral

Gr+l,. .. , Gg a r e compact. Since Sp(n, R) a c t s on the Siege1 points on 9. T h e r e a r e many interesting arithmetical problems
in this field, which I d a r e not enumerate h e r e . But I should a t least
space fn, we c a n l e t e v e r y element U of G a c t on the product
mention that almost a l l important questions a r e r e l a t e d to automorphic
$,n
of r copies of ,
being that of the projection of
the action of U on the u-th factor
U t o Gv. As in 58, take a maximal
h -
f o r m s and zeta functions explicitly o r implicitly, on which I have talked
only in $9.
order (p in B , and put

12. Bibliography
I n this way we obtain a discontinuous group acting on #nr .
If B = M2(Q) and 0 = M2(Z), r i s Sp(n, 2). If n = I , the
Among a v a s t multitude of l i t e r a t u r e , I shall t r y to l i s t standard
present r i s a subgroup of finite index of the group considered in

$8. The quotient gnr / T i s compact in the following two c a s e s :

r e f e r e n c e books f r o m the view point of accessibility and (probable)
comprehensibility, along with a few r e c e n t p a p e r s relevant t o the topics
(i) r < g; (ii) r = g, n = 1, and B i s a division algebra. The group
discussed in these lectures.
r was introduced by Siegel in his paper on symplectic geometry (under
the r e s t r i c t i o n r = 1). Now, for this quotient kr/r, we c a n con-
The r e a d e r with / standard knowledge of algebraic groups or
Lie theory may find the following volume useful:
s t r u c t a couple (V, y) with the properties analogous to those in Th. 9,
[I] Algebraic groups and discontinuous subgroups, Proceedings
thus unifying the above mentioned two types of r e s u l t s . A p a r t of the
of Symposia in P u r e Mathematics, vol. 9, Amer. Math. Soc. 1966.
r e s u l t s of $10 can a l s o be extended to such a g e n e r a l c a s e .
This contains many interesting surveys of r e c e n t investigations,
One c a n investigate automorphic functions with r e s p e c t to a
m o s t of which have abundant references. F o r those who a r e m o r e
m o r e g e n e r a l type of group. Namely one takes a semi-simple algebraic

group defined over Q and consider a Lie group gRconsisting interested in the classical modular functions o r modular f o r m s , many
important papers in
of the points with coefficients in R. Suppose that the quotient of
[2] E. Hecke, Mathematische Werke, Gbttingen, 1959
will s e r v e a s standard references. A m o r e systematic and somewhat
e a s i e r t r e a t m e n t i s presented in
 [3] M. E i c h l e r , Einfiihrung in die Theorie d e r algebraischen The l a t t e r will s e r v e a l s o a s an introduction to the theory of

Zahlen und Funktionen, B i r k h l u s e r , 1963 (the English r e v i s e d v e r s i o n automorphic functions of s e v e r a l variables. On this topic and other

i s available). r e l a t e d subjects, one can not m i s s

At t h e end of each chapter of t h i s book, t h e r e a r e plenty of [ll] C. L. Siegel, Gesammelte Abhandlungen, 3 v o l . , Springer,

references. As a textbook on the c l a s s i c a l theory of elliptic functions, 1966.

the following m a y b e recommended: Especially f o r Siege1 modular functions, the standard knowledge

[4] C. J o r d a n , C o u r s dl analyse de 1' i c o l e polytitchnique. P a r i s , can be obtained f r o m

vol. 11, Ch. VII. [12] H. Maass, L e c t u r e s on Siegel' s modular functions, Tata

As f o r the theory of complex multiplication of elliptic functions, Institute, 1954-55,

I pick h e r e only two, old and (relatively) new: [13] SBminaire H. C a r t a n , 19571 58, Fonctions automorphes.

[5] H. Weber, Lehrbuch d e r Algebra 111, 2nd e d . , 1908, A detailed account of the r e s u l t s discussed ,in 5 7 on the nature

[ 6 ] M. Deuring, Die klassenkijrper d e r komplexen Multiplication. of the number field K' ( (2)) etc. i s presented in

Enzyclopadie d. math. Wiss. neue Aufl. Bd. 12, Heft loII, Stuttgart, 1141 G. Shimura and Y. Taniyama, Complex multiplication of

1958. abelian v a r i e t i e s and i t s applications to number theory, Publ. Math.

The fundamental m a t e r i a l of abelian v a r i e t i e s i s p r e s e n t e d by Soc. Japan, No. 6, Tokyo, 1961.

[7] A. Weil, V a r i b t e s abeliennes e t courbes alg'ebriques , A r e c e n t volume

Hermann, P a r i s , 1948. [15] A. Weil, B a s i c number theory, Springer, 1967

[a] S. Lang, Abelian v a r i e t i e s , Interscience, New York, 1959. contains a m o d e r n t r e a t m e n t of c l a s s field theory, a s well a s t h e

The analytic t h e o r y of theta functions and abelian v a r i e t i e s i s s t r u c t u r e t h e o r e m s of simple a l g e b r a s over number fields, which

systematically treated in generalize (8. 2-4). The l a t t e r subject, in a concise style, c a n be

found in
[9] A.. Weil, Introduction a 1' btude d e s variittes kahlhriennes,
Hermann, P a r i s , 1958, [16] M. Deuring, Algebren, Ergebn, d e r Math., B e r l i n , 1935.

[lo] C. L. Siegel, Analytic functions of s e v e r a l complex As f o r the general theory of arithmetically defined discontinu-

variables, lecture notes, Institute f o r Advanced Study, 1948, ous groups, I mention h e r e only t h r e e papers:

reprinted with c o r r e c t i o n s , 1962. [17] A. Bore1 and Harish-Chandra, Arithmetic subgroups of

algebraic groups, Ann. of Math. 75 (1962), 485-535.
 [18] G. D. Mostow and T. Tamagawa, On the compactness of connection of the H a s s e zeta function of an elliptic curve with the
arithmetically defined homogeneous s p a c e s , Ann. of Math. 76 (1962), Diophantine problems on the curve i s discussed in a survey a r t i c l e
446-463. (of c o u r s e with numerous r e f e r e n c e s )
[19] W. L. Baily and A. B o r e l , Compactification of a r i t h m e t i c [24] J. W. S. C a s s e l s , Diophantine equations with s p e c i a l
quotients of bounded s y m m e t r i c domains, Ann. of Math. 84 (19661, r e f e r e n c e t o elliptic c u r v e s , J. London Math. Soc., 41 Q966), 193-291.
442-528.
The compactness c r i t e r i o n , which g e n e r a l i z e s that f o r
#nrlr
of s11, i s given in [17] and [18]. The l a s t paper 1191 proves the existence
of a Z a r i s k i open s u b s e t of a projective v a r i e t y isomorphic t o a given
quotient like in g e n e r a l . F o r t h e s e topics, s e e a l s o the
$ 1
a r t i c l e s in [I].
T h e o r e m s 5, 9, 10, 11 and t h e i r generalizations a r e proved in
my papers:
[20] G. S h i m u r a , Moduli and f i b r e s y s t e m s of abelian v a r i e t i e s .
Ann. of Math. 83(1966), 294-338.
[21] G. Shimura, Construction of c l a s s fields and zeta functions
of algebraic c u r v e s , Ann. of Math. 85 (1967), 58-159.
[22] G. S h i m u r a , Algebraic number fields and symplectic dis-
continuous groups, Ann. of Math. 86 0967), 503-592.
The l a s t section of [22] i s a weaker v e r s i o n of the r e s u l t s s t a t e d
in §lo, for which a full account will b e d i s c u s s e d in a forthcoming paper.
Some b a s i c concepts of I -adic r e p r e s e n t a t i o n s can b e found in
[23] Y. Taniyama, L-functions of number fields and zeta functions
of abelian v a r i e t i e s , J . Math. Soc. Japan, 9(1957), 330-366.
This v e r i f i e s a l s o the H a s s e conjecture f o r abelian v a r i e t i e s
with sufficiently many complex multiplications. F o r this topic, s e e
a l s o [14], and l e c t u r e notes by J. -P. S e r r e to b e published soon. The