fl-AUTOMORPHISMS OF R[[X]]

By M. J. O'MALLEYf
[Received 13 March 1968]

1. Introduction
Let E be a commutative ring with identity, X an indeterminate over E,
and E[X] the polynomial ring over E. Gilmer (1) has recently considered
the jR-endomorphisms of E[X]—that is, those endomorphisms of E[X]
which restrict to the identity on E (2). In particular, Gilmer has deter-
mined necessary and sufficient conditions in order that an i2-endo-
morphism of E[X] be one-to-one and/or onto, and thus has determined
all jR-automorphisms of E[X]. We shall investigate the analogous problem
in the formal power series ring i?[[X]]. Explicitly, given $?, an i?-endo-
morphism of JR[[XJ], we seek to determine necessary and sufficient
conditions in order that <p be one-to-one and/or onto.
Gilmer uses the fact that if <p is an iJ-endomorphism of E[X], then
<p(X) completely determines <p in the sense that if <p(X) = fi then,
for any g(X) e E[X]y <p(g{X)) = g(/3). However, for arbitrary elements
00
g(X) and /? = £ btX* of JR[[X]], there is a problem in defining <?(/?) in
some natural way, since the coefficients of g(fi) would be, presumably,
'infinite sums' of elements of E.
oo
Sections 2 and 4 are concerned with the cases 60 = 0 and H (bon) = (0),
respectively, where (bon) denotes the ideal of E generated by bon. In § 3
we introduce topological structures in E and in i2[[X]] to effect a
00

meaningful definition of g(fi) whenever f) (bon) = (0). The notion of

topological completeness is essential. Because all of our results depend
00
on the condition that f*| (bon) = (0), we attempt in §5 to determine
71 = 1

conditions on E in order that this condition be satisfied.

All rings considered in this paper are assumed to be commutative and,
except in §3, contain an identity element. Throughout this paper, the
f This paper represents a portion of the doctorial dissertation of the author,
written under the direction of Professor Robert Gilmer. Owing to an unusual
problem of time and distance which existed during the last four months of the
author's work on the dissertation, the proofs of Lemma 4.1 and Theorems 4.2 and
4.14, in the forms in which they appear here, are due to Professor Gilmer.
Proc. London Math. Soc. (3) 20 (1970) 60-78
 iJ-AUTOMORPHISMS OF R[[X]] 61
symbols a> and to0 are used to denote the sets of positive and non-negative
integers, respectively. A collection of ideals {A^ie(0 of the ring R will
be called a decreasing sequence of ideals provided that for any n, m e w
there exists a k e co, depending on n and m, such that Ak c AnnAm.
The author wishes to offer his sincere thanks to Professor R. W. Gilmer
for his continual personal interest and encouragement throughout the
work which led to the preparation of this paper.

2. The case 60 = 0
00
Let R be a ring with identity. If g = 2 ai^ i s a non-zero element of
i?[[X]] such that the first non-zero coefficient of g is ak, then we shall
say that g has order k and we write 0(g) = k.

(2.1) THEOREM. Let j8 = 2 6,-X? e i2[|Xl], k > 1. The mapping

( 00 \ 00

SXM YSl th unique

R-endomorphism of R[[X]] which sends X onto jS. Further, <pp is onto if
and only if k = 1 and bx is a unit of R.
Proof. The first statement of the theorem is proved in (3).
If <pp is onto, it is straightforward to show that k = 1 and 6X is a unit
of R. The converse follows easily by induction.
oo
If j8 = 2) biX1 e J?[[Z]], where k $t 1, then we call the unique
ik
jR-endomorphism <pp of J?[[X]] which sends X onto jS a substitution
mapping.
(2.2) LEMMA. Lei <pp be as in Theorem (2.1) and suppose that
00

j8 = Z & V ^ J & ^ 1, 6A # 0. If <pp is not one-to-one, then bk is a zero

divisor of R.
00
Proof. If 9^ is not one-to-one, then there exists / = 2 c^X* e
v=0
such that ^(Z) =/(jS) = 0. Since /(£) = 0, it follows that c0 = 0. Suppose
that 0{f) = f£l. Then the coefficient of Xkl in /(£) is ct6^ = 0. Since
l
ct # 0, bk is a zero divisor in R, and therefore, 6& is a zero divisor in R.
From Theorem (2.1) and Lemma (2.2) we have the following corollary.
(2.3) COROLLARY. Under the hypothesis of Lemma (2.2), <p^ is an
automorphism of R[[XJ] if and only if k = 1 and br is a unit of R.
62 M. J . O'MALLEY
REMARKS. If {Mx}XeA is the collection of maximal ideals of B, then
{M^B[[X]) + (X)}XeA is the set of aU maximal ideals of B[[X]], where (X)
is the ideal of B[[X]] generated by X ((4) 49). Thus if J and J' are
the Jacobson radicals of B and i?[[X]], respectively, it follows t h a t
J' = JB[[X]] + (X).
If 59 is a homomorphism of the ring B onto the ring S, then an ideal A
of B containing the kernel of <p is prime, maximal, or primary in B if
and only if <p(A) is prime, maximal, or primary in S. From this fact
it is immediate that, if <p is an isomorphism and if J is the Jacobson
radical of B, then <p(J) is the Jacobson radical of S. Therefore, if B
has Jacobson radical equal to zero and if <p is an jR-automorphism of
then (p is a substitution mapping and <p{X) = /3 = 2 ^X"1, where
bx is a unit of B.

3. Topological considerations
Let B be a ring and let {A^ieui be a decreasing sequence of ideals of
B such t h a t f]Ai = (0). If Q. is the topology induced on B by the

sequence of ideals {A^ism, then J? is a topological ring under the topo-

logy Q. We say that (B, Q.) is complete if each Cauchy sequence of B
converges to a point of B.
It may be remarked here that the results of this section, with the
exception of Theorems (3.2) and (3.4), may all be generalized to the
case where the topology £1 on B is induced by a decreasing net of ideals
wnere
{^AIASA °f B> D ^-A = (0)- However, since we shall only be
AeA
concerned with the case when the topology on B is induced by the
decreasing sequence of ideals {(bn)}^=1 of B, we have restricted our atten-
tion to the case when A = a>.
(3.1) DEFINITION. If (B*, Q*) is a topological ring such that Q* is
induced by a decreasing sequence of ideals {B^iso) of i?*, then we say
that (B*,Q*) is a completion of (B, Q) if the following conditions are
satisfied :
(i) B is a subring of B*;
(ii) (B*, O*) is complete;
(iii) £1 is equivalent to the topology induced on B by Q*;
(iv) each element of JR* is the limit of a Cauchy sequence of B;
(v) {B*, &*) is Hausdorff.
Let S = {{rj iew : {riiieb) is a Cauchy sequence of B}. Then S with the
usual definitions of equality, addition, and multiplication is a ring. If
A = {{r^}Ub> 6 S: ri -> 0 in B], then A is an ideal of S and B can be
 E-AUTOMORPHISMS OF R[[X]] 63
embedded isomorphically in S/A. For each i e OJ, let
Bi = {{ri}ie(1) e S: there exists k e to such that, for n ^ k, rn e A^}.
Then Bi is an ideal of S for each i e a>, and further, i g j 5 . for each
* 6 a). Moreover, since f)Ai = (0), it follows that f| BJA = (0). If Q*
ieu lew

is the topology induced on S/A by the sequence of ideals {Bi/A}ie(i),

then (S/A,Q,*) is a topological ring and is a completion of (R, Q) (4).
For the remainder of this paper we will use the notation (i2*,Q*) to
denote the completion of (R, Q.) as derived above.
If there exists an ideal M of R such that Ml = A+ for each % e to, then
we call the topology induced on R by the sequence of ideals {Jf*}<6W the
M-adic topology.
(3.2) THBOBEM. Let R be a ring and let Q. be the topology induced on R
by the decreasing sequence of ideals {Ai}ieo) of R. Suppose that f\Ai = (0),
that each At is finitely generated, and that, for i, j e to, Ai+i c A^. Then
Af = BJA for each i G O», where A? denotes the ideal of R* generated by At.
(3.3) THEOREM. Let (R,Cl) be a topological ring with topology Q. induced
by the sequence of ideals {Ai}iem of R, where f\Ai = (0). Then, for each
ie<i>
i e o), AfnR = Ai} where Af denotes the ideal of R* generated by A^
If there exists an ideal M of R with a finite basis such that Mi = Ai
for each i e <v, then Theorem (3.2) and Theorem (3.3) are proved in
((3) 257). We omit the proofs of the more general cases.
(3.4) THEOREM. Let R be a ring with identity and let Q be the topology
induced on R by the sequence of ideals {(&on)}n=i> w^ere boe R and
P| (pon) = (0). If {an}ne(0 is a Cauchy sequence of (R,Q,), then there exists
l
n
a subsequence {cn}n€(0 of {an}nB0) such that cn= 5 > < V for each n e w,
where rie R for all i e o>0.
The proof of Theorem (3.4) is straightforward and we omit it.
(3.5) THEOREM. Let ($, Qx) and (#, Q2) oe Hausdorff topological rings
with topologies Qx and Q2 induced by the sequences of ideals {A^ieb) and
{Bi}iSoj °f R an^ $> respectively, where f\Ai= fl-^i = (0). Suppose that
ieu) ieto
(R, Hx) and (S, H2) are completions of (R, Q-^ and (S, Q2), respectively,
and suppose that if; is a continuous homomorphism of (R, Qx) into (S, Cl2).
Then I/J can be extended to a homomorphism tjj* of (R, Hx) into (S, H2). //,
moreover, the topology H2 is induced by a sequence of ideals {C/J^6W of S,
64 M. J . O'MALLEY
and if the topology induced on R by the sequence of ideals {Afy^ of R is
equivalent to Uv then ifj* may be chosen to be a continuous homomorphism
of (R,^) into (S,U2).
Proof. Let f e R. Then there exists a Cauchy sequence {rj <ew of
(-KjQj) such that {rj <ew -> f. Since iff is continuous, it follows that
{0(ri)}ie&> i s a Cauchy sequence of S, and hence, there exists a unique
s e 8 such that {^fo)}<6u -» s. We define
0*: R->S
by
=seS.

I t is straightforward to show t h a t ip* is a well-defined map t h a t extends

ip and t h a t 0* is a homomorphism of R into S.
Suppose now t h a t the topology Q 2 *s induced by the sequence of ideals
{Ui}iei0 of 8, and that the topology induced on R by the sequence of
ideals {Aie}ieo) of R is equivalent to Uv We show t h a t 0* is continuous
at 0. Let Uk be a fundamental neighbourhood of 0 in (8,11^; then
Uk n S is a neighbourhood of 0 in S and, since ip is continuous at 0, there
exists Ani a neighbourhood of 0 in (R, Qj), such that

Therefore

Since the topology induced on R by the sequence of ideals {4fe}^6U of R

is equivalent to Hl5 there exists F, a neighbourhood of 0 in (R, Ux),
such that F c 4 ^ Therefore, since ^*((4J e ) c [0*(^ u )] e , we have that
<£*(F) c ^*((^4n)e) c [^*(^4n)]e £ C7fc) and «^* is continuous.

4. The case Q (fy>n) = (°)

Throughout this section, we will consider the topology Q, induced on R
by the sequence of ideals {(boi)}ieaj, where b0 e R and f| (&on) = (0).
We shall continue to write (R*, Q.*) to denote the completion of (R, Q.)
as derived in §3. We note that, by Theorem (3.2), Q* is precisely the
topology induced on R* by the sequence of ideals {(boi)e}iea) of R* and,
by Theorem (3.3), (60<)eni2 = (V) ft>r e a c h * e <*>•
Throughout this section, i2 will denote a ring with identity and X
will be an indeterminate over R. For any i in o>0 we define a function
77^: i2[[X]] -> i2 as follows: 77^/), for any / e J?[[Z]], is the coefficient of
X* in /. It follows then that / = S ^(/JZ* for / e JB[[Z]] and that
i=0
 ^-AUTOMORPHISMS OF B[[X]] 65
/ = g if and only if tr^f) = n^g) for each i e a>Q. We observe t h a t each
TTi is an J?-module homomorphism from i£[[X]] onto R; t h a t is,
*^<(/) + Wi(gO for any / , g G i2[[X]] and for any r e i2, i e a>0.
Further, ^(/gr) = 2 ^ ( / f o ^ g r ) for any /, gr e JR[[X]] and for any i e w0.
3= 0

(4.1) LEMMA. .Le£ (i?, Q) 6e a topological ring, where Q. is the (bo)-adic

00

topology. Let j8 = 2fy-X*G i?[[X]], wfeere c0 G (6 O ).

(a) J / i , n e o>0, then 7rk{p***) e (bon).
(b) / / {fi}f=0 is a sequence of elements of R and if, for each i e a>0,
f(i) = S / ^ ' J then, for any h e cu0, {7rfc(/('i)(/S))}510 is a Cauchy sequence
2= 0
in the (bo)-adic topology on R.

Proof, (a) Fix k e OJ0 and let n e o»0. The coefficient of Xk in j3n+fc
will consist of a sum of terms, each of which consists of n + k factors
from {co,clt ...,ck}. For each such summand t h e greatest number of
factors not equal to c0 is k. Therefore, in any such term, n factors of c0
will appear. Hence t h e coefficient of Xk in jS?l+fc has t h e form cond,
where d e R, and so, since (con) £ (bon), we have t h a t TTk{pn+k) e (6 0 n ).
(b) Let (60n) be a neighbourhood of 0 in R. If r ^ s ^ n + k, then

= s
i=s+l / i=s+l
By (a), since any £ such that s+l ^ i ^ r has the property that i ^ n + k,
n
it follows t h a t TT^/F) G (60 ) for each such *, and hence 2 fi^kiP1) G
(&on)-
i=s+l
Thus {rrk(fU)(P))}?=o ^s a Cauchy sequence in the (60)-adic topology on R.

If (R, Q) is a topological ring, where Q. is the (60)-adic topology on R,

and if R is complete under its (60)-adic topology, then Lemma (4.1)
allows us to define, for any element j8 = 2 <v£* in JR[[X]], where c0 G (6 O ),
i=0
a certain substitution mapping (p^ from i?[[X]] into itself in the following
way.
If / = lifi^eRUX]], we consider the sequence {f{i)}f=0 of poly-
i0
i=0

nomials over R, where / ( i ) = S / ^ . By Lemma (4.1), {7Tk{f{i){P))}f=0

j=0

is a Cauchy sequence of (R, Q.) for any & e a>0. Let £>&(/) = Iim7rfc(/(i)(j8)).
i
5388.3.20 C
66 M. J . O'MALLEY
a n d w e als0
We define <pJf) to be 2 #<(/)-£*, w r i t e / ( £ ) , or £/<£* to
denote <pp(f).
Of fundamental importance to us is the following

(4.2) THEOREM. <pp, as defined in the preceding paragraph, is an

R-endomorphism of R[[X]].

Proof. Clearly <pp restricted to R is the identity mapping. That

<Pfi(f+9) = ?/}(f) + <Pfi(9) f o r a 1 1 f> 0 G J R [ [ X ] ] follows easily from t h e
definition of pk and from the fact t h a t (f+g)H) =f{i) + g{i) for each
i E oo0.

We show t h a t 9p{fg) = <pfi(f)<pfi(g) for all f,ge R[[X]]. L e t / = £ / , * * ,

i=0

9=1, QiX* e i2[[X]]. We wish to show t h a t (fg)(fi) =/(j8)gr(j8). I t suffices

i=0
to show, for any k e OJ0, t h a t

3= 0

By definition, pk(fg) = \imnk((fg)^(P)), while

i

3=0 j=0 i

(
i \i=0

To show t h a t these two limits are the same, it suffices to show t h a t

i
is a null sequence in R. We observe t h a t (fg){i) = 2 hjXj, where
3= 0

h= S /^.,while/«y« = ( i / ^ ) ( i f l r ^ ) = (//)«>+ S W where

+ \j=0 /\j=0 / j=i+l

S /rS's- Thus f(i)g(i) - (fg){i) has order a t least i + l for any i e a>0.
r+s=j"

Hence, if (bon) is any neighbourhood of 0 in R, we choose any i ^ k + n.

 ^-AUTOMORPHISMS OF B[[X]] 67
n
Then, by Lemma (4.1) (a), it follows that ^[(f^g^-ifgY^)] e (60 ),
and thus {rrk[{f{i)g{i) - (/^)(i))(j8)]}?Lo i s a n u l 1 sequence.
(4.3) THEOBEM. Let {R,Q.) be a topological ring, where Q is the (bQ)-adic
oo

topology. Let jS = J^^X* e R[[X]], where c0 G (60), and suppose that R

is complete in the (bo)-adic topology. Then cpp is the unique R-endomorphism
of R[[X]] that maps X onto j8.
Proof. The fact that <pfi is an jR-endomorphism of i2[[X|] is demonstrated
in Theorem (4.2). Suppose now that ijj is any J?-endomorphism o
such that \ji(X) = jS. We wish to show that i/r(/) = tpfi{J) for a n y / e
To do this, we show that -nk{<pp{f)) = TTk{ip{f)) for any k e a>0. By defini-
tion, 7Tk{<pp{f)) = pk(f) = HmWjk(/«)(]S)). On the other hand,
i

Hence

To show that 7Tk(i/j(f)) = ^ ( ^ ( / J ) , it therefore suffices to show that

I I I oo \\\oo
{"•/cl1/' 2 / r ^ l n is a null sequence in-R. Now
I \ \j=i+i I/)i=o

\j=i+l I \j=0 1 \j=0

Therefore, if (60n) is any neighbourhood of 0, we choose i ^ k + n.

Therefore, if

then
/ / oc

fc

_ v 77 (Bi+1)e

Therefore, since i ^ k + n, it follows from Lemma (4.1) that

k

M=0

7r
&('/'( S / j ^ ) ) f is a null sequence.
68 M. J. O'MALLEY
(4.4) THEOREM. Let {R,O) be a topological ring under the (bo)-adic
topology with completion (22*, £2*). Let a be any element of R[[X]]. If tfj
is an R-endomorphism of R[[X]] such that «/r(X) = a, then ifi may be extended
to an R'*-endomorphism of R*[[X]].
We require several preliminary results before proving Theorem (4.4).
First a remark is in order concerning a Hausdorff topological ring. Let
S be a ring with identity and let U be the topology induced on 8 by
the collection of ideals {B^ieb) of S where f\Bt = (0). Then (8,U) is a
Hausdorff topological ring and if we consider $[[X|] under the topology
U induced by the set of ideals {^£[[Z]]} iew of S[[X]], then (8[[X]],U)
is also Hausdorff. In particular, (i?*[[Z]]3 H*) is a Hausdorff topological
ring, where D* is the topology induced on i£*[[X]] by the sequence of
ideals {(b0i)R*[[X]]}ie(0. Further, since the family {Bi}iEb) is countable and
since (S, U) is Hausdorff, then, by (5), {S, U) is a metric space. Therefore,
in particular, since (i2*[[X]], H*) is Hausdorff under the (60)-adic topo-
logy, (JR*[[X)], Q*) is a metric space.
(4.5) LEMMA. Let (R,Q) be a topological ring under the (bo)-adic
topology with completion (R*,Q.*). Then R[[XJ] is dense in R*[[XJ\ under
the (bo)-adic topology on R*[[X]].
Proof. By Theorem (3.2), Q* is the (60i2*)-adic topology. Let
00
g = E ^ X * e R*[[X]], and let g + bokR*[[X]] be any neighbourhood of g.
Since R is dense in R*, there exists, for each i in u)0, an element ^ of R
suchtha,tti-diebokRiK Then

* = 1 ttX* G R[[X]] and t - g = 1 (t, - d^X* e bokR*[[X]].

i=0 i=0

Therefore, t e gr + &0*jR*[[Xj], and each basic open neighbourhood of g

meets R[[X]]. I t follows that R[[X]] is dense in -R*[[X]]; JR*[[Xj] being
given the (60)-adic topology.
(4.6) LEMMA. Under the hypothesis of Lemma (4.5), if {gi(X)}iew is a
Cauchy sequence of R[[X]] under the (bo)-adic topology, then {gi(X)}ie(i)
converges to some element g e R*[[X]] under the (bo)-adic topology on
R*[[X]].
Proof. Suppose that {gi{X)}ieb) is a Cauchy sequence of i2[[X]] under
the (60)-adic topology. Let (bok) be a neighbourhood of 0 in i2[[X]]
00
and, for each i e o», let g^X) = J^a^XK Since {gi(X)}iea) is Cauchy,
2= 0
 JB-AUTOMORPHISMS OF R[[X]] 69
oo

there exists N > 0 such that gn(X) — gm(X) = £ ianj ~ amj)^ E

(&ofc) f° r n>
ra ^ JV. It follows that {c%}iew is a Cauchy sequence of {R,Cl) for each
j E (x)0, and, in fact, if (bok) is any neighbourhood of 0 in (R, Q), there
exists NEW such that an;- — aW3- 6 (bok) for n, m^ N and for all j e o>0.
Since (i2*, Q*) is the completion of (R, Q.), then, for each j E U)Q, there
exists dj E JR* such that ai3- -> fl^-.
I claim that g = £ <U^ is the limit of {gi{X)}ie(lt in -R*[[X|] under the
j= 0
(60)-adic topology. If (60fc) is any neighbourhood of 0 in J?*[[Z]], then,
as observed in the preceding paragraph, there exists JV e o> such that
a
nj ~ amj e (^ofc) f° r n, m ^ N and for all j e toQ. Further, for each j E CO0,
there exists N^N such that anj — dj E (bQk) for n^Nj. Therefore,
if JEco0 and if n>Np then anj - amj = (anj - d,) + (d, - amj) e (bok)
for m ^ JV. But n ^ Nj implies that anj. — ^ e (bok) and, therefore,
d,- — amj E (bok) for m ^ JV. Since this holds for all j e o>0, it follows that,
for m ^ JV,

it (bok)R*[[X]l
j=0

and hence gr is the limit of {gi{X)}iea) in

We use the following lemma without proof.
(4.7) LEMMA. If X is a metric space, if Y is dense in X, and if each
Cauchy sequence of elements of Y converges in X, then X is complete.
By Lemmas (4.5)-(4.7) it follows that J?*[[Z]] is complete under the
(&0)-adic topology on J?*[[X]].
(4.8) LEMMA. Under the hypothesis of Lemma (4.5), i2*[[X]] is the
completion of R[[X]] under the (bo)-adic topology on R[[X]], where the
topology on R*[[X]] is the (bo)-adic topology.
Proof. The lemma follows easily from the preceding remark and from
Theorem (3.3).
Note that from Lemma (4.8), it follows that R is complete under the
(60)-adic topology if and only if J?[[X]] is complete under the (60)-adic
topology.
(4.9) LEMMA. Let t e R and consider the (t)-adic topology on R[[X]].
If ifj is an R-endomorphism of R[[X]], then ifj is continuous in the (t)-adic
topology on R[[X]].
The proof is straightforward and we omit it.
70 M. J. O'MALLEY
Proof of Theorem (4.4). By Lemma (4.9), if/ is a continuous i2-endo-
morphism of i2[[X)]. By Lemma (4.8), ii!*[[X]] is the completion of
under the (60)-adic topology on 22[[X]], where the topology on
is the (60)-adic topology. Hence, by Theorem (3.5) and its
proof, «/r may be extended to an i2*-endomorphism, in fact, a continuous
i?*-endomorphism of R*[[X]].
We now prove one of the most important results of this paper.

(4.10) THEOREM. Let (R, Cl) be a topological ring, where Cl is the (bo)-adic
00
topology. (Recall that we assume that f\ (bon) — (0).) Let
71 = 1

t
1=0
/ / «/r is an R-endomorphism of R[[X]] such that if>{X) = jS, then R is complete
in the (bo)-adic topology and therefore, by Theorem (4.3), I/J = 95^ 50 that ifj
is a substitution mapping.

Proof. Let {an}nsu) be a Cauchy sequence of (R, Q). By Theorem (3.4)

n
there exists a subsequence {cn}new of {an}nea) such that cn = S^&Q* for
i=0
each new. Since (R*,Q,*), the completion of (R,Q,), is Hausdorff, it
follows t h a t {an}ne(0 and {cn}nea) converge to the same limit in (R*,Q.*).
Let / = 2 r ^ e R[[X]]. By Theorem (4.4), ifj can be extended to ip*,
1=0
an J?*-endomorphism of J?*[[JL]]. Since i2* is complete under the (60)-adic
topology, ifj* is a substitution mapping by Theorem (4.3). Hence, since
</r*(X) = ijj(X) = £ we have «/-*(/) = 0(/) = £ r # = Xr^ + g, where
i=0 i=0
g e R[[X]] and g has order > 1 . Therefore, in particular, since R* is
complete under the (&0)-adic topology, {cn}nea) -> t, the constant term
of tp*(f) — ip(f). But 0 is an jR-endomorphism of i?[[X]], so t h a t
ifj(f) e R[[X]], and therefore t e R. Hence, {an}ne<o -+ t e R, and it
follows that R is complete under the (&0)-adic topology.

If b0 e R is such t h a t f| (Kl) = (°)> a n d if c e

(&o)» then f| (c?l) = (0).
new neo)
From this fact and Theorems (4.2) and (4.10), we have the following
important corollary.
(4.11) COROLLARY. Let (R,Gl) be a topological ring, where D. is the
(bo)-adic topology. If R is complete in the (bo)-adic topology, then, for any
c 6 (b0), R is complete in the (c)-adic topology.
 U-AUTOMORPHISMS OF R[[X]] 71
Proof. By Theorem (4.2) there exists an i2-endomorphism if; of i?[[iT]]
such that 7ro(</f(X)) = c. Since f| (cn) = (0), it follows, by Theorem
(4.10), that R is complete in the (c)-adic topology.
From Theorem (4.3) and Theorem (4.10), we have the following result.
(4.12) THEOREM. Let R be a ring with identity, let b0 e R, and suppose
that f| (V) = (°)- V J8 = t=0
SMT* G -#[ffl]> ^ toere is an R-endo-
morphism ifj of R[[X]] such that ifj{X) = fi if and only if R is complete
in the {b^)-adic topology. When R is complete in the (bo)-adic topology,
ifj is unique and is equal to <p^.
For the remainder of this section we shall be interested in the problem
of determining the JR-automorphisms of i?[[X]]. In particular, we shall
consider those .R-endomorphisms I{J of i2[[Z]] such that ip{X) = 2 tyX*
where f| (aon) = (0). We shall need the following lemma.
neo>

(4.13) LEMMA. Let b e R[[X]] be such that 0(6) > k. Then

(i)foranyceR[[X]],7Tk(bc) = 0;
(ii) for any c e R[[X]], ^ ( ( c + b)*) = irfc(c*).
The proof is obvious and we omit it.
Of prime importance to us is the following theorem.
(4.14) THEOREM. Let (R, Q) be a topological ring in the (ao)-adic topology,
where f) {aon) = (0). Suppose that R is complete in the (aQ)-adic topology
new
oo
and let g = YtQiX* e J R [ [ X ] ] , where gQ e (a0). Let i/r, T, and <p denote the
R-endomorphisms of R[[X]] defined by ip(f) =f(ao + g), r(f) =f(ao + X),
and <p(f) = f(g) for each f e R[[X]], respectively. Then ifj = cpr.

Proof. Let / = S / ^ e R[[X]]. To prove that ifj(f) = <pr(f), we must

show that 7Tk(ifj(f)) = TTk(9T{f)) f ° r each k e coQ. Fix k e OJ0 and, for each
»ecuo,let/«>= ifjXK Then ifj(f)= | ^ ^ where pt = l i m ^ / ^ ( a o + g))
?=o i=o i

for each j e w0. Also t = T{f) =f(aQ + X) = 5 tjX*, where tt = E / r ( r ) K ~ j

oo

for each j e w0. Therefore <pr(/) = <p(t) = t{g) = 2 s r X r , where

= Iim7rr(«(i)(gr)) for each r e

i
72 M. J. O'MALLEY
Thus

To show that W)-<pr{f) = 0, we show that {

is a null sequence. To do this, we show that if (a0)8 is an arbitrary
neighbourhood of 0, then there exists N e w such that

et N = Jc + s and fixh^N. Then

+ r
Therefore, if oi = 2J /r( • )aor~* ^ or eacn
* between 0 and ^, then, by
r=i \V
oo /r\
definition of 2 / J . ao7"^ = tt, ti-oiE (aQ)8. Therefore,

i=0
1 *[[
J Li=0

i=0
8
Also (a4 — t^ e (a 0 ) for each i = 0,1, ...,h implies t h a t

Therefore, to show that

it suffices to show that

i=0
 ^-AUTOMORPHISMS OF R[[X]] 73

Let p = g0 + gxX + ... + gkXk and q = £ gtX*. Clearly vk{tf>) = 0 for

i=k+l
v > 0, and therefore, by Lemma (4.13), we have that
*kiflh)(<h + 9)) = "k{flh){(h+P))* and ^ ( a ^ ) = ^ ( o - ^ ) for each t.
Therefore to show that

L i=0
it suffices to show that

i=0
Now,

while

i=0 t=0\ 3 = 1 \V /
Therefore, we have that
h

h I h /j\ \ fe /s+i-1 /A

i=O\j=i\V / i=0\ j=i \V

(s
h
/j\
Now, note that in 2 I • )ao7~!/i> ^ or a n y * such that 0 < i ^ h — s, each
3=S+i\*/
term belongs to (a0)8 and hence

Further,
h

and by Lemma (4.1), since h — s + 2^i^h implies t h a t i ^ k, we have

t h a t T T ^ * ) G (ao)*~& for each such i. Also, since the lowest value t h a t j
assumes is & + 1 , we have t h a t
74 M. J . O'MALLEY
since h ^ N — s + k. I t follows, therefore, t h a t

/ h \
and hence, we have shown that TTJ fUl)(a0 + g) - £ crtf* e (ao)s. Therefore,
\ i=o /
our proof is complete.
(4.15) LEMMA, T, as defined in Theorem (4.14), is one-to-one and onto.
Proof. We show that / = \xr = T[X, where / denotes the identity map
and [x is the jR-endomorphism of -R[[X|] defined by /A(/) = / ( — ao + X).
We first show that I = fxT. Ifg = —ao + X then, in the notation of Theorem
(4.14), we have that xjj = I and <p = /x. Hence tp = <pr implies that / = fir.
To show that / = T/X, we observe that, by Theorem (4.14), if iff*, T*,
and <p* are the ii!-endomorphisms of J?[[-X"]] defined by
+*(f)=f{-*o + 9), T*(/)=/(-a o + Z), and 9*<J) = f(g) = <p(g),
respectively, where vo(g) e (a0), then «/»* = <p*r*. If g = ao + X, then
tjj* = I, <p* = T, and T* = /it, and hence / = rfx. Therefore, we have that
I = (XT = Tfx, and it follows easily that T is one-to-one and onto.
(4.16) THEOREM. Let (R,Q) be a topological ring which is complete in
00
its (bo)-adic topology. Suppose that j8 = £ b^1 E J£[[X]] and let <p* and
Pfi-bo denote the unique R-endomorphisms of R[[XJ] such that (pp(X) = j8
and <Pfi-bo{X) = § — b0, respectively. Then
(i) <pp is onto if and only if <p^i,0 is onto;
(ii) q>p is one-to-one if and only if <pp-b0 is one-to-one.
Proof. Let g = fi — b0. Then, in the notation of Theorem (4.14), we
have that <p/f) =f(bo + g)i = </»(/), and ^_ 6 o (/) = f(g) = <p{f). Since i?
is complete in the (60)-adic topology, Theorem (4.14) applies, and we
have that <pp = ^p-^r. By Lemma (4.15) T is one-to-one and onto, so
that (ppT~x = fp-bo- ^ follows then that (i) and (ii) are true.
(4.17) COROLLARY. Let (R,£l) be a topological ring in the (bQ)-adic topo-
oo

logy. Let j8 = 2 biXi e i2[[X]] and suppose that ip is an R-endomorphism

of R[[X]] such that tjj{X) = j8. Then
(i) «/» is onto if and only bx is a unit of R; and
(ii) if bx is a unit of R, then ift is one-to-one.
Proof. We note that, by Theorem (4.12), R is complete in the (60)-adic
topology and «/r is the unique i2-endomorphism <pp of i£[[-X"]] such that
 jR-AUTOMORPHISMS OF R[[X]] 75
<Pp{X) = j8. (i) follows from Theorem (4.16) and Theorem (2.1), and by
Theorem (4.16) and Lemma (2.2), (ii) is true.
From Corollary (4.17) follows the important result.
(4.18) THEOREM. Let (R, Q.) be a topological ring in the (bo)-adic topology.
(Recall that we assume that f\ (V1) = (0)-) Let jB = S M ^ e R[[X]\ and
n=l i=0
suppose that ip is an R-endomorphism of R[[X]] such that tfj(X) = j8. Then
i/f is an automorphism if and only if bx is a unit of R.
5. Conditions under which f) (bon) = (0)
new
Throughout this section we suppose that R is a ring with identity.
If if/ is an .R-endomorphism (J?-automorphism) of i2[[X]] such that
oo

ifj{X) = j8 = S biXi, we shall attempt to determine conditions on R

which imply that f\ (bon) = (0). In particular, we show that, if R is
new
Noetherian and if \jj is an .R-endomorphism of JR[[X]] such that t/j(X) — j8,
then fl (&on) = (^)> a n d therefore J? is complete in the (60)-adic topology
new
and ip is the unique substitution mapping fp. Further, if 60 is regular
in R and if «/» is an .R-automorphism of i2[[X]] such that ip(X) = j3, then
we
and show
if «/» is an f*|
that (60n) = (0). In of
i2-endomorphism particular, if R that
•#[[-£]] such is anifj{X)
integral
= j3, domain
then ifj
is an jR-automorphism of i?[[X]] if and only if bx is a unit of R and
n (V) = o.
(5.1) LEMMA. Let j/r be an R-endomorphism of i2[[X]] such that
oo
i
= £ biX . Then b0 is in the Jacobson radical of R.

Proof. By ((3) 131), if 1 denotes the identity of R, then 1+rX is a

unit of JR[[X]] for every r e R. Therefore, since if; is an jR-endomorphism

of R[[X]], tfj{l+rX) = l + rbo + rJ^biX* is a unit of R[[X]] for every

r e R, and hence 1 + rbQ is a unit of R for every r e R. By ((2) 206) it
follows that 60 is in the Jacobson radical of R.
If S is a ring and A is an ideal of S, then we call A a nil ideal if each
element of A is nilpotent.
(5.2) COROLLARY. Let ip be as in Lemma (5.1) and let J be the Jacobson
radical of R. If J is a nil ideal or if H Jn = (0), then f| (bon) = (0), and
76 M. J . O'MALLEY
therefore, by Theorem (4.10), R is complete in the (bQ)-adic topology and tp
is the unique substitution mapping <pp.
Proof. The corollary is an immediate consequence of Lemma (5.1).
An important result which shows that Theorem (4.12) characterizes
the jR-endomorphisms of -S[[X]] when R is Noetherian is the following.
(5.3) COROLLARY. Let R be a Noetherian ring with identity and let J
be the Jacobson radical of R. If ip is an R-endomorphism of R[[X]] such
that «/r(X) = jB, then f| {bQn) = (0).

Proof. By ((4) 12), f] Jn = (0), and therefore the result follows from
n eo)
Corollary (5.2).
oo

(5.4) THEOREM. Let ft = £ ^X1 e R[[X]]. Let A be an ideal of R and

let (/?) denote the ideal of R[[X]] generated by /?. If b0A = A, then A ^ (£&)
for all k e co.
Proof. We observe that it suffices to show that b0A = A implies that
A c (£). For, if b0A = A, then bokA = A for all k e co. Hence if
00
g = bok+ ^ZgiX1 e R[[X]], then it follows that A c (g) and therefore, in
particular, A £ ()8&).
We show that b0A = A implies that A c (£). Let t e A. We wish to
00
determine g = 2 c^X* e -K[[X]] such that g/3 - t. Therefore, we wish to
i=0
determine the coefficients c^ of g such that

c o 6 1 + c 1 6 o = 0,
c0b2 + cxbx + c2b0 = 0,

cobk + cxbk_x + ...+ ckbQ = 0,

Now, t e A implies that t e b0A, and hence there exists r e A such that
t = rbQ. Choose c0 = r. c0 e A implies that there exists d0 e A such
that c0 = dobo. Therefore, if we choose cx = — dQb1} then it follows that
c
o&i + ci&o — 0 a n d further cx e A.
Suppose that we have determined ct such that cte A for i = 0,1, ...,&— 1
and such that the first k equations of (*) hold. For each such i, let
ct = Sjbo, SiG A. T h e n if ck -= — [sobk + sxbk_x + ...+ sk_xbx] i t follows t h a t
 iil-AUTOMORPHISMS OF B[[X]] 77
c c C = an c e
<Pk + i^&-i + • • • + A) ^ d /c ^ - Therefore, by induction, we have
determined each Cj and hence t e (/?).

(5.5) COROLLARY. .Le£ I(J be an R-automorphism of R[[X]] such that

t(X)= j,btx* = p. if [ n ( w k = n e w . then n(W i = (o).

i=0 l.7i e w J new new
Therefore, by Theorem (4.10), R is complete in the (bQ)-adic topology and tp
is the unique R-endomorphism <pg of i2[[X]]. Further, by Theorem (4.18),
bx is a unit of R.
Proof. If ip is an J?-automorphism of J?[[Z]], then it is easy to see that

fl (j8)n = f| (t(x))n = «/»( n ffln) = 0((O)) = (O). Therefore, the corollary

new neco \isesi /
follows immediately from Theorem (5.4) with A = f\ (bo)n.
new
We now impose conditions on the ring R such that Corollary (5.5) is
applicable to the 22-automorphisms o

(5.6) THEOREM. LetboeR. Ifbo\ f] (bon)\ is an intersection of primary

ideals of R, then b0 \ f| (Kn) = fl (Kn)-

I_n6<o J new
n
Proof. Let A = f| (t>o )> M = (b0). By assumption, AM = fl Q<x> where
new aeA
Qa is Pa-primary for each a e A . We show that A ^ AM by showing
that 4 g Q a for each a. If M $ P a then, since ^4If c Qa> it follows that
^4 £ Qa. If M £ P a , then 60 e P a . But Qa is i^-primary and therefore
there exists k e co such that bok e Qa. Hence A ^ Qa and our proof is
complete.
(5.7) THEOREM. Let b0 e R, b0 regular in R. Then

Let
Proof. We show that fl (V) ^ | PI (V)1 V * E PI (V)- Then
new Lnew J new
t e (bQn) for each new and, in particular, £ G (60). Therefore, there
exists c e R such t h a t t = c60. We show t h a t c e f| (V 1 )- Since £ e (60n) for
new
each n e to, there exists, for each k e co, dke R such t h a t t = cb0 = dkbok+1.
Therefore, bQ(c — dkbQk) = 0 and, since o0 is regular in R, c = dkbok e (bok).
Thus c G 0 (V) and i G [ n (V)l K
new l_n e w J
78 ^ - A U T O M O R P H I S M S OF R[[X]]
As an immediate consequence of Theorem (5.7), we have the following
important result.
(5.8) COROLLARY. Let R be an integral domain with identity and let
00
j8 = S bfX* G .R[[X]]. Suppose that ijj is an R-automorphism of R[[X]]
1=0
such that ifs{X) = jS. Then R is complete in the (bQ)-adic topology and ifj
is the unique R-endomorphism <pp of R\\X]\. Further, bx is a unit of R.
Proof. By Theorem (5.7),

andhence f) {b0R)n = (0) by Corollary (5.5). The remainder of the

new
corollary is then a restatement of the conclusion of Corollary (5.5).
REFERENCES
1. R. W. GILMEB, Jr, '.R-automorphisms of R[X]\ Proc. London Math. Soc. (3) 18
(1968) 328-36.
2. 0 . ZABISKI and P. SAMUEL, Commutative algebra, Vol. I (Van Nostrand, 1958).
3. ibid., Vol. II (Van Nostrand, 1960).
4. M. NAGATA, Local rings (Intersceince, 1962).
5. J. KELLEY and I. NAMIOKA, Linear topological spaces (Van Nostrand, 1963).

Florida State University

Tallahassee, Florida
Present address:
Manned Spacecraft Center
Houston, Texas