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Chapter 5 Two approaches to RH for curves

Original lecture date: October 14, 2019.

In this lecture, we examine two of the three “elementary” approaches to the Riemann hypothesis for curves over finite fields (that is, the approaches that do not require Weil cohomology).

  1. Comparison of a curve with its Jacobian. This is the first proof announced by Weil.

  2. Intersection theory on the self-product of the curve. This is the second proof announced by Weil.

  3. Clever use of Riemann–Roch. This approach was introduced by Stepanov for hyperelliptic curves [117] and generalized to all curves by Bombieri [11].

This list is given in order of first appearance, but we will proceed in the opposite order, focusing in this lecture on the Bombieri–Stepanov method and then the second proof of Weil. We will turn to the first proof of Weil in a subsequent lecture.

Readings 5.0.1.

For the Bombieri–Stepanov method, we continue to follow [90], Chapters VIII–IX. For the second method of Weil, we follow [63], Exercise V.1.10.

Section 5.1 The Bombieri–Stepanov method

Throughout this lecture, let \(X\) be a geometrically irreducible smooth projective curve of genus \(g\) over the finite field \(k=\FF_q\) of characteristic \(p\text{,}\) and write \(q = p^a\text{.}\) Let us first summarize what we established in the previous lecture.

Our goal is therefore to prove the Riemann hypothesis for \(X\text{,}\) which amounts to the assertion that the roots of \(P(T)\) lie on the circle \(|T| = q^{-1/2}\text{.}\)

We give some initial preparation for the Bombieri–Stepanov method.

Remark 5.1.2.

Recall that if we can prove the Riemann hypothesis for a base extension \(X_{\FF_{q^n}}\) of \(X\text{,}\) then this will imply the Riemann hypothesis for \(X\) because the zeroes and poles of \(Z(X_{\FF_{q^n}}, T)\) are the \(n\)-th powers of the zeroes and poles of \(Z(X, T)\text{.}\) In particular, we can arrange for \(q\) to be “sufficiently large” compared to \(g\text{.}\)

Definition 5.1.3.

Let \(\alpha_1^{-1},\dots,\alpha_{2g}^{-1}\) be the roots of \(P(T)\text{,}\) labeled so that \(|\alpha_1|\leq \dots\leq |\alpha_{2g}|\text{;}\) the functional equation implies that \(q/\alpha_i = \alpha_{2g-i}\text{.}\) Utilizing the equality

\begin{equation*} \log\left(\frac{P(T)}{(1-T)(1-qT)}\right) = \sum_{N=0}^\infty \frac{\#X(\FF_{q^N})}{N}T^N, \end{equation*}

expanding power series, and matching coefficients, we obtain

\begin{equation*} \#X(\FF_{q^N}) = q^N+1 - \sum_{i=1}^{2g}\alpha_i^N \end{equation*}

for all \(N\geq 1\text{.}\) In particular, the Riemann Hypothesis would imply

\begin{equation*} \left|\#X(\FF_{q^N})-q^N -1\right|\leq Cq^{N/2} \end{equation*}

for \(N\geq 1\) and \(C\) a constant (we can take \(C=2g\)). A key point here is that the reverse implication is also true!

The hypothesis implies that

\begin{equation*} \sum_{N=0}^\infty (\alpha_1^{dN}+\dots+\alpha_{2g}^{dN}) T^N \end{equation*}

converges in the open disc \(|T|\lt q^{-d/2}\) (say, by the root test). In particular, the power series

\begin{equation*} \sum_{i=1}^{2g}(1-\alpha_i^dT)^{-1} \end{equation*}

converges uniformly on \(|T|\lt q^{-d/2}\) (i.e., there are no poles), so that \(|\alpha_i|\geq q^{-1/2}\text{.}\) The functional equation then tells us that \(\alpha_{2g-i} = \alpha_i/q\text{,}\) and hence we obtain \(|\alpha_i| = q^{-1/2}\) for all \(i\text{.}\)

We are thus reduced to proving an upper bound and a lower bound on \(\#X(\FF_q)\text{.}\) We start with the former, again keeping in mind that we may apply this after performing a base change.

There is nothing to verify if \(\#X(\FF_q)\) is empty, so assume there is an \(\FF_q\)-rational point on \(X\) and call it \(\infty\text{.}\) The goal is to write down a rational function on \(X\) with a controlled pole at \(\infty\) and with zeroes at \(X(\FF_q)\setminus \{\infty\}\text{;}\) this would then imply \(\#X(\FF_q)\leq 1+P\text{,}\) where \(P\) denotes the pole order of the function at \(\infty\text{.}\) To this end, let

\begin{align*} H_m&:= \{f\in K(X):\divis(f)\geq -m\infty\}\\ H_m^{p^\mu}&:=\{f^{p^\mu}:f\in H_m\}. \end{align*}

Let us consider a function

\begin{equation*} f= \sum \nu_is_i^q, \end{equation*}

with \(\nu_i\in H_l^{p^\mu}\) and \(s_i\in H^m\text{.}\) Suppose that \(f\) is not identically zero and that \(\delta(f) = \sum \nu_i s_i = 0\text{.}\) It follows that \(f\) vanishes on \(X(\FF_q)\setminus \{\infty\}\text{.}\) If we assume moreover that \(p^\mu\lt q\text{,}\) then \(f\) is a perfect \(p^\mu\)-th power and hence vanishes to order \(p^\mu\) at each of its zeroes; in particular, we obtain

\begin{equation*} \#X(\FF_{q})\leq 1+\deg(f)/p^\mu \leq 1+l+mq/p^\mu. \end{equation*}

Now we examine when such an \(f\) exists. By polar expansion around infinity, one may show that the map

\begin{equation*} \delta: H_l^{p^\mu}\cdot H_m^q\to H_{lp^\mu+m} \end{equation*}

is in fact a well-defined linear morphism; moreover, if we assume additionally that \(lp^u\lt q\text{,}\) a straightforward calculation gives an isomorphism \(H_l^{p^\mu}\cdot H_m^q\cong H_l^{p^\mu}\otimes H_m^q\text{,}\) and hence

\begin{equation*} \dim_{\FF_q}H_l^{p^\mu}\cdot H_m^q = \dim_{\FF_q} H_l^{p^\mu}\dim_{\FF_q} H_m^q. \end{equation*}

By Riemann–Roch,

\begin{equation*} \dim_{\FF_q}H_l^{p^\mu} = \dim_{\FF_q}H_l\geq \max\{1,l+1-g\}. \end{equation*}

Hence \(\delta\) will have a nontrivial kernel whenever

\begin{equation*} (l+g-1)(m+1-g)-(lp^\mu+m+1-g)>0. \end{equation*}

To optimize this, choose \(\mu = s/2\) and \(m=\sqrt{q}+2g\text{.}\) All of the requisite conditions will be satisfied if we can choose an integer \(l\) for which

\begin{equation*} q+\frac{g}{g+1}\sqrt{q} \lt l\lt \sqrt{q}. \end{equation*}

This is possible so long as \(q>(g+1)^4\text{;}\) with these choices of \(l,m,\mu\) the bound reduces to

\begin{equation*} \#X(\FF_q)\leq 1+\sqrt{q}+(\sqrt{q}+2g)\sqrt{q} \end{equation*}

as desired.

The previous method does not directly give a lower bound. Instead, we use a trick to convert the lower bound problem into a collection of upper bound problems that can be treated as before.

Definition 5.1.6.

For a Galois cover of curves \(\pi:X\to S\) and an element \(\sigma\in \Gal(X/S)\text{,}\) let \(N(X/S,\sigma)\) denote the number of points \(P\in X(\overline{\FF_q})\) which lie above a point of \(S(\FF_q)\) in an unramified way and for which \(\sigma\) acts as the Frobenius on \(P\text{.}\)

Let \(\infty\) be a point counted by \(N(X/S,\sigma)\) (if there are no such points there is nothing to prove). Consider the endomorphism \(\phi\colonequals\sigma^{-1}\circ \text{Frob}\) on \(X\text{;}\) it suffices to bound the fixed points of \(\overline{\phi}\) on \(X_{\overline{\FF}_q}\text{.}\)

Maintaining the notation of Theorem 5.1.5, any nonconstant function in \(\overline{\phi}^*(H_m)\) has a pole solely at \(\infty\text{,}\) since \(\overline{\phi}^*(H_m)\subset H_{qm}\text{.}\) Consider \(f = \sum v_i\overline{\phi}^*(s_i)\) in \(H_l^{p^\mu}\overline{\phi}^*(H_m)\text{,}\) and set \(\delta(f) = \sum v_is_i\text{.}\) As in the previous proof, if there exists a nonzero function \(f\) for which \(\delta(f) = 0\text{,}\) it follows that \(f\) vanishes at all points counted by \(N(X/S,\sigma)\text{.}\) One then proceeds as before to show that \(\delta\) must have a nontrivial kernel once \(q\) is suitably chosen with respect to \(g\text{.}\)

This becomes helpful when we combine all of the automorphisms \(\sigma\text{.}\)

Both \(\sum_{\sigma \in \Gal(X/S)} N(X/S, \sigma)\) and \(\# \Gal(X/S) \# S(\FF_q)\) can be written as a sum over points \(P_0 \in S(\FF_q)\text{.}\) If \(P_0\) is not a branch point of \(\pi\text{,}\) then \(P_0\) makes identical contributions to both quantities. Thus the discrepancy comes only from fibers containing branch points, the number of which is controlled by the Riemann–Hurwitz formula.

We now derive the desired lower bound, thus completing the Bombieri–Stepanov proof of the Riemann hypothesis for curves.

If \(X\) itself can be written as a Galois cover of \(\PP^1\) via some map \(\pi\text{,}\) then Lemma 5.1.8 implies that an upper bound on \(N(X/S, \sigma)\) for each nontrivial automorphism \(\sigma\) implies a lower bound on \(N(X/S, \mathrm{id}_X) = \#X(\FF_q)\text{.}\) So in this case, we just apply Lemma 5.1.7 and we are done.

In general, \(X\) cannot always be written as a Galois cover of \(\PP^1\) (e.g., if it has trivial automorphism group and positive genus). However, we can always choose a finite separable morphism \(X\to \PP^1\) (perhaps after extending the base field, although this isn't really needed) and then take its Galois closure to obtain a Galois cover \(Z\to X\) for which \(Z\to X\to \PP^1\) is also Galois. By applying Lemma 5.1.8 to both \(Z \to X\) and \(Z \to \PP^1\text{,}\) we may again reduce the desired lower bound to some instances of Lemma 5.1.7.

Section 5.2 RH via surfaces

We now shift our attention to Weil's second method, whose main tools are the intersection pairing on surfaces and the Hodge index theorem. We briefly recall these two objects.

Definition 5.2.1.

Let \(S\) be a smooth projective surface over a field \(k\text{.}\) There is a unique bilinear pairing

\begin{equation*} \Div(S)\times \Div(S)\to \ZZ, \end{equation*}

called the intersection pairing, with the following properties.

  • If \(D_1\) and \(D_2\) are effective divisors on \(S\) without common components, then

    \begin{equation*} D_1\cdot D_2 = \text{length}_k(D_1\times_k D_2). \end{equation*}
    In other words, the pairing measures usual intersections when possible.

  • The pairing depends solely on linear equivalence; i.e. if \(D_1\sim_{\mathrm{lin}}D_1'\) and \(D_2\sim_{\mathrm{lin}}D_2'\text{,}\) then \(D_1\cdot D_2= D_1'\cdot D_2'\text{.}\)

The intersection pairing furthermore can be shown to satisfy the adjunction formula: if \(C\hookrightarrow S\) is a closed immersion and \(C\) is a smooth, projective, geometrically irreducible curve of genus \(g\) over \(k\text{,}\) then

\begin{equation*} C\cdot (C+K) = 2g-2, \end{equation*}

where \(K\) is the canonical divisor (or rather, “a” canonical divisor) on \(S\text{.}\) See [63], \S V.1.

Having set up the intersection pairing on surfaces, we can state the Hodge Index Theorem.

See [63], Theorem~V.1.9.

With this setup, we can proceed with Weil's proof. The idea is to apply the previous two theorems with \(S = X \times_k X\text{.}\) The surface \(S\) comes equipped with two natural divisors:

  • \(\Delta\text{,}\) the diagonal embedding \(X\hookrightarrow X\times_k X\text{;}\)

  • and \(\Gamma\text{,}\) the graph of the Frobenius morphism.

One can verify (by working locally) that \(\Delta\) and \(\Gamma\) have no common component and intersect transversally. Furthermore, the intersection \(\Delta\times_S \Gamma\) is naturally identified with \(X(\FF_q)\text{.}\) Thus utilizing the intersection pairing we can write

\begin{equation*} \#X(\FF_q) = \Delta\cdot \Gamma. \end{equation*}

We need the following preparatory lemma.

For the first statement, we may take an orthogonal decomposition of the space of divisors to write \(D = aH+bE\text{,}\) where \(E\cdot H=0\text{.}\) Then \(D^2H^2 = ((aH)^2+(bE)^2)H^2\text{.}\) By Theorem 5.2.2, \((bE)^2\leq 0\text{,}\) so \(D^2H^2\leq (aH)^2H^2\text{.}\) But now \((aH)^2H^2 = (H\cdot(aH+bE))^2 = (D\cdot H)^2\) as desired. For the second statement, apply the first statement to the ample divisor \(\sigma(1,1) = \sigma(0,1)+\sigma(1,0)\text{.}\)

To finish Weil's proof we now need the following computations, which follow from adjunction:

\begin{align*} \Delta^2 &= 2-2g\\ \Gamma^2&=q(2-2g)\\ \Delta\cdot\sigma(1,0)&=1\\ \Delta\cdot\sigma(0,1)&=1\\ \{\Gamma\cdot\sigma(1,0),\Gamma\cdot \sigma(0,1)\} &=\{1,q\}. \end{align*}

Now apply the previous lemma to \(a\Gamma+b\Delta\) to obtain

\begin{equation*} a^2\Gamma^2+2ab\Gamma\cdot\Delta+b^2\Delta^2\leq 2(a\Gamma+b\Delta)\cdot \sigma(0,1)(a\Gamma+b\Delta)\cdot\sigma(1,0). \end{equation*}

Simplifying gives

\begin{equation*} 0\leq 2(a+b)(qa+b)-a^2q(2-2g)-b^2(2-2g)-2ab\#X(\FF_q). \end{equation*}

In other words, we have a semipositive quadratic form in \(a\) and \(b\) represented by the matrix

\begin{equation*} \begin{pmatrix} q(2g-1)&2(q+1)-2ab\#X(\FF_q)\\ 2(q+1)-2ab\#X(\FF_q)&(2g-1) \end{pmatrix}; \end{equation*}

by Sylvester's criterion, semipositivity implies

\begin{equation*} \frac{q(2g-1)^2}{4}-(q+1-\#X(\FF_q))^2\geq 0, \end{equation*}

giving a bound as in Lemma 5.1.4 and thus completing the proof.