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Introduction
pf,\:Gal(QQ
A GL2(Of,X)
outsidetheprimesdividingNp and such thatforall primes
whichis unramified
q t Np,
(FRobq) = c(q, f),
tracepf,A detpf,A
(Frobq) = X(q)qk-l
(ii) Assume thatpo is flat and thatp is odd. Then if p restrictedto a de-
compositiongroupat p is equivalentto a representationon a p-divisible
group,again p comesfroma modularform.
irreducible
(i) PGis absolutely to Q
whenrestricted ( (-1)Tp).
reductionat 3.
(i) E has goodor multiplicative
to Q (\-).
(ii) P0 is absolutelyirreduciblewhenrestricted
Then E is modular.
(ii) det po I P = .
Then a representation
p as in the conjecturedoes indeedcomefroma modular
form.
This theoremcan also be used to prove that certainfamiliesof elliptic
curves are modular. In this summarywe have only describedthe principal
theoremsassociated to Galois representations and ellipticcurves. Our results
concerninggeneralizedclass groupsare describedin Theorem3.3.
The followingis an account of the originsof this workand of the more
specialized developmentsof the 1980's that affectedit. I began workingon
theseproblemsin the late summerof 1986 immediatelyon learningof Ribet's
result. For several years I had been workingon the Iwasawa conjecturefor
totallyreal fieldsand some applicationsof it. In the process,I had been using
and developingresultson ?-adicrepresentations associatedto Hilbertmodular
forms.It was therefore naturalforme to considerthe problemof modularity
fromthe pointofview of ?-adic representations. I began withthe assumption
that the reductionof a givenordinary?-adic representation was reducibleand
triedto proveunderthis hypothesisthat the representation itselfwould have
to be modular. I hoped rathernaivelythat in this situationI could apply the
techniquesof Iwasawa theory.Even moreoptimistically I hoped that the case
e = 2 would be tractableas thiswould sufficeforthe studyof the curvesused
by Frey. From now on and in the main text,we writep fore because of the
connectionswithIwasawa theory.
Afterseveralmonthsstudyingthe 2-adic representation, I made the first
realbreakthrough in realizingthatI could use the3-adicrepresentation instead:
the Langlands-Tunnell theoremmeantthat p3,the mod3 representation ofany
given ellipticcurve over Q, would necessarilybe modular. This enabled me
to try inductivelyto prove that the GL2 (Z/3n Z) representationwould be
modularforeach n. At thistimeI consideredonlythe ordinarycase. This led
quicklyto the studyof Hz(Gal(Fx/Q), Wf) fori = 1 and 2, whereFx is the
splittingfieldofthem-adictorsionon the Jacobianofa suitablemodularcurve,
mbeingthe maximalideal ofa Heckeringassociatedto p3 and Wf the module
associated to a modular formf describedin Chapter 1. More specifically, I
neededto comparethiscohomologywiththe cohomologyofGal(QE/Q) acting
on the same module.
I triedto apply some ideas fromIwasawa theoryto this problem. In my
solutionto the Iwasawa conjecturefortotallyreal fields[Wi4],I had introduced
Table of Contents
Chapter 1
(1.2) PO (? X *)
whereXi and X2 are homomorphisms fromDp to k* withX2 unramified.
Moreoverwe requirethat Xi #4X2. We do allow here that POIDP be
semisimple.(If Xi and X2 are both unramifiedand POIDp is semisimple
thenwe fixour choicesof Xi and X2 once and forall.)
(i) (c) Strictdeformations. This is a varianton (i) (a) whichwe onlyuse when
POIDP is not semisimpleand not flat (i.e. not associated to a finiteflat
group scheme). We also assume that XiX-1 = w in this case. Then a
strictdeformation is as in (i)(a) exceptthat we assume in additionthat
(X1/X2)IDP = E.
(ii) Flat (at p) deformations.
We assumethat each deformation p to GL2(A)
has the propertythat forany quotientA /a of finiteorderPIDP mod a
is the Galois representation
associated to the Qp-pointsof a finiteflat
groupschemeover Zp.
Proof (taken from[Dia, Prop. 6.1]). We may replace 7rby 7r0 X2-1and
we let p = XX2-1. Then 7r-( t determinesa cocyclet: Dp -* M(1) where
1)
M is a freeA-moduleof rank one on whichDp acts via A. Let u denote the
cohomologyclass in H1 (Dp, M(1)) definedby t, and let uo denote its image
in H1(Dp,Mo(1)) whereMO = M/mM. Let G = kerr and let F be the fixed
extensionof Qp). Choose n so that pnA
fieldof G (so F is a finiteunramified
= 0. Since H2(G, ppr) -+ H2(G, lps) is infectivefor r < s, we see that the
natural map of A[Dp/G]-modules H1(G, 1upn)?zp M - H1(G,M(l)) is an
isomorphism. By Kummer theory,we have H1 (G, M(1)) Fx /(FX)Px 0zpM
as Dp-modules.Now considerthe commutativediagram
~ (Sym2? det-1)po
WA = {EfWeWA:f=0onUA?},
and the filtrationsforVAare obtained by replacingW by V. We note that
these filtrations
are oftencharacterizedby the action of Dp. Thus the action
of Dp on WA?is via Xl/x2; on WA/WA? it is trivialand on WA/WAit is via
X2/xl. These determinethe filtrationifeitherX1/x2 is not quadraticor POIDP
is not semisimple.We definethe k-vectorspaces
Hstr(Qp,
VA) = ker{H1(Qp,VA) Hl (QpWA/WA?)?DHl (Qunr k)}.
UAn UAM
and hence an extensionclass in Ext1(UAM, UAn). One checksnow that (1.8)
is a map of 0-modules. We defineHf (Qp,VAn) to be the inverseimage of
Ext1(UAn, UAn) under(1.8), i.e., thoseextensionswhichare alreadyextensions
in the categoryoffiniteflatgroupschemesZp. Observethat Ext' (UAn,UAn) n
ExtO[Dp] (UAn, UAn) is an 0-module, so Hf'(Qp,VAn) is seen to be an 0-sub-
moduleofH1 (Qp,VAn). We observethat our definition is equivalentto requir-
ing that the classes in Hf (Qp,VAn) map under(1.8) to Exti(UAm,UAn) forall
m > n. For ifem is the extensionclass in Ext1(UAMi,UAn) thenem - en E UAm
as Galois-modulesand we can apply resultsof [Rayl] to see that em comes
froma finiteflatgroupschemeover Zp ifen does.
In the flat(non-ordinary) case polipis determinedby Raynaud's resultsas
mentionedat the beginningof the chapter.It followsin particularthat, since
POID is absolutelyirreducible,V(Qp) = Ho (Qp, V) is divisiblein this case
(in factV(Qp) i K/0). Thus H1 (Qp, VAn) _-H1 (Qp, V)An and hencewe can
define 00
f m,n
V,\n
_{( ZE X t = {ker: GL2 (On[e]) - GL2(O)}.
Then
=? { (1 XE )}
W.n {= ( jey6)}
=n { (1 e
6yZ) : }
and
VXn = tE )
H'(91 (V1
'I
0 "LI)1) - H'(9, (V~n/WA~)t
H1 (Qp, VAn/Wn)
H1(Qpunr,
Vn/Xn )
' E Homo(pP)/p2,0/An).
{
we definea map aog: Gal(Qr/Q) -+ VAn by
HF (QpV,\n) C HSe(QpVn).
(1.9) 0 -- V -- E -6 K -O 0
of K-vectorspaces with commutingcontinuousGalois action. If we fixan e
with 8(e) = 1 the action on e is definedby oe = e + &(of) with & a cocycle
representinga. The secondconstruction beginswiththe imageofthe subspace
(a) in H1 (Qp, V). By the analogue of Proposition1.2 in the local case, there
is an 0-module isomorphism
H1 (QP, V) c Homo (PR/p2,K/()
(1.10) 0 -? U -E -? U -? 0
whereU - K2 has the Galois representation pf,A(viewedlocally).
In the firstconstruction a E HF(QP, V) ifand onlyiftheextension(1.9) is
crystalline,as the extensiongivenin (1.9) is a sum of copies of the moreusual
extensionwhereQp replacesK in (1.9). On the otherhand (a) C Hf (Qp,, V) if
and onlyifthe secondconstruction can be made throughRfl,or equivalentlyif
and onlyifE' is the representation associatedto a p-divisiblegroup. (A priori,
the representationassociated to p, only has the propertythat on all finite
quotientsit comes froma finiteflat group scheme. Howevera theoremof
Raynaud [Rayl] says that then p, comes froma p-divisiblegroup. For more
details on Rfl,the universalflatdeformationringof the local representation
po, see [Ram].) Now the extensionE' comes froma p-divisiblegroup if and
onlyifit is crystalline;cf. [Fo, ?6]. So we have to showthat (1.9) is crystalline
ifand onlyif (1.10) is crystalline.
One obtains (1.10) from(1.9) as follows.We view V as HomK(U, U) and
let
X = ker:{HomK(UU ) OU - U}
E' (E ? U)/X.
f(Wl)08)w2-f(w2)08)W1 =0 in U X U.
(1.11)
HF7 (
H1(Qp, VVr s)) = HF(Qp, VAr)
and similarly for V*. Both results are immediate from the definition (and
indeedwerepart of the motivationforthe definition).
We also givea finitelevelversionof a resultofBloch-Katowhichis easily
deduced fromthe vectorspace version.As beforelet T C V be a Galois stable
lattice so that T - 04. Define
HI (Q T) = i (H
1 (Q7 V))
under the natural inclusion i: T --+ V, and likewise for the dual lattice T* =
Homzp(V,(Qp/Zp)(1)) in V*. (Here V* = Hom(V, Qp(l)); throughoutthis
paper we use M* to denote a dual of M with a Cartier twist.) Also write
prn: T -- T/A' for the natural projectionmap, and for the mapping it
induceson cohomology.
Proof. We first observe that prn (HF(Qp, T)) C HF(Qp, T/An). Now
fromthe constructionwe may identifyT/An with VAn. A result of Bloch-
Kato ([BK, Prop. 3.8]) says that HF (Qp, V) and HF(Qp, V*) are orthogonal
complementsunderTate local duality. It followsformallythat HF(QP, V*n)
and prn(HFk(Qp,T)) are orthogonalcomplements, so to provethe proposition
it is enoughto showthat
(1.12) # HF(Qp, VA'n) # HFp(Qp, VAn)= #H1(Qp VAn).
Now if r = dimK Hk(Qp, V) and s = dimK HF(Qp, V*) then
(1.13) r + s = dimK HO(Qp, V) + dimKHO(Qp, V*) + dimK V.
Fromthe definition,
(1.14) # HF (Qpa VAn)=# (Q/)Any) #ker{H1 (Qp, VAn) >H1 (Qp, V)}.
H (Qp7 WA~n/(WA~n)
)
PROPOSITION 1.5.
HA = -1 (Xni)
*(QpWX*n)
Hse*(QpV>*n) = f01 (yni)
same. 0
Ax: H1(Q/QX) -- JJ
H1(QqX)
qEF,
be the localizationmap and similarlyAx* forX*. Then we set
HL(Q/QX) = A-1(L), HL*(Q/QX*) =AX1*(L*).
The followingresultwas suggestedby a resultof Greenberg(cf. [Grel]) and
is a simpleconsequenceof the theoremsof Poitou and Tate. Recall that p is
alwaysassumedodd and that p E E.
PROPOSITION 1.6.
L+ HO(Q/Q, X*)A - 0,
#HL,(QEuq/QX)/#HL(Q/QX) ? #H0(QqX*)
whereL' = Le for? E E and L- = H1 (Qq ,X).
Proof. Considerthe shortexact sequenceof inflation-restriction:
0 - -- Hom(Ga1(QEUq/QE), X)Gal(QF/Q)
HHL(QE/QX) HLj,(QEuq/QX)
#Ho (QV)*n)
hpho = # (O/A)3n#Ho (QpVA*n)/
in the unrestricted
case.
(ii) If X = VAXn
then
\6
We now give two group-theoretic results which will not be used until
Chapter 3. Althoughthese could be phrasedin purelygroup-theoretic terms
it will be moreconvenientto continueto workin the settingof Section 1, i.e.,
withpo as in (1.1) so that impo is a subgroupof GL2(k) and detpo is assumed
odd.
LEMMA 1.10. If impo has orderdivisiblebyp then:
(i) It containsan element'Yoof orderm > 3 with(m,p) = 1 and 'Yotrivial
on any abelian quotientofimpo.
(ii) It containsan elementpo(G) withany prescribedimage in the Sylow
2-subgroupof (impo)/(impo)' and withthe ratio of the eigenvaluesnot equal
to w(of). (Here (impo)' denotesthe derivedsubgroupof (impo).)
Proof. (i) Let G = impo and let Z denote the centerof G. Then we
have a surjectionG' - (G/Z)' wherethe ' denotes the derivedgroup. By
Dickson's classificationof the subgroupsof GL2(k) containingan elementof
orderp, (G/Z) is isomorphicto PGL2(k') or PSL2(k') forsome finitefieldk' of
characteristic p or possiblyto A5 whenp = 3, cf.[Di, ?260]. In each case we can
find,and then liftto G', an elementof orderm with (m, p) = 1 and m > 3,
except possiblyin the case p - 3 and PSL2(F3) - A4 or PGL2(F3) S4.
Howeverin thesecases (G/Z)' has orderdivisibleby 4 so the 2-Sylowsubgroup
of G' has ordergreaterthan 2. Since it has at mostone elementofexact order
2 (the eigenvalueswouldboth be -1 sinceit is in the kernelofthe determinant
and hencethe elementwould be -I) it mustalso have an elementof order4.
The argumentin the A4, S4 and A5 cases is similar.
G = impo has no fixedline.
(ii) Since po is assumedabsolutelyirreducible,
We claim that the same then holds forthe derivedgroup G'. For otherwise
sinceG' < G we could obtain a secondfixedline by taking(gv) where(v) is the
originalfixedlineand g is a suitableelementofG. Thus G' wouldbe contained
in the group of diagonal matricesfora suitable basis and eitherit would be
centralin which case G would be abelian or its normalizerin GL2(k), and
hence also G, would have orderprimeto p. Since neitherof thesepossibilities
is allowed,G' has no fixedline.
By Dickson's classificationof the subgroupsof GL2(k) containingan el-
ementof orderp the image of impo in PGL2(k) is isomorphicto PGL2(k')
or PSL2(k') forsome finitefieldk' of characteristic p or possiblyto A5 when
p = 3. The only one of these with a quotientgroup of orderp is PSL2(F3)
whenp = 3. It followsthat p t [G: G'] except in this one case whichwe treat
separately.So assumingnow that p t [G: G'] we see that G' containsa non-
trivialunipotentelementu. Since G' has no fixedline theremustbe another
noncommuting unipotentelementv in G'. Pick a basis forPOIG' consisting
of theirfixedvectors. Then let r be an elementof Gal(Qr/Q) forwhichthe
image of po(r) in G/G' is prescribedand let Po(T) = (a d). Then
(a b )(1sax)(
Now suppose that impo does not have orderdivisibleby p but that the
po has image isomorphicto S4 or A5, so
associated projectiverepresentation
necessarilyp 7&3. Pick an element such that the image of po(r) in G/G' is
r
any prescribed class. Since this fixes both det po(r) and w(r) we have to show
that we can avoid at most two particularvalues of the trace for'r. To achieve
thiswe can adapt our firstchoiceof r by multiplying by any elementofG'. So
picka E G' as in (i) whichwe can assume in thesetwo cases has order3. Pick
a basis forpo,by extendingscalars ifnecessary,so that a -+ (a a- ). Then one
checkseasilythat ifPo(r) = (c d) we cannothave the tracesofall ofT, ar and
a2 lyingin a set of the form{Tt} unless a = d = 0. Howeverwe can ensure
that po(r) does not satisfythis by firstmultiplyingr by a suitableelementof
G' since G' is not containedin the diagonal matrices(it is not abelian).
In the A4 case, and in the PSL2(F3) - A4 case when p = 3, we use a
differentargument.In both cases we findthat the 2-Sylowsubgroupof G/G'
is generatedby an elementz in the centreofG. Eithera powerofz is a suitable
candidate forpo(a) or else we mustmultiplythe powerof z by an elementof
G', the ratio of whose eigenvaluesis not equal to 1. Such an elementexists
because in G' the onlypossibleelementswithoutthispropertyare {TI} (such
elementsnecessarilyhave determinant1 and orderprimeto p) and we know
that #G' > 2 as was noted in the proofof part (i). L
(i) f3o(a) $ 1,
(ii) a fixesQ((pn),
(iii) a has an eigenvalue1 on X.
Chapter 2
P
I D(O X 2)
Dp 0 X2
(2.2) 0 Do D __DE _0
fixedchoiceof ()
wherethe notationis taken from[MW1] loc. cit. Here E't and El, are the
two smoothirreduciblecomponentsofthe special fibreofthe canonicalmodel
of X1(Np)l0 describedin [MW1, Ch. 2]. (The smoothnessin this case was
provedin [DR].) Also Jl(Np)6t1 denotesthe canonical etale quotientof the
r-divisiblegroupover 0. This makes sense because J1(Np)m does extendto
H?(Xi(N.p)1V' 7 [in'].
Q)
Tan(Ji(Np))/zP (0 Tm Tm.
Tp
(2.11) q q Tq ]
[~~~~~
whence
Tp -(Pj
Now use the isomorphismS/iS Hom(T, Fj) and note that if f is in the
kernel of S -- Hom(T1, Fj), then an(f) = al(Tnf) is divisible by l for all n
primeto 1. But thenthe modl formdefinedby f is in the kernelofthe operator
q d , and is therefore
trivialif I is odd. (See Corollary5 of the main theorem
of Ka].) Thereforef is in IS.
Tam2 (JHN2)
( Tamp (JH(N,p)) -Tam, (JH(N)2)
(2.12) TI V2 T Ivl
Tam(JH(N)) Tam(JH(N))
The verticalisomorphismsare definedby v2: x (-(p)x, apx) and vi: x - -
LEMMA2.5. If q $&
p is a prime and r > 1 thenthesequenceof abelian
varieties
0 -O Ji(Nqr-l) 1 J(Nqr) x J1(Nq) ) J1(Nq " qr+l)
where 6i = ((irr o 7r)*, - (7r2,ro 7r)*) and (? = (7r*r, 7r*,r) induces a corre-
spondingsequenceofp-divisiblegroupswhichbecomesexact whenlocalizedat
any M(q)for whichPmis irreducible.
withA1replacingA1and B1 replacingB1.
togetherwitha similarisomorphism
We also obtain
H1 (F1(Nq r-l), Q /Z ) -H1 (F1 (Nqr) n F(q), QP/ZP)Aq.
q 0 -(q) .
0 q Tq
q(q + 1) Tq *q Tq2-(q)(1 + q)
0of = Tq*- q q(q+ 1) Tq - q
Tq*2- (q)-'l ( + q)
q~~~~~~qq1 Tq**q q(q + 1
where Tq*= (q)-1Tq.
We computethenthat
(U1 o 2)=(q-l)(q 1)(Tq-(q)(1 + q))
(Aq) = (q -
1)2 (T2 - (q)(1 + q)2))
(2.18) U, =
(Aq) = (a o )
where a: TH(Nq, q2)mq_*Sl,ml - TH(N, q)m is the restriction map induced
by the restriction
map on M(q)-localizations
describedabove.
PROPOSITION 2.10. Suppose that m is a maximal ideal of TH(N, q)
associatedto an irreducible
m of type(A). Then
(Aq) = (q - 1)2 (q + 1).
TI V2 T I vi
The case that correspondsto type (B) is similar.We assume in the anal-
ysis of type (B) (and also of type (C) below) that H decomposesas HIHq as
describedat the beginningof Section 1. We assume that m is a maximalideal
of TH(Nqr) whereH containsthe Sylowp-subgroupSp of (Z/qrZ)* and that
(2.19) Pm 1)
(Xq
fora suitablechoiceof basis withXq $&1 and condXq = qr. Here q { Np and
we assume also that Pmis irreducible.We use the sequence
*
(7r/) 06 r r~~l ~2O07r' xJHN
JH(Nq') x JH(Nqr ) I* JH,(Nqrq r+l) JxJ(
J )
definea principalideal
We can therefore
(Lq) = (a o
using,as previously, thattheringsTH' (Nqr, qr+l)M and TH(Nqr)m are Goren-
stein. We compute(Aq) in a similarmannerto the type (A) case, but using
this timethat Uq*Uq = q on the space of formson FH(Nqr) whichare new at
q, i.e., the space spanned by forms{f(sz)} where f runs throughnewforms
withqr I levelf . To see this let f be any newformof level divisibleby qr and
observethat the Peterssoninnerproduct ((UUq - q)f (rz), f (mz)) = 0 for
any m I (Nqr/ levelf ) by [Li, Th. 3(ii)]. This shows that (Uq*Uq- q) f (rz),
a priori a linear combinationof {f(miz)}, is zero. We obtain the following
result.
PROPOSITION 2.12. Suppose that m is a maximal ideal of TH(Nqr)
associatedto an irreducible
Pmof type(B) at q, i.e., satisfying
(2.19) including
thehypothesisthatH containsSp. (Again q t Np.) Then
(A) = (agq-(a2
-
)X
(A/) = (c(2 _ (q))(q - 1).
Remark. Note that ifwe suppose also that q 1(p) then (i\) is the unit
ideal and a is an isomorphismin (2.22).
In the exceptional case the same statements hold withm" replacing m', TV (M)
replacingT'(M) and kintreplacingko.
( Xqr2i f
= (Xqj - qi(g)) (Xqi - qi (9()) if qj t level(g)
definedby
J Xp2- + pXg(P) ifp M, p t level(g)
ap(g)XXp
Zp =
1
Xp-ap(g) ifp{M
Xp- ap(g) ifplevel(g),
wherethe Euler factorof g at p is (1 - ap(g)p-8+ Xg(p)pl-2.) in the first
two cases and (1 - ap(g)p-8) in the thirdcase. We then have a commutative
diagram
T',(M) C0 H Og
(2.27) f f
TH(M) C HSg =
r 09g[Xql ,***Xqr, Xp]/{Yi, Zp}1
9 9
where the lower map is given on {Uqi, Up or Tp} by Uq% o Xqj, Up or
Tp ) Xp (accordingas p I M or p t M). To verifythe existenceof such
a homomorphism one considersthe action of TH(M) on the space of formsof
weight2 invariantunderrH(M) and uses that I>r=1gj(mjz) is a freegener-
ator as a TH(M) 0 C-module where{gj} runs overthe set of newformsand
mj = M/level(gj).
Now we tensorall the ringsin (2.27) with Zp. Then completingthe top
rowof (2.27) withrespectto m' and the bottomrowwithrespectto m we get
a commutativediagram
T' (M)mi 5
( 0U))m r 9
(2.28) { { I
TH(M)m C ( Sg) ( H(Sg)m.
\ilp Jm
whereA9,j denotesthe productof the factorsof the completesemi-localring
X***Xqr,Xp]/{Yi, Zp};r1 in whichXqj is topologicallynilpotentfor
Qgqs[Xq1,.
G/Qc?GO/Q ED GO/Q
Tp = F + (p)F
Since Tp E m it followsthat F + (p)FT = 0 on Go/F and hencethe same holds
on G/FP. But Tp is an endomorphismof G/ZP whichis zero on the special
fibre,so by [Rayl, Cor. 3.3.6], Tp = 0 on G/ZP. It followsthat Tp = 0 in km[E]
whichcontradictsour earlierhypothesis. So Tp E (m2,p) as required. This
completesthe proofof the proposition. Oi
FRomthe proofofthe propositionit is also clear thatmis the uniquemax-
imal ideal of TH(M) extendingm' and satisfyingthe conditionsthat Uq E m
forq e E - {M U p} and Up V m ifpo is ordinary.For the restof this chapter
we will alwaysmakethis choiceof m (givenpo).
Next we defineTD in the case when D = (ord, ,Q,M). If n is any
ordinarymaximalideal (i.e. Up V n) of TH(Np) withN primeto p thenHida
has constructeda 2-dimensionalNoetherianlocal Hecke ring
YD TH(MOP)m 0 (9,
W(km)
(2.32) TD YDIT',
i.e., whereD' is the same as D but with 'Selmer' replacing'ord'. Moreoverif
q is a heightone primeideal of TD containing((1 + T)P' - (1 + NP)Pn(k-2))
forany integersn > 0 k > 2, then TD/q is associated to an eigenformin a
naturalway (generalizingthe case n = 0, k = 2). For moredetails about these
ringsas well as about A-adic modularformssee forexample [Wil] or [Hil].
For each n > 1 let Tn = TH(Mopl),n. Then by the argumentgiven
afterthe statementofTheorem2.1 we can constructa Galois representation Pn
unramified outsideMp withvaluesin GL2(Tn) satisfying tracep (Frob 1) = T1,
detp, (Frobl) = 1(1) for(1, Mp) = 1. These representations can be patched
togetherto give a continuousrepresentation
(2.33) p = limp,: Gal(Q/Q) - GL2(TD)
Tn-1
type (C). For q = p one can use Theorem2.1.4 of [Wil] in the ordinarycase,
the flatcase beingwell-known.
The followingconjecturegeneralizesa fundamentalconjectureof Mazur
and Tilouine forV = (ord,A, W(ko), 0); cf. [MT].
problemassociated to
Pick ai foreach i. We let DQ be the deformation
representationsp of Gal(QsuQ/Q) whichare oftypeD and whichin addition
satisfythe propertythat at each qj E Q
(2.34) P _,( X
X Xlqi )
with X2,qiunramifiedand X2,qi (Frobqj) -i mod m fora suitable choice of
basis. One checksas in Chapter 1 that associated to DQ thereis a universal
deformation ringRQ. (These new conditionsare reallyvariantson type (B).)
We willonlyneed a corresponding Heckeringin a veryspecial case and it
is convenientin thiscase to defineit usingall the Heckeoperators.Let us now
set N = N(po)p6(Po)where6(po) is as definedin Theorem2.14. Let modenote
a maximal ideal of TH(N) given by Theorem 2.14 with the propertythat
pmo PO over Fp relative to a suitable embedding of kM0-+ k over ko. (In the
exceptionalcase we also imposethe same conditionon moabout the reduction
of Up as in the definition
ofTD in the exceptionalcase before(2.25)(b).) Thus
pmo pf,A,mod A over the residue fieldof OfA, forsome choice of f and A
with f of level N. By droppingone of the Euler factorsat each qj as in the
proofof Proposition2.15, we obtain a formand hence a maximalideal mQ of
TH(Nql ... qr) with the property that pmQ PO over Fp relative to a suitable
embeddingkmQ-+ k over kM0.The fieldkmQis the extensionof ko (or kmin in
the exceptionalcase) generatedby the caj,fi. We set
(pQ using the argumentsin the second halfof the proofof Proposition2.15.
For q E Q we use the fact that Uq is the image of the value of X2,q(Frobq)
in the universalrepresentation; cf. (2.34). For q I M, but not of the previous
types,Tq is a trace in PTQ and we can apply the Cebotarev densitytheorem
to show that it is in the image of ,oQ.
0, then set pQ = ker7rand let pp de-
Finally, if there is a section a: TQ -+
a
(2.38) {( g)}
CAdpOK/O
- P()
= {( c d )
b):a~b~cdE0}?K/0
' ' '
and let V(qi)= V/V(qi). Then as in Proposition1.2 we have an isomorphism
This is well-defined
independently of the pairingsand moreoverone sees that
TvD/71is torsion-free
(see the appendix). Fromits description(71)is invariant
underextensionsof 0 to 0' in an obviousway. Since Tv is reduced r(r1)+ 0.
One can also verifythat
(2.43)
up to a unit in 0.
We will say that Di D V if we obtain Di by relaxingcertain of the
hypotheseson D, i.e., if19= (., E, 0, M) and Di = (, 0iOi, M1) we allow
that El D E, any O1, M D M1 (but of the same type) and if is Se or str
in D it can be Se, str, ord or unrestrictedin Di, if . is fl in Di it can be fl
or unrestricted in 1i. We use the termrestrictedto signifythat is Se, str,
fl or ord. The followingtheoremreducesconjecture2.16 to a 'class number'
criterion. For an interpretation of the right-handside of the inequalityin
the theoremas the orderof a cohomologygroup,see Proposition1.2. For an
interpretation of the left-handside in termsof the value of an innerproduct,
see Proposition4.4.
Then
(i) pD1,:RD1 _TM1 is an isomorphism
for all (restricted)Di D 1.
(ii) TD1 is a completeintersection(over 01 if. is Se, str or fl) for all re-
strictedD, D D.
T - -
HomZ, (T, Zp), Tq Homzp (Tq, Zp)
to define (LAq) = (aqo &q). However, using the description of the pairings
as W(km)-algebras derived fromthese Zp-pairings in the paragraph following
(2.42) we see that the ideal (Aq) is unchanged when we use W(km)-algebra
pairings, and hence also when we extend scalars to ( as in (2.42).
On the other hand
Remark 2.18. If we suppose in the Selmer case that f has level N with
p t N we can also consider the ring TH(MO)mo (with Mo as in (2.24) and mo
defined in the same way as for TH(M)). This time set
Define r10,rj,Po and p with respect to these rings, and let (Ap) = oo &p where
OP: T - To and the adjoint is taken with respect to (-pairings on T and To.
We then have by Proposition 2.4
Remark. For some earlier work on how deformation rings change with E
see [Bo].
Chapter 3
(3.3)
n1T,f= ( f (l)).
o -0 H~D(QE/QV) -
HD'Q(QEUQ/QV) -Q
JJ
H(Qunrv(q))Ga (Q nr/Qq)
qEQ
I It
T T
0 - T
(PT/P ) (PTQ/PTQ) QS. KQ -O
by
(3.4) aQ={ai-1,bicidi-1: ( i
ac b(i) withvi C Iqqi C Q
qEQ
T T 4Q T LQ
HI(Q/QV*) II
fJH'(QqV;)
qEQ
(i) 3o(a) $ 1,
(3.10) #HD(QEuQ/Q, Vf
[AM]) = ho. IJ hq.
qEEUQ
(3.11) (PT
#(wr/PT) = #(O/1,TJ)cp= #(01/7T,,f) < # (PT,/T')
wherethe centralequality is by Remark 2.18 and the right-handinequality
is fromthe theoryof Fittingideals. Now applyingpart (i) we see that the
inequalityin (3.11) is an equality. By Proposition2 of the appendix, TD is
also a completeintersection.
The finalassertionof the theoremis provedin exactlythe same way on
notingthat we only used the minimalityto ensurethat the hq's were 1. In
general,theyare bounded independentof M and easily computed. (The only
pointto note is that ifpf,Ais of multiplicative
type at q thenpfAIDq does not
split.) D
THEOREM
to Q
whenrestricted
3.3.
( Assume that po is modularand absolutelyirreducible
1 p) . Assumealso thatpo is oftype(A), (B)
or (C) at each q : p in S. Then the map WE): RE) TE of Conjecture2.16
is an isomorphism for all D associatedto po, i.e., whereD = (.,E,Y,M) with
* = Se, str,fl or ord. In particularif. = Se, str or fl and f is any newform
for whichpf,Ais a deformation ofpo of typeD then
Chapter 4
In this section we estimate the order of the Selmer group in the ordinary
CM case. In Section 1 we use the proof of the main conjecture by Rubin to
bound the Selmer group in terms of an L-function. The methods are standard
(cf. [de Sh]) and some special cases have been described elsewhere (cf. [Guo]).
In Section 2 we use a calculation of Hida to relate this to the rj-invariant.
We assume that
(Q. En) = i{
#H
f
#(C)/l-I/(q)) if v-=I1mod A
1 otherwise
Iq()I
where?q = #HO(Qq, Y*) forq :&p, ip = lim # HO(Qp, (Yn?)*).This follows
fromProposition4.1, (4.4)-(4.7) and the elementaryestimate
each Un't being the principallocal units in L(fpn)qp. (Note that the primes
of L(f) above p are totallyramifiedin L(fpoo)so we still call them {q3}.) We
wishto definecertainhomomorphisms bk on Up. These werefirstintroduced
in [CW] in the case wherethe local fieldFspis Qp.
Assume forthe momentthat Fq3is Qp. In this case Eq is isomorphicto
the Lubin-Tategroupassociated to 7rx+ xP where7r= ~p(p). Then lettingwn
be nontrivialrootsof [7rn] it was shown
(x) = 0 chosenso that [ir](an) = wi~n-1
in [CW] that to each elementu = limun E UOq therecorrespondeda unique
powerseriesfu(T) e Zj[T X such that fu(wn) = Un forn > 1. The definition
of 6ke (k > 1) in this case was then
by (4.8) and it
Each termis independentof the choiceof coset representative
is easily checkedthat
(2(U') = V(Of)4D2(U).
It takes integralvalues in (9q [v]. Let UO (v) denotethe productof the groups
of local principalunits at the primesabove p of the fieldL(v) (by whichwe
mean projectivelimitsof local principalunits as before). Then 12 factors
throughUO (v) and thus definesa continuoushomomorphism
-+CP I
(D2:UOO,,(VJ)
Let COObe the groupofprojectivelimitsofellipticunitsin L(v) as defined
in [Ru4]. Then we have a crucialtheoremof Rubin (cf. [Ru4], [Ru2]), proved
usingideas of Kolyvagin:
THEOREM 4.2. There is an equalityof characteristicideals as A =
Zp[[Gal(L(v)/L)]] -modules:
charA(Gal (Moo/L(v))) = charA(UO(v)/CJ,).
inf# {O/{JLoq(21P)/Lfo(2P)}} = t
since PF-2 =-
We can compute(D2(u) by choosinga special local unit and showingthat
forus to knowthat it is integral.Then
(D2(U)is a p-adicunit,but it is sufficient
since Gal (Moo/L(v)) has no finiteA-submodule(by a resultof Greenberg;see
[Gre2,end of ?4]) we deduce fromTheorem4.2, (4.14) and (4.15) that
(4.16) #(O/hL)- J 4q
qEE-{p}
2. Calculation of rq
forLfp ?Of C. Define the vectorswi = (ffP), W2 = (f, fP) and write
W1= C6 and W2= C6 withC E M2(C). Then writingfi = If,f2 = fP we set
(WIa) :=det((fi,If)) = (6,6) det(CC).
Now (w, c) is givenexplicitlyin termsofthe (non-normalized)
Peterssoninner
product(,):
(W,c') = -4(f, f)2
where(f, f) = fs/r1(N)ffdxdy.
To computedet(C) we considerintegralsoverclasses in H1 (Xi(N), Of).
By Poincare duality there exist classes C1,C2in Hl(Xi(N), Of) such that
det(f 60) is a unit in Of. Hence detC generatesthe same Of-module as
is generatedby {det (fc f)} forall such choicesof classes (Cl, C2) and with
{fi, f2} = {f, fI}. Lettinguf be a generator
oftheOf-module{det (fc fi)}
we have the followingformulaof Hida:
PROPOSITION 4.4. 7r(iR2)= (f, f)2/Uf f x (unit in Of,,A).
Now we restrictto the case where po = IndQ sio for some imaginary
quadratic fieldL whichis unramifiedat p and some kX-valuedcharacterso
of Gal(L/L). We assume that Po is irreducible,i.e., that so 5$ ",, where
KO'a(b) = Ko(aT-lb6) for any o representingthe nontrivial coset of
Gal(L/Q)/ Gal(L/L). In additionwe wish to assume that Po is ordinaryand
detPoI p = w. In particularp splitsin L. These conditionsimplythat,ifp is a
prime of L above p, soi(a) = a-1 mod p on U. after possible replacement of svo
by Ivoa Here the U. are the unitsofL. and since svois a character,the restric-
tion of svoto an inertiagroupI. inducesa homomorphism on U.. We assume
now that p is fixedand so chosen to satisfythis congruence. Our choice of
so willimplythat the grossencharacter introducedbelowhas conductorprime
top.
We choose a (primitive)grossencharacterp on L togetherwith an em-
beddingQ c-* Qp corresponding to the primep above p such that the induced
p-adic characterfpphas the properties:
(i) ppmodp = so (p = maximalideal of Qp).
a | - a-1 on U,
homomorphism --* Gal(M,,/L) whereUp,1= {u E Up:u
l(p)}. Then set ',p = 'coO,and pick a grossencharacter p such that ((p)p = (np.
Note that our choice of p here is not necessarilyintendedto be the same as
the choiceof grossencharacter in Section 1.
Now let f, be the conductorof p and let F be the ray class fieldof con-
ductor . Then overF thereis an ellipticcurve,unique up to isomorphism,
withcomplexmultiplication by OL and periodlatticefree,ofrankone overOL
and withassociatedgrossencharacter ipo NF/L. The curveE/F is the extension
of scalars of a unique ellipticcurveE/F+ whereF+ is the real subfieldof F of
index 2. (See [Shl, (5.4.3)].) Over F+ this ellipticcurvehas onlythe p-power
isogeniesofthe form?pm form E Z. To see thisobservethat F is unramified
at p and po is ordinaryso that the only isogeniesof degreep over F are the
ones that correspondto divisionby kerp and kerp' wherepp' = (p) in L. Over
F+ thesetwosubgroupsare interchanged by complexconjugation,whichgives
the assertion.We let E/O9F+ (p) denote a Weierstrassmodel over OF+,(p), the
localizationof OF+ at p, withgood reductionat the primesabove p. Let WE
be a Neron differential of E/OF+<( ) Let Q be a basis forthe OL-module of
periods of WE. Then Q = u Q for some p-adic unit in FX.
Accordingto a theoremofHecke, p is associatedto a cusp formfAlin such
a way that the L-seriesL(s, cp) and L(s, fg) are equal (cf. [Sh4, Lemma 3]).
Moreoversince p was assumed primitive,f = fgsis a newform.Thus the
integerN = condf = IAL/QINormL/Q(condcp) is primeto p and thereis a
homomorphism
'Of: Ti(N)-4?Rf C Of C 0cp
Af = Ji (N)/poJ1 (N)
be the abelian varietyassociatedto f by Shimura.OverF+ thereis an isogeny
Af/F+ (E/F+ )d
whered = [Of: Z] (see [Sh4,Th. 1]). To see thisone checksthat thep-adic Ga-
lois representationsassociatedto the Tate moduleson each side are equivalent
to (Ind ,op)Ozp Kf,pwhereKf,p= Of 0 Qp and where(pr:Gal(F/F) Zx *
p
is the p-adic characterassociated to and restrictedto F. (One compares
trace(Frob?) in the two representations for? t Np and ? split completelyin
F+; cf. the discussionafterTheorem2.1 forthe representation on Af.)
ir*WE = E aawfa a, E M
aEHom(Kf ,C)
00
givenby 7r'= E Ai(7ro i). Even if 7r'is not surjectivewe claim that the image
of 7r'always has the formHi(EIC, Z) 0 aOM,(p) forsome a E OM* This is
because tensoredwith Zp 7r'can be viewedas a Gal(Q/F+)-equivariant map
ofp-adic Tate-modules,and the onlyp-powerisogenieson E/F+ have the form
?pm forsome m E Z. It followsthat we can factor7r'as (1 0 a) o a forsome
othersurjectivea
a: Hi(Xi(N)/C, Z) 0 Om -+ H (E/C, Z) 0) OM,
ii(N)1,1-0
Hom(OM, J1 (N)101) N)1~0 6
(ft2'fib
=16 3 2 I (1-- } 27 X) LN(1,4)
(f,f) = (47)-2
F
(2) (1)7r[SL2(Z): Ii(N) (+1)] Res8=2D(s, f,fP)
.
whereD(s, f, fP) = E Ian 2n-s iff = E anqn (cf. [Hi3,(5.13)]). One checks
n=1 n=1
that, removingthe Euler factorsat primesdividingN,
DN(S, f,fP) = LN(S, p2k)LN(S - 1, 0k)(QN(s - 1)/(QN(2s - 2)
lb IJ q2.
qESW q f N
qIM0
We deduce:
THEOREM 4.7. #(O/r(?JM))= #Hs
Proof. As explainedin Chapter2, ?3 it is sufficient
to provethe inequality
#((9/lr(?JM)) > #HSe(Qr/Q7 V) as the oppositeone is immediate.For thisit
sufficesto compare (4.23) withProposition4.3. Since
LN(2, FI) = LN(2, v) = LN(2, 92X)
(note that the right-handtermis real by Proposition4.6) it suffices
to pair up
the Euler factorsat q forq I N in (4.23) and in the expressionforthe upper
bound of # Hse(Q/Q, V). L
We now deduce the main theoremin the CM case using the methodof
Theorem2.17.
THEOREM 4.8. Suppose thatpo as in (1.1) is an irreduciblerepresen-
tation of odd determinantsuch thatpo = Ind? so for a characterso of an
imaginaryquadraticextensionL of Q whichis unramified at p. Assume also
that:
(ii) po is ordinary.
Thenfor every7D= (-,E,0,0) such thatpo is of typeVDwith = Se or ord,
Rv - Tvz
and TD is a completeintersection.
COROLLARY. For any po as in the theoremsupposethat
p: Gal(Q/Q) -) GL2(0)
is a continuousrepresentationwithvalues in the ring of integersof a local
outsidea finiteset of primes,satisfying
field,unramified p ~ po whenviewed
as representations
to GL2((Fp). Supposefurtherthat:
(i) P D is ordinary;
Chapter 5
of
splittingfield PE,5. Then E definesa rationalpoint on X(p)/Q and hence
also of an irreduciblecomponentof it whichwe denote C. This curve C is
smoothas X(p)lQ = X(5)/Q is smooth. It has genus zero since the same is
trueof the irreduciblecomponentsof X(5)-Q.
A rationalpointon C (necessarilynon-cuspidal)correspondsto an elliptic
curveE' overQ withan isomorphism E'[5] - E[5] as Galois modules(cf. [DR,
VI, Prop. 3.2]). We claim that we can choose such a point with the two
propertiesthat (i) the Galois representation PE',3 is irreducibleand (ii) E' (or
a quadratictwist)has semistablereductionat 5. The curveE' (or a quadratic
twist)willthensatisfyall thepropertiesneededto applyTheorem0.2. (For the
primesq : 5 we just use the factthat E' is semistableat q ==> # E-,5(Iq) I 5.)
So E' will be modularand henceso too will PE',5
To picka rationalpointon C satisfying (i) and (ii) we use the Hilbertirre-
ducibilitytheorem.For,to ensurecondition(i) holds,we onlyhave to eliminate
the possibilitythat the image ofPE',3 is reducible.But this correspondsto E'
being the image of a rationalpoint on an irreduciblecoveringof C of degree
4. Let Q(t) be the functionfieldof C. We have therefore an irreduciblepoly-
nomial f(x, t) E Q (t) [x] of degree> 1 and we need to ensurethat formany
values to in Q, f(x, to) has no rational solution. Hilbert's theoremensures
that thereexists a t1 such that f(x, ti) is irreducible.Then we pick a prime
P1 $ 5 such that f(x, t1) has no rootmod P1. (This is easilyachievedusingthe
Cebotarev densitytheorem;cf. [CF, ex. 6.2, p. 362].) So finallywe pick any
to E Q whichis pl-adicallyclose to t1 and also 5-adicallyclose to the original
value of t givingE. This last conditionensuresthat E' (corresponding to to)
or a quadratic twisthas semistablereductionat 5. To see this,observethat
since JE $A0, 1728, we can finda familyE(j): y2 = X3- 92(j)x - 93(j) with
rationalfunctions92(ij, 93(j) whichare finiteat jE and withthej-invariantof
E(jo) equal to jo wheneverthegi(jo) are finite.Then E is givenby a quadratic
twistof E(jE) and so aftera changeof functionsof the form92(i) F u2g2(j),
93(j) F U3g3(j) with u E Qx we can assume that E(jE) = E and that the
equationE(jE) is minimalat 5. Then forj' E Q close enough5-adicallyto jE
Appendix
(i) T is a completeintersectionover0.
S over0 (so
Proof. To provethat (ii) =X (i), pick a completeintersection
assumedfiniteand flatover0) suchthat a: S-ET and suchthatps/p2 , PT/P2
wherePs = r-1 (PT). The existenceof such an S seems to be well known
(cf. [Ti2, ?6]) but here is an argumentsuggestedby N. Katz and H. Lenstra
(independently).
Write T = 0[xi,. ..,xr]/(fl,.. .,f) with PT the image in T of p =
(Xi, ... , Xr). Since T is local and finite and free over 0 , it follows that also
T - (90X1 X* X ,fs)). We can pick 91,..., gr such that gi = Eaijf;
,Xr]j/(fi, X* X
withaij E (9 and such that
oA T S T2-0.
One checksthat & is a map of S-modules (T being givenan S-action via a)
and in particularthat a o & is multiplicationby an elementt of T. Now
(,3 0,L)= (ft7) in O and (,3 o a) o ( o a) = (vs) in (9. As (as) = (NT) in C, we
have that t is a unitmodPT and hencethat a o & is an isomorphism.It follows
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