Arithmetic Dynamical Systems - Joseph Silverman

Graduate Texts in Mathematics
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EditorialBoard
S. Axler K.A. Ribet

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TAKEUTI/ZARING. Introduction to
Axiomatic Set Theory. 2nd ed.
OXTOBY. Measure and Category. 2nd ed.
SCHAEFER. Topological Vector Spaces.
2nd ed.
HILTON/STAMMBACH. A Course in
Homological Algebra. 2nd ed.
MAC LANE. Categories for the Working
Mathematician. 2nd ed.
HUGHES/PIPER. ProjectivePlanes.
I-P. SERRE. A Course in Arithmetic.
TAKEUTI/ZARING. Axiomatic Set Theory.
HUMPHREYS. Introduction to Lie Algebras and Representation Theory.
COHEN. A Course in Simple Homotopy
Theory.
CONWAY. Functions of One Complex
VariableI. 2nd ed.
BEALS. Advanced Mathematical
Analysis.
ANDERSON/FuLLER. Rings and
Categories of Modules. 2nd ed.
GOLUBITSKy/GUILLEMIN. Stable
Mappings and Their Singularities.
BERBERIAN. Lectures in Functional
Analysis and Operator Theory.
WINTER. The Structure of Fields.
ROSENBLATT. Random Processes. 2nd ed.
HALMos. Measure Theory.
HALMos. A Hilbert Space Problem
Book. 2nd ed.
HUSEMOLLER. Fibre Bundles. 3rd ed.
HUMPHREYS. Linear Algebraic Groups.
BARNES/MACK. An Algebraic
Introduction to Mathematical Logic.
GREUB. Linear Algebra. 4th ed.
HOLMES. Geometric Functional
Analysis and Its Applications.
HEWITT/STROMBERG. Real and Abstract
Analysis.
MANES. Algebraic Theories.
KELLEY. General Topology.
ZARISKI/SAMUEL. Commutative
Algebra. Vol.I.
ZARISKI/SAMUEL. Commutative
Algebra. Vol.lI.
JACOBSON. Lectures in Abstract Algebra
I. Basic Concepts.
II. Linear Algebra.
III. Theory of Fields and Galois
Theory.
HIRSCH. Differential Topology.
34 SPITZER. Principles of Random Walk.

2nd ed.
35 ALEXANDERIWERMER. SeveralComplex
Variablesand Banach Algebras. 3rd ed.
36 KELLEy!NAMIOKA et al. Linear
TopologicalSpaces.
37 MONK. Mathematical Logic.
38 GRAUERT/FRITZSCHE. SeveralComplex
Variables.
39 ARVESON. An Invitation to C*-Algebras.
40 KEMENY/SNELL/KNAPP. Denumerable
Markov Chains. 2nd ed.
41 ApOSTOL. Modular Functions and
Dirichlet Series in Number Theory.
2nd ed.
42 I-P. SERRE. Linear Representations of
Finite Groups.
43 GILLMAN/JERISON. Rings of
Continuous Functions.
44 KENDIG. Elementary Algebraic
Geometry.
45 LOEVE. Probability Theory I. 4th ed.
46 LOEVE. Probability Theory II. 4th ed.
47 MOISE. Geometric Topology in
Dimensions 2 and 3.
48 SACHSIWu. General Relativity for
Mathematicians.
49 GRUENBERGIWEIR. Linear Geometry.
2nd ed.
50 EDWARDS. Fermat's Last Theorem.
51 KLINGENBERG. A Course in Differential
Geometry.
52 HARTSHORNE. Algebraic Geometry.
53 MANIN. A Course in Mathematical
Logic.
54 GRAVERIWATKINS. Combinatorics with
Emphasis on the Theory of Graphs.
55 BROWNIPEARCY. Introduction to
Operator Theory I: Elements of
Functional Analysis.
56 MASSEY. Algebraic Topology: An
Introduction.
57 CROWELL/Fox. Introduction to Knot
Theory.
58 KOBLITZ. p-adic Numbers, p-adic
Analysis,and Zeta-Functions. 2nd ed.
59 LANG. Cyclotomic Fields.
60 ARNOLD. Mathematical Methods in
Classical Mechanics. 2nd ed.
61 WHITEHEAD. Elements of Homotopy
Theory.
62 KARGAPOLOV/MERLZIAKOV.
Fundamentals of the Theory of Groups.
63 BOLLOBAS. Graph Theory.
(continued after index)
Joseph H. Silverman
The Arithmetic of
Dynamical Systems
With 11 Illustrations
~ Springer
Joseph H. Silverman
Department of Mathematics
Brown University
Providence, RI 02912
USA
jhs@math.brown.edu
Editorial Board
S. Axler
Mathematics Department
San Francisco State University
San Francisco, CA 94132
USA
axler@sfsu.edu
K.A. Ribet
Mathematics Department
University of California, Berkeley
Berkeley, CA 94720-384
USA
ribet@math.berkeley.edu
Mathematics Subject Classification (2000): 11-01, IIG99, 14G99, 37-01, 37FIO
ISBN-13: 978-0-387-69903-5
e-ISBN-13: 978-0-387-69904-2
Library of Congress Control Number: 2007923502

Printed on acid-free paper.
2007 Springer Science+ Business Media, LLC
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Preface
This book is designed to provide a path for the reader into an amalgamation of two
venerable areas of mathematics, Dynamical Systems and Number Theory. Many of
the motivating theorems and conjectures in the new subject of Arithmetic Dynamics
may be viewed as the transposition of classical results in the theory of Diophantine
equations to the setting of discrete dynamical systems, especially to the iteration
theory of maps on the projective line and other algebraic varieties. Although there is
no precise dictionary connecting the two areas, the reader will gain a flavor of the
correspondence from the following associations:
Diophantine Equations
Dynamical Systems
rational and integral

points on varieties
rational and integral

points in orbits
torsion points on
abelian varieties
periodic and preperiodic

points of rational maps
There are a variety of topics covered in this volume, but inevitably the choice
reflects the author's tastes and interests. Many related areas that also fall under the
heading of arithmetic or algebraic dynamics have been omitted in order to keep the
book to a manageable length. A brief list of some of these omitted topics may be
found in the introduction.
Online Resources
The reader will find additonal material, references and errata at
http://www.math.brown.ectu/-jhs/ADSHome.html
Acknowledgments
The author has consulted a great many sources in writing this book. Every attempt
has been made to give proper attribution for all but the most standard results. Much
of the presentation is based on courses taught at Brown University in 2000 and 2004,
and the exposition benefits greatly from the comments of the students in those
v
vi
Preface
courses. In addition, the author would like to thank the many students and mathematicians who read drafts and/or offered suggestions and corrections, including
Matt Baker, Rob Benedetto, Paul Blanchard, Rex Cheung, Bob Devaney, Graham
Everest, Liang-Chung Hsia, Rafe Jones, Daniel Katz, Shu Kawaguchi, Michelle
Manes, Patrick Morton, Curt McMullen, Hee Oh, Giovanni Panti, Lucien Szpiro,
Tom Tucker, Claude Viallet, Tom Ward, Xinyi Yuan, Shou-Wu Zhang. An especial
thanks is due to Matt Baker, Rob Benedettoand Liang-Chung Hsia for their help in
navigating the treachorous shoals of p-adic dynamics. The author would also like to
express his appreciation to John Milnor for a spellbinding survey talk on dynamical
systems at Union College in the mid-1980s that provided the initial spark leading
eventually to the present volume. Finally, the author thanks his wife, Susan, for her
supportand patience during the many hours occupiedin writing this book.
Joseph H. Silverman
January 1, 2007
Contents
Preface
Introduction
Exercises
1
7
1 An Introduction to Classical Dynamics

1.1 Rational Maps and the Projective Line . . . . . . .
1.2 Critical Points and the Riemann-Hurwitz Formula.
1.3 Periodic Points and Multipliers
1.4 The Julia Set and the Fatou Set . . . . . . . . . . .
1.5 Properties of Periodic Points . . . . . . . . . . . .
1.6 Dynamical Systems Associated to Algebraic Groups
Exercises
.
2
Dynamics over Local Fields: Good Reduction

2.1 The Nonarchimedean Chordal Metric ..
2.2 Periodic Points and Their Properties . . .
2.3 Reduction of Points and Maps Modulo p .
2.4 The Resultant of a Rational Map . . .
2.5 Rational Maps with Good Reduction .
2.6 Periodic Points and Good Reduction .
2.7 Periodic Points and Dynamical Units .
Exercises
.
3 Dynamics over Global Fields

3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
9
9
12
18
22
27
28
35
43
43
47
48
53
58
62
69
74
81
Height Functions
.
Height Functions and Geometry
.
The Uniform Boundedness Conjecture.
Canonical Heights and Dynamical Systems
Local Canonical Heights ..
Diophantine Approximation
.
Integral Points in Orbits
.
Integrality Estimates for Points in Orbits .
Periodic Points and Galois Groups
vii
81
89
95
97
102
104
108
112
122
Contents
viii
3.10 Equidistribution and Preperiodic Points
3.11 Ramification and Units in Dynatomic Fields
Exercises
.
4 Families of Dynamical Systems

4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
Dynatomic Polynomials. . . . . . . . . . . . . . . . . .
Quadratic Polynomials and Dynatomic Modular Curves.
The Space Rat, of Rational Functions
.
The Moduli Space Md of Dynamical Systems
.
Periodic Points, Multipliers, and Multiplier Spectra . . .
The Moduli Space M 2 of Dynamical Systems of Degree 2
Automorphisms and Twists.
General Theory of Twists
.
.
Twists of Rational Maps
Fields of Definition and the Field of Moduli
Minimal Resultants and Minimal Models
Exercises
.
5 Dynamics over Local Fields: Bad Reduction

5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
Absolute Values and Completions

.
A Primer on Nonarchimedean Analysis
.
Newton Polygons and the Maximum Modulus Principle.
The Nonarchimedean Julia and Fatou Sets
The Dynamics of(z 2 - z)jp . . . . .
A Nonarchimedean Monte1 Theorem.
Periodic Points and the Julia Set . . .
Nonarchimedean Wandering Domains
Green Functions and Local Heights
Dynamics on Berkovich Space
Exercises
.
6 Dynamics Associated to Algebraic Groups

6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
Power Maps and the Multiplicative Group

Chebyshev Polynomials. . . . . .
A Primer on Elliptic Curves '"
General Properties of Lattes Maps
Flexible Lanes Maps . . . . . . .
Rigid Lattes Maps. . . . . . . . .
Uniform Bounds for Lattes Maps .
Affine Morphisms and Commuting Families .
Exercises
.
126
129
135
147
148
155
168
174
179
188
195
199
203
206
218
224
239
240
242
248
254
257
263
268
276
287
294
312
325
325
328
336
350
355
364
368
375
380
Contents
7
ix
Dynamics in Dimension Greater Than One
387
7.1
7.2
7.3
7.4
388
402
407
410
427
Dynamics of Rational Maps on Projective Space .

Primer on Algebraic Geometry . . . . . . . . . .
The Weil Height Machine
.
Dynamics on Surfaces with Noncommuting Involutions .
Exercises
.
Notes on Exercises
441
List of Notation
445
References
451
Index
473
Introduction
A (discrete) dynamical system consists of a set S and a function : S -+ S mapping
the set S to itself. This self-mapping permits iteration
= 0 0 .. 0 = nth iterate of .
'-----v----'
ntimes
(By convention, o denotes the identity map on S.)

For a given point 0: E S, the (forward) orbit of 0: is the set
The point 0: is periodic if n (0:) = 0: for some n 2': 1. The smallest such n is called
the exact period of 0:. The point 0: is preperiodic if some iterate m (0:) is periodic.
The sets of periodic and preperiodic points of in S are denoted respectively by
= {o: E S: n(o:) = 0: for some n 2': I},

PrePer(,S) = {o: E S: m+n(o:) = m(o:) forsomen 2':
= {o: E S: O(oo) is finite}.
Per(, S)
I,m
2': O}
We write Per() and PrePer() when the set S is fixed.
Principal Goal of Dynamics

Classify the points 0: in the set S according to the behavior of
their orbits 0 (0:).
If S is simply a set with no additional structure, then typical problems are to describe the sets of periodic and preperiodic points and to describe the possible periods
of periodic points. Usually, however, the set S has some additional structure and
one attempts to classify the points in S according to the interaction of their orbits
with that structure. There are many types of additional structures that may imposed,
including algebraic, topological, metric, and analytic.
Example 0.1. (Finite Sets) Let S be a finite set and : S -+ S a function. Clearly
every point of S is preperiodic, so we might ask for the number of elements in the
set of periodic points
Introduction
Per( , S)
= {a
E S : n(a)
=a
for some n
2 I}.
An interesting class of sets and maps are finite fields S = IFp and maps
: lFp ----t lFp given by polynomials (z) E lFp [z]. For example , Fermat's Little Theorem says that
and
which gives two extremes for the set of periodic points. A much harder question is to
fix an integer d 2 2 and ask for which primes p there is a polynomial of degree d
satisfying P er ( ,lFp) = lFp. Similarly, one might fix a polynomial (z) E Z[z]
and ask for which primes p is it true that Per( , IFp ) = IFp- In particular, are there
infinitely many such primes?
In a similar, but more general , vein, one can look at a rational function E IFp (z)
inducing a rational map : ]P'l (IFp) ----t ]pl (IFp). Even more generally, one can ask
similar questions for a morphism : V(lFp ) ----t V(lFp ) of any variety VjlF p , for
example V = ]P'N.
Example 0.2. (Groups) Let C be a group and let : C ----t C be a homomorphism.

Using the group structure, it is often possible to describe the periodic and preperiodic
points of fairly explicitly. The following proposition descr ibes a simple, but important, example. In order to state the proposition, we recall that the torsion subgroup of
an abelian group C , denoted by ClOTS ' is the set of elements of finite order in C ,
ClOTS
= { a E C : am = e for some m
I} ,
where e denotes the identity element of C.

Proposition 0.3. Let C be an abelian group, let d
th power map (a ) = ad. Then
----t C be the d
> 2 be an integer, and let
:C
PrePer ( , C) = C to TS
Proof The simple nature of the map allows us to give an explicit formula for its
iterates ,
n(a) = a
dn.
Now suppose that a E PrePer(d , C). This means that m+n(a ) = m(a) for
dm+ n = a dm. But C is a group , so we can multiply
some n 2 1 and m 2 0, so a
by a - dm to get adm+n-dm = e. The assumptions on d, m , and n imply that the
exponent is positive, so a E C lors .
Next suppose that a E ClOTS ' say am = e, and consider the following sequence
of integers modulo m:
d,d2 , d3 , d4 , . modulo m .
Since there are only finitely many residues modulo m , eventually the sequence has a
repeated element, say di == dj (mod m) with i > j . Then
i(a ) = ad'
Hence a E PrePer ( ).
dj
1 (a) ,
since a m = e and di == dj (mod m).
Introduction
Example 0.4. (Topological Spaces) Let 8 be a topological space and let : 8 - t 8

be a continuous map. For a given a E 8 , one might ask for a description of the
accumulation points of Oq, (a ). For example, a point a is called recurrent if it is an
accumulation point of 0 q, (a) . In other words, a is recurrent if there is a sequence of
integers n 1 < n2 < n3 < ... such that lirni-too ni (a ) = a, so either 0: is periodic,
or it eventually returns arbitrarily close to itself.
Example 0.5. (Metric Spa ces) Let (8 , p) be a compact metric space. For example, 8
could be the unit sphere sitting inside 1R3 , and p(a , (3) the usual Euclidean distance
from a to {3 in 1R3 . The fundamental question in this setting is whether points that
start off close to a given point a continue to remain close to one another under repeated iteration of . If this is true, we say that is equicontinuous at 0:; otherwise
we say that is chaotic at 0: . (See Section 1.4 for the formal definition of equicontinuity.) Thus if is equicontinuous at 0:, we can approx imate n (0:) quite well by
computing n({3 ) for any point {3 that is close to a. But if is chaotic at 0:, then no
matter how close we choose a and (3, eventually n(o:) and n({3) move away from
each other.
Example 0.6. (Arithmetic Sets) An arithmetic set is a set such as Z or Q or a number field that is of number-theoretic interest, but doesn 't have a natural underlying
topology. More preci sely, an arithmetic set tends to have a variety of interesting
topologies; for example, Q has the archimedean topolog y induced by the inclusion
Q C 1R and the p-adic topologies induced by the inclusions Q C Qp. In the arithmetic setting, the map is generally a polynomial or a rational map. Here are some
typical arithmetical-dynamical questions, where we take (z ) E Q(z ) to be a rational function of degree d ~ 2 with rational coefficients :
Let 0: E Q be a rational number. Under what conditions can the orbit Oq, (a )
contain infinitely many integer values? In other words, when can Oq,(o:) n Z
be an infinite set?
Is the set Per ( , Q) of rational periodic points finite or infinite? If finite, how
large can it be?
Let 0: E P er ( ) be a periodic point for . It is clear that a is an algebraic
number. What are the arithmetic properties ofthe field Q( a), or more generally
of the field generated by all of the periodic points of a given period?
What is in this book: We provide a brief summary of the material that is covered.
I. An Introduction to Classical Dynamics
We begin in Chapter I with a short self-contained overview, without proofs, of
classical complex dynamics on the projective line.
2. Dynamics overLocalFields: GoodReduction

Chapter 2, which starts our study of arithmetic dynamics, considers rational
maps (z ) with coefficients in a local field K, for example, K = Qp. The emphasis in Chapter 2 is on maps that have "good reduction modulo p." The good
Introduction
reduction property imples that many of the geometric propert ies of acting on
the points of K are preserved under reduction modulo p. In particular, the map
is p-adically nonexpanding, and periodic points behave well when reduced modulo p. The remainder of the chapter gives applications exploiting these two key
properties of good reduction .
3. Dynamics overGlobal Fields

We move on in Chapter 3 to arithmetic dynamics over global fields such as Q
and its finite extensions . Just as in the study of Diophantine equations over global
fields, the theory of height functions plays a key role, and we develop this theory, including the construction of the canonical height associated to a rational
map. We discuss rationality of preperiodic points and formulate a general uniform
boundedness conjecture. Using classical results from the theory of Diophantine
approximation, we describe exactly which rational maps can have orbits containing infinitely many integer points, and we give a more precise result saying
that the numerator and denominator of n (a) grow at approximately the same
rate. We consider the extension fields generated by periodic points and describe
their Galois groups, ramification , and units.
4. Families of Dynamical Systems

At this point we change our perspective, and rather than studying the dynamics
of a single rational map, we consider families of rational maps and the variation
of their dynamical propert ies. We construct various kinds of parameter and moduli spaces , including the space of quadratic polynomials with a point of exact
period N (which are analogues of the classical modular curves X l (N)), the parameter space Rat ., of rational functions of degree d, and the moduli space J'vt d
of rational functions of degree d modulo the natural conjugation action by PGL 2
In particular, we prove that M 2 is an isomorphism to the affine plane it.2 . We
also study twists of rational maps, analogous to the classical theory of twists of
varieties, and the field-of-moduli versus field-of-definition problem .
5. Dynamics overLocal Fields: Bad Reduction

Chapter 5 returns to arithmetic dynamics over local fields, but now in the case of
"bad reduction." It becomes necessary to work over an algebraically closed field,
so we discuss the field C p and give a brief introduction to nonarchimedean analysis and Newton polygons. Using these tools, we define the nonarchimedean Julia
and Fatou sets and prove a version of Montel's theorem that is then used to study
periodic points and wandering domains in the nonarchimedean setting. This is followed by the construction of p-adic Green functions and local canonical heights.
The chapter concludes with a short introduction to dynamics on Berkovich space.
The Berkovich projective line pH is path connected, compact, and Hausdorff, yet
it naturally contains the totally disconnected, non-locally compact , non-Hausdorff
space pI (Cp ) .
6. Dynamics Associated to Algebraic Groups

There is a small collection of rational maps whose dynamics are much easier to
understand than those of a general map. These special rational maps are associated to endomorphisms of algebraic groups. We devote Chapter 6 to the study of
Introduction
these maps. The easiest ones are the power maps M d(z) = zd and the Chebyshev
polynomials Td(z) characterized by Td(2 cos 0) = 2cos(dO). They are associated to the multiplicative group. More interesting are the Lattes maps attached to
elliptic curves. We give a short description, without proofs, of the theory of elliptic curves and then spend the remainder of the chapter discussing dynamical and
arithmetic properties of Lattes maps.
7. Dynamics in Dimension Greater Than One

With a few exceptions, the results in Chapters 1-6 all deal with iteration of maps
on the one-dimensional space r 1, i.e., they are dynamics of one variable. In Chapter 7 we consider some of the issues that arise in studying dynamics in higher
dimensions. We first study a class of rational maps : r N --+ r N that are not
everywhere defined. Even over C, the geometry of dynamics of rational maps is
imperfectly understood. We restrict attention to automorphisms : Po. N --+ Po. N
and study height functions and rationality of periodic points for such maps. We
next consider morphisms : X --+ X of varieties other than N . In order to
deal with higher-dimensional dynamics, we use tools from basic algebraic geometry and Weil's height machine, which we describe without proof. We then study
arithmetic dynamics, heights, and periodic points on K3 surfaces admitting two
noncommuting involutions ~1 and ~2 ' The composition = ~ 1 0 ~2 provides an
automorphism : X --+ X whose geometric and arithmetic dynamical properties
are quite interesting .
What's missing: A book necessarily reflects the author 's interests and tastes, while
space considerations limit the amount of material that can be included. There are
thus many omitted topics that naturally fit into the purview of arithmetic dynamics.
Some of these are active areas of current mathematical research with their own literature, including introductory and advanced textbooks. Others are younger areas that
deserve books of their own. Examples of both kinds include the following, some of
which overlap with one another :
Dynamics over finite fields

This includes general iteration of polynomial and rational maps acting on finite
fields, see for example [41, 42, 102, 106, 109, 179, 220, 222, 275, 308, 336,
350, 385, 384,400,437,444], and more specialized topics such as permutation
polynomials [275, Chapter 7] that are fields of study in their own right.
Dynamics over function fields

The study of function fields over finite fields has long provided a parallel theory
to the study of number fields, but inseparability and wild ramification often lead
to striking differences , while function fields of characteristic 0 present their own
arithmetic challenges , e.g., they have infinitely many points of bounded height.
The study of arithmetic dynamics over function fields is in its infancy. For a handful of results, see [20, 61, 85,107,207,279,354,356,415].
Iteration ofpowerseries
There is an extensive literature, but no textbook, on the iteration properties of
formal, p-adic , and Puiseux power series. Among the fundamental problems are
Introduction
the classification of nontrivial commuting power series (to what extent do they
come from formal groups?) and the description of preperiodic points. See for
example [246,266,267,268,269,270,271 ,272,273,274,280,281 , 282, 283,
284,389,390].
Algebraic dynamics
There is no firm line between arithmetic dynamics and algebraic dynamics, and
indeed much of the material in this book is quite algebraic. Some topics of an
algebraic nature that we do not cover include irreducibility of iterates [6, 17, 113,
115,345,346,425], formal transformations and algebraic identities [55, 80, 79],
and various results of an algebro-geometric nature [140, 149, 163,392].
Lie groups andhomogeneous spaces, ergodic theory, and entropy
This is a beautiful and much studied area of mathematics in which geometry,
analysis, and algebra interact. There are many results of a global arithmetic nature,
including for example hard problems of Diophantine approximation, as well as
an extensive p-adic theory . For an introduction to some of the main ideas and
theorems in this area, see [47, 247, 304, 423], and for other arithmetic aspects
of ergodic theory and entropy, including relations with height functions, ergodic
theory in a nonarchimedean setting, and arithmetic properties of dynamics on
solenoids, see for example [9, 31, 104, 130, 147, 160, 188,229,239,241 ,251 ,
277,278,351,440,441 ,442,447].
Equidistribution in arithmetic dynamics

There are many ways to measure (arithmetic) equidistribution, including via
canonical heights, p-adic measures, and invariant measures on projective and
Berkovich spaces . In Section 3.10 we summarize some basic equidistribution conjectures and theorems (without proof) . For additional material, see [15,24,28, 98,
99, 168, 182,209,429,432,450].
Topology andarithmetic dynamics on foliated spaces

This surprising connection between these diverse areas of mathematics has been
inverstigated by Deninger in a series of papers [124, 125, 126, 127, 128].
Dynamics on Drinfeld modules
It is natural to study local and global arithmetic dynamics in the setting of Drinfeld modules, although only a small amount of work has yet been done. See for
example [180,181,182,349,395].
Number-theoretic iteration problems not arising as maps on varieties

A famous example of this type of problem is the notorious 3x + 1 problem,
see [253] for an extensive bibliography. Another problem that people have studied is iteration of arithmetic functions such as Euler's <p function; see for example [151,342].
Realizability ofinteger sequences

A sequence (an ) of nonnegative integers is said to be realizable if there are a
set S and a function : S -+ S with the property that for all n, the map has an
periodic points ofordern. See [158] for an overview and [12,144,157,362,363,
419] for further material on realizable sequences.
Exercises
Prerequisites: The principal prerequisite for reading this book is basic algebraic
number theory (rings of integers, ideals and ideal class groups, units, valuations and
absolute values, completions, ramification, etc.) as covered, for example, in the first
section of Lang's Algebraic Number Theory [258]. We also assume some knowledge of elementary complex analysis as typically covered in an undergraduate course
in the subject. No background in dynamics or algebraic geometry is required; we
summarize and give references as necessary. In particular, to help make the book
reasonably self-contained, we have included introduction/overview material on nonarchimedean analysis in Section 5.2, elliptic curves in Section 6.3, and algebraic
geometry in Section 7.2. However, previous familiarity with basic algebraic geometry will certainly be helpful in reading some parts of the book, especially Chapters 4
and 7.
Cross-references and exercises: Theorems, propositions, examples, etc. are numbered consecutively within each chapter and cross-references are given in full; for
example, Proposition 3.2 refers to the second labeled item in Chapter 3. Exercises
appear at the end of each chapter and are also numbered consecutively, so Exercise 5.7 is the seventh exercise in Chapter 5. There is an extensive bibliography, with
reference numbers in the text given in square brackets.
This book contains a large number of exercises. Some ofthe exercises are marked
with a single asterisk * , which indicates a hard problem. Others exercises are marked
with a double asterisk ** , which means that the author does not know how to solve
them. However, it should be noted that these "unsolved" problems are of varying degrees of difficulty, and in some cases their designation reflects only the author's lack
of perspicacity. On the other hand, some of the unsolved problems are undoubtedly
quite difficult. The author solicits solutions to the ** marked problems, as well as
solutions to the exercises that are posed as questions, for inclusion in later editions.
The reader will find additional notes and references for the exercises on page 441.
Standard Notation: Throughout this book we use the standard symbols
Z, (Q, JR.,
c, Fq ,
Zp, AN, andlP'N
to represent the integers, rational numbers, real numbers, complex numbers, field
with q elements, ring ofp-adic integers, N-dimensional affine space, and N -dimensional projective space, respectively. Additional notation is defined as it is introduced
in the text. A detailed list of notation may be found on page 445.
Exercises
0.1.
(a)
(b)
(c)
Let S be a set and : S ---> S a function.

If S is a finite set, prove that is bijective if and only if Per( , S) = S.
In general, prove that ifPer( , S) = S, then is bijective.
Give an example of an infinite set S and map with the property that is bijective and
Per( , S) =1= s.
Exercises
(d) If if> is injective, prove that PrePer(if>, 8)
= Per(if>, 8) .
0.2. Let 8 be a set, let if> : 8 -+ 8 and 1/J : 8 -+ 8 be two maps of 8 to itself, and suppose
that if> and 1/J commute, i.e., assume that if> a 1/J = 1/J a if>.
(a) Provethat1/J(PrePer(if) C PrePer(if.
(b) Assume further that 1/J is a finite-to-one surjective map, i.e., 1/J(8) = 8, and for every x E
8, the inverse image 1/J - 1(x) is finite. Prove that 1/J(PrePer( if) = PrePer( if.
(c) We say that a point P E 8 is an isolated preperiodic point of if> ifthere are integers n >
m such that if>n(p ) = if>m (p ) and such that the set
is finite. Suppose that every preperiodic point of if> is isolated . Prove that
PrePer( if C PrePer(1/J).
Conclude that if the commuting maps if> and 1/J both have isolated preperiodic points,
then PrePer(if = PrePer(1/J).
0.3. Let if>(z) = Z d + a E Z[z] and let p be a prime. Prove that Per(if>, lF p )
ifgcd(d,p-l) = 1.
= lFp ifand only
0.4. Let G be a group and let if> : G -+ G be a homomorphism.

(a) Prove that Per(if>, G) is a subgroup ofG.
(b) Is PrePer( if>, G) a subgroup of G? Either prove that it is a subgroup or give a counterexample .
0.5. Let G be a topological group, that is, G is a topological space with a group structure
such that the group composition and inversion laws are continuous maps. Let if> : G -+ G
be a continuous homomorphism. Exercise 0.4 says that Per( if>, G) is a subgroup of G, so its
topological closure Per( if>, G) is also a subgroup of G. Compute this topological closure for
each of the following examples . (In each example, d 2 2 is a fixed integer.)
(a) G = iC* and if>(a. ) = a. d
(b) G = JR' and if>(a.) = a. d
(c) G = JR NI ZN and if>(a. ) = do. mod ZN.
0.6. (a) Describe Per(if>, lQ) for the function if>(z) = Z 2 + 1.
(b) Describe Per] if>, lQ) for the function if> (z) = Z2 - 1.
(c) Let if>(z) E Z[z] be a monic polynomial of degree at least two. Prove that Per( if>, lQ) is
finite. (Hint. First prove that Perf if>, lQ) C Z.)
(d) Same question as (c), but now if>(z) E lQ [z] has rational coefficients and is not assumed
to be monic.
0.7. Let if>(z) = z + liz and let a. E lQ'. Prove that 0 </>(0.)
number of points that it can contain?
n Z is finite. What is the largest
Chapter 1
An Introduction to Classical
Dynamics
Classically, the subject of discrete complex dynamical systems involves the study of
iteration ofpolynomial and rational maps on C or pI (C). The local theory of analytic
iteration dates back to the 19th century, but the modem theory of global complex
dynamics starts with the foundational works of Fatou [166, 167] and Julia [223] in
1918-1920. From that beginning has arisen a vast literature.
Our goal in this book is to study number-theoretic questions associated to iteration of polynomial and rational maps. A standard technique in number theory is to
attempt to answer questions related to a number field K by first studying analogous
questions over each completion K; of K . In particular, the archimedean completions of K lead back to class ical dynamics over lR or Co In this chapter we describe
some of the fundamental concepts and theorems in complex dynamics. These theorems prov ide both tools and templates for our subsequent study of dynamics over
complete nonarchimedean fields in Chapters 2 and 5 and over number fields in Chapters 3 and 4. This chapter provides sufficient background and motivation for reading
the remainder of this book , but the reader wishing to learn more about the beautiful
subject of complex dynamics might look at one or more of the following texts:
A . Beardon [43], Iteration ofRational Functions.

L. Carleson and T. Gamelin [95], Complex Dynam ics.
R. Devaney [132] , An Introduction to Chaotic Dynamical Systems.
1. Milnor [302] , Dynamics in One Complex Variable.
1.1 Rational Maps and the Projective Line

A rational fun ction (z) E C( z) is a quot ient of polynom ials
( z) = F(z) = ao + aIZ +
G(z)
bo + bIZ +
+ adz d
+ bdzd
10
1. An Introduction to Classical Dynamics
with no common factors. 1 The degree of is

deg = max{degF,degG}.
So if we write as above with at least one of ad and bd nonzero, then has degree d.
We generally consider maps with deg :::: 2.
A rational function of degree d induces a rational map of the complex projective
line ]P1(C),
(1.1)
The map is a ramified d-to-l covering. The complex projective line is also known
as the Riemann sphere, since topologically, and indeed real analytically, ]pI(C) is
isomorphic to 8 z. Two very important properties of rational maps (1.1) are that they
are continuous and open. 2
There are many equivalent (and useful) ways to construct the projective line,
including
and
]p1(C) ~
<c
" {(a, a)} ,

rv
where [X, Y] rv [X', Y'] if there is au E <C* such that X' = uX and Y' = uY. In
terms of homogeneous coordinates, a rational map : ]pI ~ ]pI is given by a pair
of homogeneous polynomials (X, Y) = [F*(X, Y), G*(X, Y)] of degree d. These
are related to the description (z) = F(z)/G(z) by the relations
F*(X, Y) = y dF(X/Y)
and
G*(X, Y) = ydC(X/Y).
A linear fractional transformation (or Mobius transformation) is a map of the

form
az+ b
z f--t - with ad - be #- a.
ez +d
It defines an automorphism of ]pI, and composition of transformations corresponds

to multiplication of the corresponding matrices (~ ~). Two matrices give the same
transformation if and only ifthey are scalar multiples of one another, and it is not hard
to prove that these are the only automorphisms Of]pI(C); see [198, Exercise 1.6.6 and
Remark 11.7.1.1]. So we have
We observe that given any two triples (a, a', a") and ((3, (3', (3") of distinct points
in]pl, there exists a unique automorphism f E PGLz(C) satisfying
f(a) = (3,
f(a') = (3',
f(a") = (3".
1It is permissible to have G(z) = 0, in which case F(z) = ao is a nonzero constant and </>(z) maps
every point to 00. Similarly we may have F(z) = 0 and G(z) = bo f- O. Note that by convention we
set deg 0 = -00, so if >(z) is constant, then deg > = O.
2 Let > : X ~ Y be a map between topological spaces. We recall that </> is continuous if U C Y open
implies </>-l(U) C X open, and > is open if V C X open implies </>(V) C Yopen.
11
1.1. Rational Maps and the Projective Line
This is intuitively reasonable because PGL 2 (C) is a three-dimensional space that

acts more-or-less simply transitively on p1 x p1 X p1.
If : p1 -+ p1 is a rational map and I E PGL 2(C) , the linear conjugate of
by I is the map
f = I- 1 0 0 f.
Linear conjugation corresponds to a change of variables on p1 as illustrated by the
commutative diagram
p1 ~ p1
Two rational maps and 'ljJ are linearly conjugate if'ljJ = f for some
This is clearly an equivalence relation. We also observe that
E PGL 2 (C).
which shows that linear conjugation is a good operation to use when studying iteration.
A convenient metric on the projective line p1(C) is the chordal metric, given in
homogeneous coordinates by the formula
([ X
Y] [X Y;]) _
IX1Y2 - X2Y11
1, 1, 2, 2 - JlX112 + 1Y112JIX212 + 1Y21 2
If neither point is the point at infinity (i.e., neither point is equal to [1,
the substitution Zi = Xi/Y;, to dehomogenize gives
P(Z1, Z2) =
OD, then using
IZ 1
- z21
-Jr.=1z=11~2 =+=='1"-y'?1Z=2;7;'21=+===1
Notice that 0 ~ p ~ 1. Identifying p1(C) 9! C U{ 00 } with the sphere S2 by drawing

lines from the north pole of the sphere (see Figure 1.1), the chordal metric p(z, w) is
related to the Euclidean distance between the corresponding points on the sphere by
the formula
p(z,w) =
~Iz* - w*l
(See Exercise 1.1.) In particular, the triangle inequality in JR3 implies the triangle
inequality for the chordal metric
(1.2)
Rational maps : p1 (C) -+ p1 (C) also have the Lipschitz property relative to
the chordal metric. This means that there is a constant C () such that
p((a),((3)) ~ C()p(a,(3)
(See Exercise 1.3.)
(1.3)
12
1. An Introduction to ClassicalDynamics
Figure 1.1: Identifying <C U 00 with the Riemann sphere.
1.2 Critical Points and the Riemann-Hurwitz

Formula
Given a rational function (z)
= F(z)jG(z), the formal
derivative
'( ) = G(z)F'(z) - F(z)G'(z)

z
G(z)2
is defined at any point a satisfying a -# 00 and G(a) -# 0. (In order to compute
the derivative at the excluded points, make a linear change of variables. See Exercise 1.5.)
Looking locally around z = a, Taylor's theorem says that
(z) = (a) + '(a)(z - a)
+ O((z - a)2).
The map : ]P'l (q ---+ ]P'l (q is ramified at a if ' (a) = 0, in which case the
point a is called a criticalpoint or a ramification point of . (Algebraic geometers
talk about ramification points; dynamicists talk about critical points.) Note that is
locally one-to-one around a noncritical point. As we will see, the orbits ofthe critical
points play an important role in determining the behavior of the dynamical system.
Assuming as above that a -I- 00 and ( a) -I- 00, the ramification index of at a
is
e n() = ordn((z) - (a)).
In particular, is ramified at a if and only if en () 2: 2. Locally, there is a constant
c -# such that
(z) = (a) + c(z - a)Ea(q,)
+ 0 ((z -
a)Ea(q,)+l) ,
and is locally en ()-to-1 in a neighborhood of a. It is not hard to see that eq,(a) ~

deg(). If eq,(a) = deg(), then we say that is totally ramifiedat a.
1.2. Critical Points and the Riemann-Hurwitz Formula
13
The next result givesa globalrelationsatisfied by the locallydefinedramification

indices. We sketch two distinctproofs of this important theorem.
Theorem 1.1. (Riemann-HurwitzFormula for lP'1)
2d - 2 =
L (e" () - 1).
"El!'l
Proof. (Algebraic Proof) After a change of variables using a linear fractional trans-
formation, we may assume that 00 is neither a ramification point nor the image of a
ramification point, and also that ( 00) = O. This means that (z) has the form
F(z)
az d- 1 + ...
(z) = = - - ,d- - - G(z)
bz + ...
with ab i- O. Then
'( ) = G(z)F'(z) - F(z)G'(z)

Z
G(z)2
For any 0:
G(Z)2
i- 00 such that (o:) i- 00, i.e., such that G(o:) i- 0, we have

(z)
for a function
= _abz 2d- 2 + ...
~(z)
'(z)
(o:) + (z - o:)e,,()~(z)
E C(z) satisfying ~(o:)

=
e,,()(z -
i- 0,00. Differentiating yields
o:)e,,()-l~(z)
+ (z -
o:)e,,()~,(z),
from which we deduce
ord., '(z) = e,,() - 1.

(Notice we are using strongly the fact that C has characteristic 0.) Summingover 0:
gives
(e,,() - 1) =
",(,,)#=
Lord" '(z) = deg( _abz 2d- 2 + ... ) = 2d - 2.

",(,,)#=
(Topological Proof) It is a well-known topological fact that if a sphereis triangulated

with V vertices, E edges, and F faces, then V - E + F = 2. Wetake a (sufficiently
small) triangulation of the sphere with the propertythat the image of every ramification point of is a vertex. Let
{Vi: 1 < i
V},
{ei: 1 < i < E},
{Ii: 1 < i
< F},
be the vertices, edges, and faces of the triangulation. The map is a local isomorphism except around the ramification points, so
14
also gives a triangulation ofthe sphere. To ease notation, we let V', E ', and pi denote
the numbers of vertices, edges, and faces in this inverse image triangulation.
The map is exactly d-to-l except over the ramification points, so the set
consists of exactly dE edges, and similarly the set
consists of exactly dP faces. In other words, E ' = dE and pi = dP.

The vertices are a little more complicated. If v is a vertex, then -1 ( v) consists of d points counted with appropriate multiplicities, where the multiplicity
of 0: E -1 ( v) is precisely e a ( ). In other words,
2:
d=
ea (),
aE-l(v)
or equivalently,
d - #-I(v)
2:
(e a() - 1).
aE-l(v)
Summing over the vertices Vi yields
dV -
2: #-I(Vi) = 2: 2:
(e a() - 1).
i=l aE-l(v,)
i=l
Note that the lefthand side is dV - V'. Further, since we chose the Vi'S to include the
image of every critical point, we know that e a () = 1 for every point 0: not in any
of the -I(Vi)'S, so we can extend the sum on the righthand side to include every
0: E pI (C). This proves that
dV = Vi
I:
(e a () - 1).
aElI'l (iC)
Next we take an alternating sum to obtain
d(V - E + P) = Vi - E' + pi +
2:
(e a () -1).
aElI'l (iC)
Finally, we use the fact that
V- E
+P
Vi - E ' + pi
to obtain the Riemann-Hurwitz formula.
2
D
Corollary 1.2. A rational map ofdegreed has exactly 2d - 2 criticalpoints, counted

with appropriatemultiplicities.
15
1.2. CriticalPoints and the Riemann-Hurwitz Formula
The following weaker version of the Riemann-Hurwitz formula is often convenient for applications.
Corollary 1.3. Let : pI (C) --+ pI (C) be a rational map ofdegree d ?: 1.

(a) Leta E pI (C). Then
e{3() = d.
(3E-I(a)
(b) [Weak Riemann-Hurwitz Formula]
2d - 2 =
(d - #-I(a)).
aE1P'1 (<C)
Proof Making a change of coordinates reduces us to the case that a i- oo and

oo ~ -I(a). Writing (z) = F(z)jG(z) and -I(a) = {131,"" 13r}, this means
that there is a factorization
Notice that the exponents are exactly the ramification indices
ei
ee, (), so
L
(3E-I(a)
e{3() = Lei = deg() = d.

i=1
This proves (a). We then use the Riemann-Hurwitz formula (Theorem 1.1) to compute
2d -
2 = L (e{3() - 1) = L
(3Ell'1
(e{3() - 1)
aEll'l(<C) (3E-l(a)
(d - #-l(a)).
aEll'1 (<C)
Remark 1.4. The Riemann-Hurwitz formula is an example of a local-global formula. The quantity 2d - 2 is a global quantity, given in terms of how many times the
map covers the Riemann sphere jp'1(C) and reflecting the topology of the sphere.
The general version of the Riemann-Hurwitz formula, which we now state, includes
global information about the genera of the curves under consideration.
Theorem 1.5. (Riemann-Hurwitz Formula) Let C 1 and C 2 be algebraic curves (Riemann surfaces) ofgenus 91 and 92, respectively, and let : C 1 --+ C 2 be afinite map
ofdegree d ?: 1. Then
291 - 2 = d(292 - 2)
(ep() - 1).
PEC I
Proof See [198, IV 2].
16
In this general formulation, the quantity 2g1 - 2 - d(2g2 - 2) is the global part
of the Riemann-Hurwitz formula. It reflects the topology of the two curves, since
the genus of a curve is an intrinsic global quantity. Of course, for rational maps
: ]pI ----t ]pI, these genera are gl = g2 = o.
The ramification indices, on the other hand, are purely local quantities, since they
can be computed in a neighborhood of a point. Thus the Riemann-Hurwitz formula
computes a difference of global topological quantities in terms of quantities that
can be computed purely locally. This helps to explain both its importance and its
usefulness.
The next two results illustrate some of the power of the Riemann-Hurwitz formula.
Theorem 1.6. Let : ]pI (C) ----t ]pI (C) be a rational map ofdegree d 2: 2, and let
E C ]pI (C) be afinite set satisfying -1 (E) = E. Then #E ::; 2. Further:
(a) If #E = 1, then there is an f E PGL 2 (C) such that
E
(b)
If #E =
= {f(oo)}
and f (z) E C]e],
2, then there is an f E PGL 2 (C) such that

E
{J(O), f(oo)} and / (z)
= zd or z-d.
Proof The assumption that E is finite and satisfies -1 (E) = E combined with
the fact that : ]pI (C) ----t ]pI (C) is surjective implies that acts as a permutation on E. Since E is finite, some power of acts as the identity on E, say
n(a) = a for every a E E. Replacing by n, we find that every point
a E E satisfies -1 (a) = {a}. Thus every a E E is a totally ramified fixed point
of , i.e., (a) = a and en () = d. Applying the Riemann-Hurwitz formula (Theorem 1.1) yields
2d - 2
I: (ef3() -
1)
f3ElP'l
2:
I: (e () n
nEE
1) =
I: (d -
1) = #E (d - 1).
nEE
Since d 2: 2, we conclude that 2 2: #E, which completes the proof of the first part
of the theorem.
Suppose next that #E = 1, say E = {P}. We conjugate by any f E PGL 2 (C)
satisfying
(P) = 00. Then (f)-I{ oo} = {oo}, so the only pole of f (z) is
z = 00. This proves that f is a polynomial.
Finally, suppose that #E = 2, say E = {P, Q}. We conjugate by some
f E PGL 2 (C) satisfying f-l(P) = 00 and f- 1 (Q) = O. There are then two cases,
depending on whether f fixes or permutes the set {O, oo}. Thus
r:'
= {oo}
and
(f)-I{oo}={O}
and
(f) -1 { oo}
(f) -1 { O}
= {O}
(f)-I{O}={oo}
=*
f (z)
= cz",
=* f(z)=cz- d.
A further conjugation by g(z) = az for an appropriate value of a removes the c,

which completes the proof of Theorem 1.6.
D
1.2. Critical Points and the Riemann-HurwitzFormula
17
Definition. A rational map 1; : pI ~ pI is a polynomial map if it has a totally

ramified fixed point, that is, if there is a point a E pI such that 1;( a) = a and
eQ;(1;) = deg(1;).
Notice that the polynomial 1;(z) = ao + alZ + ... + adzd has 00 as a totally
ramified fixed point. This is typical. If 1; has a as a totally ramified fixed point, then
after a change of variables using any f E PGL 2 (q satisfying f (00) = a, one finds
that 1;1 (z) is in iClz]. See Exercise 1.9.
Definition. A set satisfying 1;-1(E) = E = 1;(E) is called a completely invariant

set for 1;. We note that it suffices to require 1;-I(E) = E, since then the surjectivity
of 1; : pI (C) ~ pI (q automatically implies that 1;( E) = E. The classical term for
a finite completely invariant set is an exceptional set. Thus Theorem 1.6 says that an
exceptional set for 1; contains at most two elements. Further, if the exceptional set
contains two elements, then 1; is conjugate to zd, and if the exceptional set contains
one element, then 1; is conjugate to a polynomial.
Theorem 1.7. Let 1; : pI (C) ~ pI (C) be a rational map ofdegree d 2: 2, and suppose that 1;n is a polynomial map for some n 2: 1. Then already 1;2 is a polynomial
map. Further, if 1; itself is not a polynomial map, then 1; is linearly conjugate to the
function 1/zd.
Proof Let a be a totally ramified fixed point of 1;n, so (1;n) -1 (a) = {a}. Consider
the chain of maps
{a} ~ {1;a} ~ {1;2 a} ~ .. , ~ {1;n-la}
..: {a}.
The fact that (1;n) -1 (a) consists of the single point a implies that each set { 1;i (a) }
in the chain is the complete inverse image of the next set { 1;i+ 1 (a)} in the chain. It
follows that the set of points
E = {a, 1;(a), 1;2(a), 1;3(a), ... ,1;n-l(a)}

satisfies 1;-1 (E) = E. Now Theorem 1.6 tells us that # E :s; 2, so there are two
cases to consider.
First, if #E = 1, then a = 1;( a), and we see that 1; is a polynomial map, since it
has a as a totally ramified fixed point. Second, if #E = 2, then 1;2 (a) = a =I- 1;( a),
so 1;2 is a polynomial map with a and 1;( a) as distinct totally ramified fixed points.
In the second case, we choose a fixed point (3 of 1; and perform a linear conjugation to move a, 1;( a), (3 to 0, 00, 1 respectively. Then writing 1;( z) = P( z)/ Q(z) as
a quotient of polynomials with no common roots, we have
1;-1(0) = {oo} = {z: P(z) = oj
and
1;-1(00) = {o} = {z: Q(z) = O}.
Thus P(z) has no zeros (in C), so it is constant, while Q(z) vanishes only at 0, so
has the form Q(z) = cz". Thus 1;(z) = l/cz d, and the fact that 1;(1) = 1 gives
1;(z)
l/z d.
Remark 1.8. There are easy counterexamples to Theorem 1.7 for fields of positive
characteristic, but it remains true for separable maps; see Exercise 1.11. There is also
a higher-dimensional version of Theorem 1.7; see Exercise 7.16.
18
1.3 Periodic Points and Multipliers

If a is a fixed point of , then the multiplier of at a is the derivative
(If a = 00, this formula needs to be modified; see Exercise 1.13.) In general , the
value of a derivative depends on a choice of coordinates, since ' (z) is specifically
the derivative with respect to the variable z. However, it turns out that the derivative
at a fixed point is coordinate-invariant.
Proposition 1.9. Let E C(z) be a rational map and let a be afixedpo int of . Let
f E PGL 2(C) be a change ofcoordinates and set (3 =
(a), so (3 is a fixed point
of the conjugate map f = t:' 0 0 f. Then
r:'
' (a ) = (f )' ((3 ).

Proof Two applications of the chain rule yield
(f) '(w)
= (f-l 0 0 f) '(w)
= (f - l)'((f(w))) '(f(w)) J' (w).
(1.4)
Hence
(f )' ((3)
= U- 1)' ((a)) . ' (a) . f' ((3)

= U- 1 )'(a) . t(a) . 1'((3)
since (a) = a,
= (f - l)' (f((3)) . '(a) f' ((3 )
since a = f ((3 ),
= /(a)
evaluating (1.4) at w
since (f - l)' (f (Z)) J' (z)
= (3 = t' (a),
= U- 1 0 f )' (z) = 1.
Thus the multiplier .\. () of a fixed point a of is well-defined, independent of

the choice of coordinates on jpl .
We next consider points that are fixed by some iterate of . Recall that a point a
is called a p eriodic point for if n (a) = a for some n 2: 1. The smallest such n is
called the exact period of0:. 3 (A point of exact period 1 is afixed point.) We set
Pern () = {a E jpl(C) : n(a ) = a },

Per~* ( ) =
{o: E Pern () : 0: has exact period n }.
(The reason for this notation is that there is a weaker notion oi formal period n, and
we will later write Per~ () to denote the set of points having formal period n . See
Exercise 1.19 and Section 4. I.) It is easy to see that Pern ( ) is the disjoint union of
Per;'; () over all min; see Exercise 1.14.
3In the literature one finds many terms for the smallest value of n satisfying tj>n(cr) = o, including
exact period, least period, primitive period, and prime period. We will use the first three interchangeably,
but we eschew the fourth , since in arithmetic dynamics , the phrase utj> has prime period n at o" should
mean that the integer n is a prime number!
1.3. PeriodicPoints and Multipliers
19
Let a E Per~* () be a point of exact period n for . In particular, a is a fixed

point of n. We define the multiplier of at a to be
Notice that this may be calculated using the chain rule as
In other words, ,\. () = (n)' (a) is the product of the values of ' at each of the
n distinct points in the orbit of a.
Remark 1.10. The set of multipliers

{>.",() : a E Per()}
depends only on the conjugacy class {I : f E PGL 2(C)} of . It can thus be used
to define useful dynamical invariants of the map .
Remark 1.11. There is a more intrinsic way to define the multiplier of a fixed point a
in terms of the space of differential one-forms
on tp>l at a. This space has dimension I, since tp>l is nonsingular of dimension 1, so * : 0; -- 0; is an element
ofGL(O;) = C*. This element of'C" is A",(). More concretely, taking any nonzero
wE
we define A",() by the equation *w = A",()W. For example, ifw = dz
for some uniformizer z at a, then *(dz) = d((z)) = '(a)dz in
and we
recover the earlier definition A", () = ' (a).
0;
0;,
0;,
If IA", ( ) I < 1, then a small neighborhood of a will shrink each time it returns
to a, while if IA",()I > 1, then it will expand. This observation prompts the following definitions.
Definition. Let a be a periodic point for a rational function E
q z), and let A", ()
be the corresponding multiplier. Then a is called
superattracting
if A", () = 0,
attracting
if IA", () I < 1,
neutral
ifIA",()1 = 1,
repelling
if IA", () I > 1.
(Neutral periodic points are also sometimes called indifferent.)
Remark 1.12. A periodic point is superattracting if its orbit contains a critical point,
so Corollary 1.2 implies that a map of degree d can have at most 2d - 2 superattracting cycles. We will state a much stronger result below (Theorem 1.35(a)).
Remark 1.13. A neutral periodic point is called rationally neutral if its multiplier
is a root of unity, that is, if A", ( ) k = 1 for some k ?: 1. Otherwise, it is called
irrationally neutral.
We next prove a useful formula giving a relation between the multipliers of the
fixed points of a rational map. For an application of this formula to p-adic dynamics,
see Corollary 5.19 and Proposition 5.20.
20
Theorem 1.14. Let K be an algebraically closedfield and let (z) E K(z) be a

rational function ofdegree d ~ 2. Assume that
for all P E Fix().
Then
PEFix()
A()=1.
1- P
Remark 1.15. The condition that Ap () # 1 is equivalent to the condition that the
fixed point P has multiplicity 1, so Theorem 1.14 holds provided has d + 1 distinct
fixed points. If some fixed point has Ap () = 1, then a similar, but more complicated, formula involving a higher-order index is true; see Exercise 1.17 or [302, 12].
Remark 1.16. More generally, we can apply Theorem 1.14 to an iterate n to obtain
a relation among the multipliers of the n-periodic points of provided that those
multipliers are not equal to 1.
Example 1.17. Let (z) = z2
a=
+ c. The fixed points of (z) are
1+vT=4C
2
(3
1- V1- 4c
2
'
and
00,
with corresponding multipliers Ao;{) = 2a, A{3() = 2{3, and Aoo() = O. (Note
that the map is totally ramified at 00, so in particular 00 is a critical point.) The
sum in Theorem 1.14 is
1
1
1
1
1
--+--+--=
+
+1=1.
1-2a 1-2{3 1-0 -VI-4c VI-4c
ProofofTheorem 1.14. We prove the theorem under the assumption that K has characteristic 0, in which case the Lefschetz principle (see, e.g., [410, VI 6]) says that
we can embed a sufficiently large subfield of K into C. It thus suffices to prove
the theorem for K = C. (The case of characteristic p can be proven by reduction
modulo p from the characteristic 0 case or by developing the theory of residues in
characteristic p as described in Exercise 5.10.)
To simplify the proof, we make a change of variables (i.e., conjugate by an
element ofPGL 2(C so that (oo) # 00. For any rational function 'ljJ(z) E C(z),
or more generally for any meromorphic function, the Cauchy residue theorem says
that
~s('ljJ(z) dz) = O.
PEIl>! (iC)
For P = a E C in the affine plane, the residue is given by the usual formula
~~('ljJ(z)
dz) = ~
27rZ
For P = 00, we substitute z
with respect to w at a = O.
Iz-al=
'ljJ(z) dz
for sufficiently small
> O.
= 1/wand use the same formula to compute the residue
21
1.3. PeriodicPoints and Multipliers

We apply the Cauchy residue formula to the rational function
7/;(z) = (z) - z '

whose poles are the fixed points of . For any 0: E Fix( ) (note that 0: i=- (0) we
observe that
(z) - z = {(o:) + A",()(z - 0:) + O(z - 0:)2} - z

=
{o: + A,:,()(z - 0:) + O(z - 0:)2} - z
Taylor expansion,
since (o:) = 0:,
= (z - 0:) {Aa() - 1 + O(z - o:)}.
Hence under the assumption that Aa () i=- 1, the function q,(zl-z has a simple pole
at z
= 0: and its residue

Res (
z=a
is given by"
dz ) = _1
dz
(z)-z
21l"i Iz-al=E(z-0:){A a()-1+0(z-0:)}
1
The differential q,(;)_ z has no other poles in Co In order to compute its residue at 00,
we substitute z
= w- 1 and use d(w- 1 ) = -w- 2dw to compute

1
Res(
dz )=Res(
d(w- )
)=Res(
-dw
).
z=oo (z) - z
w=o (w- 1 ) - w- 1
w=o w(w(w- 1 ) -1)
The assumption that ( (0) i=- 00 implies that the function w( w- 1 ) vanishes
at w = 0, so this last differential has a simple pole at w = 0 and its residue is equal
to
Res
w=o
-dW)
-1
= lim w (
(w(w(w1)
w---.o
w(w(w1) -
1) -
1)
1.
Substituting these residue values into the Cauchy residue formula yields
o=
"L..J Res ( d Z ) =
P
(z)-z
PEP! (iC)
L
aEFix( q,)
aEFix(q,)
Res ( d Z ) + Res ( d Z )
z=a (z)-z
z=oo (z)-z
1
A()
+1.
a - 1
Finally, we move the sum to the other side, changing A-I to 1 - A, to complete the
proof of Theorem 1.14.
0
4In general, if'l,b(z) has at most a simple pole at o, then Res", ('l,b(z) dz) equals limz~", (z - n)'l,b(z).
22
1.4 The Julia Set and the Fatou Set

The notion of equicontinuity is central to dynamics. We begin by recalling the classical definition of continuity. A function : (5 1, P1) ---. (5 2, P2) between metric
spaces is continuous at a E 51 iffor every f > 0 there exists a 0 > 0 such that
We extend this notion to a collection of functions from 51 to 52 by requiring that

a single 0 work for every function in . This means that if {3 is chosen sufficiently
close to a, then ( a) and ({3) will be close to one another for every map in .
Definition. Let (51' pd and (52, P2) be metric spaces, and let be a collection of
maps from 51 to 52. The collection is said to be equicontinuous at a point a E 51
if for every e. > 0 there exists a 0 > 0 such that
P1(a,{3) < 0
===}
P2(a,{3) < f
for every
e E .
The collection is equicontinuous on a subset U C 51 if it is equicontinuous at

every point of U.
For an individual map ; 5 ---. 5 from a set 5 to itself, we say that is equicontinuous at a if the collection of iterates {n ; n 2 I} is equicontinuous at a.
Definition. Let be a map from a metric space to itself. The Fatou set of, denoted
by F( ), is the maximal open set on which is equicontinuous. The Julia set of ,
denoted by .:J( ), is the complement of the Fatou set. Note that equicontinuity is
not, in general, an open condition (see Exercise 1.22), but that F() is an open set
by definition.
Informally, one might say that points in the Julia set .:J() tend to wander away
from one another as is iterated, so behaves chaotically on its Julia set. Nearby
points in the Fatou set F ( ), on the other hand, tend to stay together, so the behavior of on F( ) is considerably easier to analyze. Much of complex dynamics
is devoted to studying the Fatou and Julia sets of rational maps. For further reading, see the textbooks cited at the beginning of this chapter and the two survey articles [74, 235].
Example 1.18. Let (z) E C(z) be a rational map. If a is an attracting periodic point
of , then points close to a are all attracted to the points in the orbit of a, from which
it is easy to conclude that they are in tile Fatou set. Similarly, it is easy to check that
repelling periodic points are in the Julia set. See Exercise 1.27. The behavior near
the neutral points is more complicated.
Example 1.19. Consider the map ; lP'1(C) ---. lP'1(C) given by (z) = z": Then
n
n(z) = zd , so
lim n(a)
n-+oo
{o
00
if lal
if lal
< 1,
> 1.
1.4. Tbe Julia Set and tbe Fatou Set
23
It is easy to see that if lal 1: 1, then a E F (</ . In particular, the superattracting fixed
points 0 and 00 are both in F (</ , and every point a with lal 1: 1 is attracted to one
of these fixed points .
However, if lal = 1, then I</>nal = 1 for all n ~ 1, but there are points (3
arbitrarily close to a satisfying </>n (3 ---. 0 and other points arbitrarily close to a
satisfying </> n(3 ---. 00. Therefore .:1(</ is equal to the unit circle {a E C : lal = I}.
We also observe that, aside from 0 and 00, the periodic points of </> are the (dn - 1) th_
roots of unity
P er (</ = { e 27rik / (dn-1 ): k E Z, n ~ 1}.
If a has exact period n , then its multiplier is
so these periodic points are all repelling. Notice that Per(</ is dense in .1(</, and
indeed .1(</ is the closure of the repelling periodic points of </>.
Example 1.20. The Julia set of the polynomial </>( z) = z2 - 2 consists of the closed
interval on the real axis between -2 and 2. See Exercise 1.28.
Example 1.21. The preceding two examples are actually quite misleading. We will
see in Section 1.6 what makes them so special. A more typical example of dynamical
behavior is exhibited by the polynomial </>(z) = Z2 - 1. Its fractal-like Julia set
is a connected set, while the Fatou set consists of an infinite number of connected
components.
Another kind of behavior is seen for the polynomial </>(z) = Z2 + ~. The Julia
set for this map is totally disconnected, although it also has the property that every
point in .:1(</ is the limit of a sequence of distinct points in .:1(</, i.e., the Julia set
is perfect.
Remark 1.22. It turns out that if the Julia set of a polynomial </> is neither a line
segment nor a circle, then </> is more-or-1ess determined by its Julia set. More precisely, let J c C be the Julia set of some polynomial. Then there is a polynomial </>J (z) E C[z) associated to J with the following property: If </> (z) E C[z)
satisfies .:1(</ = J , then </> = j 0 </>} for some n ~ 1 and some rotation of the
plane j with j (J) = J. See [394].
Remark 1.23. The above examples show that Julia and Fatou sets can be extremely
complicated, even for quadratic polynomials. The situation for polynomials of higher
degree becomes increasingly complex , and rational functions lead to additional difficulties. Finally, although possibly of less interest from an arithmetic viewpoint, the
dynamics of holomorphic or meromorphic functions C ---. C having an essential
singularity at 00 (e.g., </>(z) = e") exhibit many further interesting dynamical properties.
We begin our description of the Fatou and Julia sets by showing that each is
invariant under both </> and </> -1 .
Proposition 1.24. Let </> : ]p1 (C) ---. ]P1(C) be a rational map ofdegree d ~ 2, and
let F and J be the Fatou and Julia sets of </>, respectively.
24
(a) The Fatou set F is completely invariant, i.e., -1(F) = F = (F).

(b) The Julia set .:J is completely invariant.
(c) The boundary EJ.:J ofthe Julia set is completely invariant.
ProofSketch. (a) Since is surjective, it suffices to prove that -1 (F) = F. Suppose first that 0: E F, and let ((3) = 0:. For any point (3' that is close to (3, the
Lipschitz property (1.3) of says that
p(o:, ((3')) :::; C()p((3, (3').

In particular, ((3') can be made arbitrarily close to 0: by taking (3' sufficiently close
to (3. Since 0: E F, we know that n(o:) stays close to n((3'), and hence that
n+1 ((3) stays close to n+1 ((3'). Therefore (3 E F, which proves that -1 (F) c F.
Next suppose that 0: E F. We need to check that (o:) E F. If U is a small
neighborhood of 0:, then the open mapping property of implies that (U) is a
(small) open neighborhood of (o:). In particular, if (3 is sufficiently close to (o:),
then (3 will lie in (U), say (3 = ((3') with (3' E U. Then the assumption that
0: E F implies that the iterates n (0:) and n((3') remain close to one another, and
hence the same is true of the iterates n-1(0:) and n-1((3). Therefore (o:) E F,
which completes the proof of the other inclusion F C -1 (F). (You should fill in
the details of this proof sketch and give a rigorous (0, E) proof. See Exercise 1.23.)
(b) The Julia set is the complement of the Fatou set, so the complete invariance
of F implies the complete invariance of .:J.
(c) Let.:J be the interior of .:J. The rational map is continuous, so -1 (.:J 0)
is open, and the complete invariance of .:J shows that it is contained in .:J; hence
-l(.r) c J". For the other inclusion, we use the fact that is an open map,
so (.:J 0) is open. Again the complete invariance of .:J shows that it is contained
in .:J, and the fact that it is open shows that it is contained in .:J0. Hence
This proves that -1 (.:J 0) = .:J0, so the interior of.:J is completely invariant. Finally,
the fact that.:J and .:J0 are completely invariant implies that the set difference EJ.:J =
.:J <, .:J0 is also completely invariant.
D
Proposition 1.25. For every integer n
1,
and
Proof Let'ljJ = n. It is clear from the definition that F() C F('ljJ), since if we
know that iteration of maintains closeness of points, then the same is certainly true
for n.
To prove the opposite inclusion, for each 0 :::; i < n we consider the collection
of maps
i = {i'ljJk : k 2 O}.

For any fixed i, the map i satisfies a Lipschitz inequality (1.3), so the Fatou
set F( i) of i contains the Fatou set F( 'ljJ) of'ljJ. Hence
25
1.4. The Julia Set and the Fatou Set
But the intersection is clearly equal to F (), since
{l: j 2:: O} =
U {i7ji : k 2:: o}.

O~i <n
This completes the proof that F ( n ) = F ( ). The corresponding fact for the Julia
set is then clear.
0
Remark 1.26. The idea of writing {l : j 2:: O} as the union

{ j:j2::0}=
U {i (n )k:k 2::0}
O~i< n
will reappear later in the proof of Theorem 3.48 when we need to spread out the
ramification of a map.
The notions of equicontinuity and normality are closely related.
Definition. Let (3 1 , PI) and (32 , P2) be metric spaces, and let <II be a collection of
maps from 3 1 to 3 2 . The collection <II is said to be normal , or a normalfamily, on 3 1
if every infinite sequence of functions from <II contains a subsequence that converges
locally uniformly on 3 1 .
The following two important theorems from complex analysis are used extensively in the study of dynamical systems on ]?1 (C).
Theorem 1.27. (Arzela-Ascoli Theorem) Let U be an open subset of]?1 (C), and
let <II be a collection of continuous maps U --t ]?1 (C). Then <II is equicontinuous
on U if and only if it is a normal family on U.
Theorem 1.28. (Montel 's Theorem) Let U be an open subset of]?I (C), and let <II
be a collection of analytic maps U --t ]?1 (C). If U E<l> (U) omits three or more
points of]?l (C), then <II is a normalfamily on U.
The next theorem summarizes a number of important properties of the Julia set.
Theorem 1.29. Let ( z) E q z ) be a rational function ofdegree d 2:: 2.

(a) The Julia set .:J() is nonempty.
(b) Leta E .:J(). ThenthebackwardorbitO;(a) = {-n (a ): n 2:: I} of a is
dense in .:J().
(c) Let U be a union of connected components ofthe Fatou set F ( ) that is completely invariant, i.e., -l(U) = U = (U). Then .:J( ) = au.
(d) The Julia set .:J( ) contains no isolatedpoints, i.e., .:J( ) is a p erfect set.
Proof (a) See [43, Theorem 4.2.1] or [95, Theorem 111.1.2].

(b) See [43, Theorem 4.2.7] or [95, Theorem III.1.6].
(c) See [95, Theorem III. 1.7].
(d) See [43, Theorem 4.2.4] or [95, Theorem III. 1.8].
26
Theorem 1.29(a) says that the Julia set is always nonempty. The Fatou set, on
the other hand, may be empty. We state some conditions that characterize this phenomenon.
Theorem 1.30. Let ( z) E q z) be a rational function ofdegree d ::::: 2. Then the

following are equivalent:
(a) The Julia set J () is equal to Yl'l (C).
(b) The Julia set J () has a nonempty interior.
(c) There exists a point a E Yl'l (C) whose (forward) orbit 0 <p (a) is dense in Yl'l (C).
Further, if every critical point of is strictly preperiodic, i.e., preperiodic, but not
periodic, then J() = Yl'1(C).
Proof See [43, Theorems 4.2.3, 4.3.2, 9.4.4] or [95, Theorems 11I.1.9, V 1.2].
Example 1.31. Consider the map (z) = 1 - 2/ z2. Its critical points are 0 and
(See Exercise 1.25.) Applying repeatedly to 0 yields
<p
o -----+
<p
00 -----+
<p
-----+
-1
<p
-----+
-1
0
00.
<p
-----+ ... ,
so the critical points are strictly preperiodic. It follows from Theorem 1.30 that
J() = Yl'1(C).
Remark 1.32. Theorems 1.29 and 1.30 say that a rational map : Yl'l (C) --+ Yl'l (C)
may have J() = Yl'1(C), but that it is not possible to have F() = Yl'1(C). The
situation becomes exactly reversed if'C is replaced by an algebraically closed field K
having a nonarchimedean absolute value. For example, if K = Cp (the completion
of the algebraic closure ofQp), then the Fatou set of : Yl'l (Cp) --+ Yl'l(C p) is always
nonempty, but it is possible, and indeed quite easy, to find maps with empty Julia set
and F() = Yl'l(C p ) . We will discuss this in more detail when we study dynamics
over complete local fields in Chapters 2 and 5.
Theorem 1.33. Let ( z) E q z] be a polynomial ofdegree d ::::: 2.

(a) The Julia set J( ) is connected if and only if for every critical point a =I- 00,
the orbit 0 co n (a)
00, then the Julia
set J () is totally disconnected.
0
Proof See [95, Theorems 111.4.1, 111.4.2].
Remark 1.34. A quadratic polynomial has only one finite critical point. Thus Theorem 1.33 covers all cases, so we can divide the set of quadratic polynomials into
two classes according to the behavior of their finite critical point. Every quadratic
polynomial is linearly conjugate to a unique polynomial of the form c(z) = z2 + c,
so we define a portion of the c-plane by
M = {c
E C : n (0) is bounded for n ::::: I}
= {c E C : J(c)
is connected}.
This set M is the famous Mandelbrot set, illustrated in Figure 1.2. It is a dynamically
determined subset of the moduli space of quadratic polynomial maps.
1.5. Properties of PeriodicPoints
Figure 1.2: The Mandelbrot set
27
M.
1.5 Properties of Periodic Points

The dynamics of a rational map is influenced not only by the behavior of its critical
points, but also by the behavior of its periodic points. The next result describes some
of the properties of the periodic points and periodic cycles ofa rational map.
Theorem 1.35. Let ( z) E C (z) be a rational function ofdegree d 2:: 2.

(a) The map has at most 2d - 2 nonrepelling periodic cycles in ]p'1(C). If is a
polynomial map, then it has at most d - 1 nonrepelling periodic cycles in C.
(b) The Julia set .:J () is equal to the closure ofthe repelling periodic points of .
(c) Let U C ]p'1 (C) be an open set such that .:J() n U =I- 0. Then there is an integer
n 2:: 1 such that n(u n .:J()) = .:J().
Proof (a) The sharp bound of2d - 2 for rational maps is due to Shishikura, see [43,
Theorem 9.6]. Much earlier, Fatou gave a weaker bound that is sufficient for many
applications, see [95, Theorem III.2.7]. The bound for polynomial maps is due to
Douady, see [95, Theorem VI. 1.2].
(b) This important result is due independently to Julia and Fatou. See [43, Theorem 6.9.2] or [95, Theorem III.3.l].
D
(c) See [95, Theorem 111.3.2].
The Fatou set F( ) is an open subset Of]p'1 (C), so it consists of one or more connected components. It is known that the number of components is equal to 0, I, 2,
or 00; see [95, Theorem IY.1.2]. If U is a connected component of F(), then
the open mapping property of implies that (U) is also a connected component
of F(). In this way we obtain a map
28
Components (F( )) ----. Components (F()) ,
U f----7 ( U),
and we say that U is aperiodic domain if n(u) = U for some n ~ 1, apreperiodic

domain if some iterate n(u ) is periodic, and a wandering domain otherwise. The
following important result answers a long-standing question of Fatou and Julia.
Theorem 1.36. (Sullivan's No Wandering DomainsTheorem) A rational map E
C (z ) has no wandering domains.
Proof See [43, Chapter 8], [95, Theorem IY.1.3] or [426].
The possibilityof wanderingdomains having been eliminated, the periodiccomponents of F () are classified into several types. We begin with the necessary definitions, then state the classification theorem.
Definition. Let U be a connected component of the Fatou set F( ), and assume
that U is forward invariant, i.e., (U) = U.
U is parabolic if the boundary of U contains a rationally neutral periodic
point ( such that limn ---+oo n(ex) = ( for every ex E U.
U is a Siegel disk if there is an analytic isomorphism f from the unit disk
{w E C : Iw I < I} to U such that f is a rotation of the unit disk.
U is a Herman ring if there is an analytic isomorphism f from some annulus
{w E C : a < Iwl < b} to U such that f is a rotation of the annulus.
Here a rotation is simply a map of the form w f--+ eiIJ w .

If U is a periodic connected component of period n of F ( ), then U is forwardinvariant for n and we say that U is parabolic, a Siegel disk, or a Herman ring if it
is of the appropriate type for n.
Theorem 1.37. Let U be a periodic connected component of the Fatou set of a
rational map E C(z) . Then U fits into exactly one ofthefol/owing categories:
(a) U contains an attracting periodic point.
(b) U is parabolic.
(c) U is a Siegel disk.
(d) U is a Herman ring.
Proof See [43, Theorem 7.1] or [95, TheoremIV.2.1]. We mentionthat it is nontriv-
ial to prove that Siegel disks and Herman rings exist. In particular, the Fatou set of a
polynomial map cannot contain a Herman ring.
0
1.6 Dynamical Systems Associated to

Endomorphisms of Algebraic Groups
In this section we study certain rational maps whose dynamical properties are comparatively easy to analyze due to the existence of an underlying group structure.
1.6. Dynamical Systems Associated to Algebraic Groups
29
These maps thus provide a class of examples on which to make and test conjectures,
albeit with the caution that they are rather special and in some ways atypical. Additional material on this interesting collection of maps may be found in Chapter 6.
1.6.1 The Multiplicative Group

The dynamics of the polynomial ( z) = zd is extremely easy to analyze, since
n
we have the explicit formula n (z) = zd . However, there is a more intrinsic reason that zd is such a nice map; namely, it is an endomorphism of the multiplicative
group iC* of nonzero complex numbers. In other words, the map
iC*
--+
C",
is a homomorphism. It is the existence of the underlying group iC* that makes zd

relatively easy to analyze.
Remark 1.3 8. In fancier language, the map ( z) = zd is an endomorphism of the
algebraic group Gm , where for any field K, the set of points of Gm is the multiplicative group Gm(K) = K*. The full endomorphism ring of Gm is Z via the
identification
In even fancier language, Gm is a group scheme

G m = SpecZ[X, Yj/(XY - 1)
called the multiplicative group scheme. It is characterized by the property that for
every ring R, the group of R-valued points of G m is the unit group G m (R) ~ R*.
1.6.2 Chebyshev Polynomials

The multiplicative group iC* has a nontrivial automorphism given by the reciprocal
map z ~ z-l. We can take the quotient of'C" by this automorphism to obtain a new
space that turns out to be isomorphic to iC via the map
[z]
~ Z+Z-l.
The inverse isomorphism takes w E iC to the equivalence class of either of the roots
of z2 - zw + 1 = O.
This inversion automorphism commutes with the cfh-power map, so when we
take the quotient, the cfh_power map will descend to give a map on the quotient
space. In other words, there is a unique map Td that makes the following diagram
commute:
30

C*
C*
C*
C*
The map Td is characterized by the equation
Td(z + z-l) = zd + z-d
for all
E C*.
(1.5)
It is not hard to see that Td is a polynomial; indeed, it is a monic polynomial of degree d with integer coefficients called the d:" Chebyshev polynomial. Writing z = e i t
with t E C, we see that the Chebyshev polynomial satisfies
Td(2cost) = 2cos(dt).
Using these formulas, it is not hard to prove that the Julia set of Td is given
by .J(Td) = [-2,2], the closed real interval from -2 to 2, and to derive many further properties of the Chebyshev polynomials. See Exercises 1.30 and 1.31, as well
as Section 6.2.
Remark 1.39. Classically the Chebyshev polynomials are normalized to satisfy the
identity Td(COS t) = cos(dt), in which case the Julia set becomes .J(Td) = [-1,1].
The two normalizations are related by the simple formula i; (w) = ~ Td (2w).
1.6.3 Rational Maps Arising from Elliptic Curves

There are three different types of (connected) algebraic groups of dimension one.
First is the additive group Ga(C) = C+, whose endomorphisms are the maps
z ----t dz. The dynamical systems associated to endomorphisms of the additive group
are relatively uninteresting. Second is the multiplicative group G m (C) = C*, whose
endomorphisms z I-t zd have interesting, but relatively easy to analyze, dynamical
properties. The same is true of the Chebyshev polynomials, which come from the
restriction of z I-t zd to a quotient ofG m .
The third type of one-dimensional algebraic groups consists of a family of groups
called elliptic curves. We do not have space to go into the theory very deeply, so we
are content to make a few brief remarks here and later expand on this material in
Chapter 6. For further material on the analytic, algebraic, and arithmetic theory of
elliptic curves, see for example (1, 198,254,410,420,412]. We note that the reader
may omit this section on first reading, since the material is not used other than as a
source of examples until Chapter 6.
An elliptic curve E (C) is the set of solutions (x, y) to an equation of the form
y2
= x 3 + ax
+b
31
Additionof distinct points
Addinga point to itself
Figure 1.3: The addition law on an elliptic curve.

together with an extra point O. We also require that ~ = 4a 3 + 27b 2 =I- 0, which
means that the cubic polynomial has distinct roots and ensures that the curve E(C)
is nonsingular.
Alternatively, E( C) is the curve in the projective plane jp'2(C) defined by the
homogeneous equation
y 2Z = X 3
+ aX Z 2 + bZ3 ,
with the extra point being 0 = [0, 1, 0]. There is a natural automorphism on E (C)
given by [- l ](X ,Y, Z) = (X , -Y, Z ). If P and Q are two points on E (C), then
the line through P and Q will intersect E (C) at a third point R, and we define an
addition law by setting P EB Q = [- 1]R. (If P = Q, we take the "line through P
and Q" to be the tangent line to E (C) at P.) These operations satisfy
P EBO
= P,
P EB[-l](P ) = 0 ,
P EBQ
= QEBP,
(P EBQ)EB R = P EB (QtBR),
so they make E (C) into an abelian group. (The first three equal ities are obvious,
while the associativity is somewhat difficult to prove .)
An elementary calculation shows that the coordinates of P EB Q are given by rational functions of the coordinates of P and Q. In particular, if a and b are in some
field K, and if P and Q have coordinates in K, then P EB Q will also have coordinates in K. Thus E(K) = E(C) n jp'2(K) will be a subgroup of E(C). Figure 1.3
illustrates the group law for points in E(lR.).
Repeated addition in any abelian group gives an endomorphism of the group, so
for each d 2': 1 we obtain a map
[d] : E (C)
--->
E (C) ,
d terms
called the multiplication-by-d map. Setting
[O](P) = 0
and
we obtain an (injective) homomorphism
[- d](P) = [- l ]([d]P ),
32
dt------t [d].
-----> End(E (C) ),
If this map is not onto, then E is said to have complex multiplication , or CM for
short. For example, the curve E : y2 = x 3 + x has complex multiplication, since it
has extra endomorphisms such as [i] : (x , y) t---+ (-x, iy). Most curves do not have
CM.
The multiplication map [d] clearly commutes with the involution [-1 ], so it descends to a map on the quotient space E (C)/{l}. The quotient space is very easy
to describe,
E( C)/{l} ~ pI (C) ,
(x, y)
t------t
x,
so the multiplication-by-d map descends to give a rational map E,d making both
squares in the following diagram commute :
E(C)
[d]
-------t
E(C)
[d]
E(C)
E (C)
{ 1}
-------t
(xtl
{1}
1(xt
pI (C) ~ pI (C)
The map E,d is an example of a Lanes map. Thus E,d is a rational function characterized by the formula
E,d(X(P) ) = x ([d]( P) )
for all P E E (C).
(1.6)
Notice the close similarity to the defining property (1.5) of the Chebyshev polynomials. More generally, it turns out that every endomorphism u E End(E ) commutes
with [-1], even if E has complex multiplication, so every endomorphism u determines a rational function E,u on P l( C).
Example 1.40. Let E : y2 = x 3 + ax + b be an elliptic curve as above. Then the

duplication map [2] : E(C) --. E(C) leads to the rational function
x4
E,2(X) =
2ax2 - 8bx + a2
4x3 + 4ax + 4b
Example 1.41. Let E : y2 = x 3 + x be the CM elliptic curve mentioned earlier.

Then the map [1 + i] : E (C) --. E (C) defined by [1 + i](P) = P EB [i](P ) leads to
the rational function
E,l+i(X) =
;i
(x+
~) .
Proposition 1.42. Let E : y2 = x 3 + ax + b be an elliptic curve, let d ~ 2 be an

integer, and let E,d : PI (C) --. Pl (C) be the associated rational map as above.
Then
33
Wl +W2
Figure 1.4: A lattice and fundamental domain associated to an elliptic curve.
PrePer(1)E,d) =
(E(C)tors) ,
where we recall that the torsion subgroup E(C)tors of E(C) is the set ofelements of
finite order (cf Example 0.2).
Proof We leave the proof as an exercise; see Exercise 1.32.
The dynamics of the rational function 1>E,d on ]P'l (C) can be analyzed using the
group law on the larger space E(C). The utility of this approach is further enhanced
by the analytic uniformization of E(C), which we now briefly describe.
A lattice L in <C is a set of all Z-linear combinations of two JR.-linearly independent complex numbers Wl and W2. Thus
The quotient space <C/ L is a torus obtained by identifying the opposite sides of the
fundamental domain
A lattice L and a fundamental domain are illustrated in Figure 1.4. Notice that <C/ L
has a natural group structure induced by addition on <C.
Let E(C) be an elliptic curve. Then one can prove that there exists a lattice L
and a complex analytic isomorphism
1/JE : <C/ L
-t
E(C).
Further, the isomorphism 1/JE respects the group structure,
34
In particular, if we set P = 'l/JE(Z) in formula (1.6) and use the relation
[d]('l/Je(z)) = 'l/JE(dz) ,
then we obtain the useful formula
>E,d(X('l/JE(Z)))
= x([d]('l/JE(Z))) = x('l/JE(dz)).
To ease notation, we will let p( z) = x('l/JE(z)). The function p( z) is a slight

variant of the classical Weierstrass p-function. It is meromorphic on C with double
poles at the points of the lattice Land holomorphic elsewhere. Then our relation
becomes
(1.7)
>E,d(p(Z)) = p(dz),
and iteration is given by the simple formula >E d (p( z)) = p( dn z).
The upshot of this discussion is that we ob~in a commutative diagram
CIL
z-s-tiz
1~
CIL
1~
that is of great assistance in studying the dynamics of the rational function >E,d.
For example, the map z f-t dz is clearly d2-to-l on CI L, so we see that >E,d has
degree d2 . Further, a point x = p( z) will be fixed by > E,d if and only if z satisfies the
congruence dz == z (mod L), so the fixed points of <PE,d are precisely the points
with al, a2 E Z.
(Note that p( -z) = p(z), so there are actually only d2 + 1 fixed points.)
Let p(() be a fixed point of >E,d with ( tj. ~L, which is equivalent to the assumption that p'(() =I- 0 or 00. (This excludes at most four such points modulo L.)
Differentiating (1.7) and evaluating at z = (yields
>~,d(P(())P'(() = dp'(d().
(1.8)
But we know that p(z) is a meromorphic function on CI L, or equivalently, it is a

meromorphic function on C with the periodicity property
p(z + w) = p(z)
for all wE L.
Differentiation gives the same relation p' (z + w) = p' (z) for the derivative. (Notice
the analogy with the function e21ri z , which is holomorphic on C and invariant under
the translations z f-t z + n for n E Z.) We evaluate at z = d(, use the fact that
d( == ( (mod L) to get p'(d() = p'(() = p'((), and substitute into (1.8) to
obtain the relation
35
Exercises
~ ,d(P(())p'( ( ) =
dp' (d( ) = dp' (().
Finally, canceling p' (O yields ~ d(P(( )) = d. In particular, (almost) every fixed

point of E,d is expanding and th~s is in the Julia set.
But much more is true. The relation (1.7) shows immediately that
so 'E,d = E,dn. Thus the periodic points of E,d of period dividing n are precisely
the fixed points of E,dn , and their multipliers are (almost) all equal to dn . This
proves that (almost) every periodic point of E,d is expanding , hence in the Julia set.
Finally, we observe that the set of points in C j L satisfying
z ==
~ z
(mod L )
for some n
= 1,2 ,3 , .. .
is dense in Cj L, so their image using the double cover p : Cj L -+ jp'l (C) is dense
in jp'1(C). We have thus shown that .J (E,d) = jp'1(C). This proves the following
theorem, which was published by Lattes in 1918 and provided the first known examples of rational maps with empty Fatou set. (See also [300, 6) for a discussion
of earlier work by Schroder and Bottcher on elliptic functions and their associated
rational maps, as well as an 1815 paper of Babbage in which he uses semiconjugacy
to study the periodic points of certain maps.)
Theorem 1.43. (Lattes [260]) Let E be an elliptic curve, let d ~ 2 be an integer,

and let E,d : jp'1(C) -+ jp'1 (C) be the rational map of degree d2 characterized
by (1.6). Then
and
Exercises
Section 1.1. Rational Maps and the Projective Line
1.1. Define a mapping from the x y-plane (which we identify with C) to the unit sphere S2
in ]R3 by mapping z E C to the point z" E S2 such that the line through z and z" goes through
the point (0, 0, 1). Notice that z" ---+ (0,0 ,1) as z ---+ 00, so if we set 00* = (0,0,1), we
obtain a bijection
jp'1(C) = CU {00} --->S2,
Z f--> Z*,
as illustrated in Figure I. I. Prove that with this identification, the chordal metric on jp'l (C) is
given by p(z , w) = ~ I z* - w*l.
1.2. (a) Prove that the inversion map z ,... z -l is an isometry Ofjp'l (C) for the chordal metric
(i) by a direct calculation using the formula for p; and (ii) by using the identification
jp'1(C) ~ S2 described in Exercise I. I.
(b) Let a, b E C satisfy lal 2 + Ibl2 = 1, and let j( z ) = (az - b)j (bz + a). Prove that
P(J (z ),j(w)) = p(z ,w) for all z, w E jp'1(C) . (Hint. Although this can be proven
directly, an alternative method is to show that j corresponds to a rigid rotation of S2,
hence preserves chordal distances. For a nonarchimedean analogue, see Lemma 2.5.)
36
Exercises
1.3. Let : jp'l (C) -. jp'l (C) be a rational map.

(a) Prove that there is a constant C () such that satisfies a Lipschitz inequality
for all a, (3 E jp'l (C).
p( ( a), ((3)) :::; C( )p(a, (3)
(b) Find an explicit formula for the Lipschitz constant C(f) in the case of a linear map
f(z)
= (az + b)/(cz + d) E PGL2(C).
1.4. Let (a, a', a") and ((3, (3', (3") be triples of distinct points in jp'l. Prove that there exists
a unique automorphism f E PGL 2(C) satisfying
f(a)
= (3,
f(a')
= (3',
f(a")
= (3".
(Hint. First do the case that one ofthe triples is (0,1,00).)
Section 1.2. Critical Points and the Riemann-Hurwitz Formula
1.5. Let ( z) E q z) be a rational function. In the text we defined the ramification properties
of at a point a E jp'l (C) provided that a -I 00 and ( a) -I 00. In general, let f E PGL2(C)
be any linear fractional transformation, let f =
0 I, and let (3 =
I ( a ). If (3 -I 00
and f ((3) -I 00, we say that is ramified at a if (f)' ((3) = 0 and we define the ramification
index of at a to be
rIo
ea()
= e{3(f).
(a) Assuming that none of a, (3, (a), f ((3) are equal to 00, prove that
Conclude that the ramification points of a rational map : jp'l -. jp'l are independent of
the choice of coordinates, i.e., the vanishing of ' (a) is independent of the choice of f.
(b) Show that the ramification index e a () is well-defined, independent of the choice of f.
(c) Under what conditions is it true that the derivative ' (a) is independent of the choice
of f?
1.6. Let ( z) E
q z) be a rational function of degree d, say given by
(z) = F(z) = ao + alZ +

+ adzd.
G(z)
bo + bIZ +
+ bdzd
(a) Prove that is ramified at z = 0 if and only if aobl = albo.
(b) Prove that is ramified at z = 00 if and only if adbd-l = ad-Ibd.
(c) Find a similar criterion for eo() ::::: 3. Same question for Coo () ::::: 3.
1.7. Let : jp'l -. jp'l be a rational function of degree d ::::: 2. Using the standard spherical
measure on jp'l (C), normalized so total area is 1, prove that
1(n)'(z)1 dM(Z)
rv
as n -. 00.
1I'1(C)
Conclude that "on average," the map is expanding.

1.8. (a) Let C be a compact Riemann surface with 9 holes. Prove that if C is triangulated
using V vertices, E edges, and F faces, then V - E + F = 2 - 2g. The number 9 is
called the genus of C.
Exercises
37
(b) Let > : C 1 ---> C2 be a finite map of degree d of compact Riemann surfaces, and let gi
be the genus of C. Give a topological proof of the Riemann-Hurwitz formula,
2g1 - 2 = d(2g2
2) +
ep( - 1.
P EC ,
1.9. Let > E iC( z ) be a rational map of degree d :::': 2.

(a) Prove that 00 is a totally ramified fixed point of > if and only if > E iC[z].
(b) Let a E pI (iC) with a :f 00 . Prove that a is a totally ramified fixed point of > if and
only if (z - a)d / (>(z) - a) is in iC[z].
(c) Let a E pI (iC) be arbitrary. Prove that a is a totally ramified fixed point of > if and only
if there exists a linear factional transformation f E PGL2(iC) such that f-l (a) = 00
and >f (z) E iC[z].
1.10. Let K be a field of characteristic p > 0 and let >(z) E K (z) be a rational function.
(a) Show that the following are equivalent :
(i) >(z) ~ K(zP).
(ii) The formal derivative >' (z) is not identically zero.
(iii) The field extension K (z)/ K (>(z)) is separable.
If these conditions hold, we say that > is separable.
(b) Assume that > is separable . Recall that the ramification index is defined by the formula
e o ( = ordo (>(z ) - >(a )) . Let T o ( = ordo (>' (z )) . If a is a critical point of >,
then we say that > is tamely ramified at a if p f eo ( , and > is wildly ramified at a
ifp I eo ( . Prove that
T o ( :::': eo ( - 1,
with equality if and only if > is either unramified or tamely ramified at a .
(c) Prove that
2d - 2 :::':
To
( :::':
oE II" (C)
(eo ( - 1).
o EI" (C)
(Hint. Mimic the algebra ic proof of Ihe Riemann-Hurwitz formula , Theorem 1.1.)
(d) Deduce that a separable map has at most 2d - 2 critical points .
(e) More generally, if the rational function > is wildly ramified at t points , prove that > has
at most 2d - 2 - (p - l )t critical points.
1.11. Let K be a field of characteristic p > 0 and let >(z) E K (z) be a rational function.
(a) Suppose that > is separable and that >n E K[z] for some n :::': 1. Prove that >2 E K[z].
Thus Theorem 1.7 is true in characteristic p for separable maps.
(b) Let p = 2 and >(z) = 1 + Z - 2. Prove that >2 ~ K[z] and that >3 E K[z]. Thus
Theorem 1.7 need not be true in characteristic p for inseparable maps.
(c) Suppose that >2 ~ K[z] and that >n E K[z] for some n :::': 3. Prove that > has the form
> = (az q + b)/ (cz q + d), where q is a power ofp.
1.12. Let > : pI ---> p I be a rational map of degree d :::': 2, and suppose that there is a point
a E pI and an e > 0 such that
eo (>n ) :::': (1 +
fr
for infinitely many n :::': 1. Prove that a is a preperiodic point for >, and that the eventual
period of a is at most (2d - 2)/ f.
Exercises
38
Section 1.3. Periodic Points and Multipliers
1.13. We defined the multiplier of at a fixed point 0: to be the derivative ACt () = ' (0:).
This definition obviously must be modified if 0: = 00. In order to be compatible with Proposition 1.9, we must set Aoo() = (f)'(f-l(oo)) for all f E PGL2(C). Show that taking f (z) = 1/z leads to the definition
Prove that Aoo () is finite and may be computed without taking a limit by showing that the
fraction on the righthand size is a rational function in iC(z) with no pole at z = 0, so it may
be evaluated at z = o.
1.14. Let : jp'l ~ jp'l be a rational map.
(a) Let P E jp'l bea point of exact period n for and suppose that k(p)
that n I k.
(b) Prove that Per n () is the disjoint union of Per;; () over all min.
P. Prove
1.15. Let : jp'l ~ jp'l be a rational map of degree at least 2.

(a) Let n > m ~ O. Prove that {p E jp'l : n(p) = m(p)} is a finite set.
(b) Suppose that l and 2 are rational maps of degree at least 2 and suppose that l and 2
commute with one another, i.e., l 0 2 = 2 0 l. Prove that
PrePer(l)
= PrePer(2).
(Hint. Use (a) and apply Exercise 0.2.)
1.16. Suppose that 0: is a periodic point of . Prove that the orbit of 0: contains a critical point
of if and only if the multiplier ACt () vanishes.
1.17. This exercise generalizes the multiplier sum formula described in Theorem 1.14.
Let (z) E iC(z) be a nonconstant rational map and let 0: E C be a fixed point of C. The
residue fixed-point index of at 0: is the quantity
1
t( , 0:) = -2.
1l"t
Iz-Ctl=-
_dz( )'
z
where the integral is any sufficiently small loop around 0:.

(a) IfACt () =11, prove that
1
t(, 0:) = 1 _ ACt()"
(b) Prove that in all cases, the index t(, 0:) is independent ofthe choice oflocal coordinate
at 0:.
(c) Prove the index summation formula
L
CtEFix(,p)
t(, 0:)
= 1.
39
Exercises
(d) Suppose that An (J)
= Jt (0:) = 1 and that J" (0:) =I O. Provethat

~(J, o:)
J"' (o:) / 6 .
(J"(0:) /2) Z
In other words, if the series expansionof J( z) around z
J(z)
= 0: + (z -
= 0: has the form
0:) + A(z - o:) z + B( z - 0:)3
+ ...
with A
=I 0,
then ~ ( J,o:) = BIA z .
(e) The polynomialJ( z) = z + Az z + z3 has fixedpoints {O, -A, 00 }. The point at infinity
is superattracting, so Aoo (J) = O. Use the formula in (d) and the summation formula to
compute L A(J) , and then check your answer by computing LA (J) directly.
q z) be a rational function of degree d ~ 2.

(a) Prove that #Pern(J) ~ d" + 1.
(b) Prove that # Pern(J) --> 00 as n --> 00 .
(c) Prove that Per~* (J) is nonempty for infinitelymany values of n.
(d) * More precisely, prove that ifPer~* ( J) is empty, then (n , d) is one of the pairs
1.18. Let J( z) E
(n, d) E {(2, 2), (2, 3), (3, 2), (4, 2)}.

1.19. Let J(z) E iC[z] be a polynomial of degree d ~ 2.
(a) Ifm I n, prove that the polynomial Jm(z) - z dividesthe polynomial In(z) - z.
(b) Let f.l be the Mobius f.l function. Prove that for every n ~ 1, the rational function
~ (z)
II (Jm(Z) - zt
(n/ m)
min
is a polynomial. The polynomial ~( z ) is a dynamical analogue of the classical cyclotomic polynomial TImln (zm - l )JL(n/m).
(c) Compute the first few polynomials ~ (z) for the quadratic polynomial Jc(z) = ZZ+ c.
(d) Let 0: be a root of<l> ~ ( z ) . Prove that rj>"(o:) = 0:. Thus roots of<l> ~ ( z ) are in P ern (rj .
(e) Let Jc(z) = ZZ + c. Find a value of c such that ; (z) has a root whose exact period is
strictly smaller than 2?
(t) For n = 3 and n = 4, find all valuesof c such that ~ (z) has a root whose exact period
is strictly smaller than n.
The roots of ~ (z ) are said to have formal period n . They behave in many ways as if they
have exact period n, although their actual period is smaller than n.
1.20. Find explicit formulas for the fixed points and corresponding multipliers of the function J( z ) = az I (ZZ + b). Verify directly the formula in Theorem 1.14 (cf. Example 1.17).
Section 1.4. The Julia Set and the Fatou Set
1.21. Let (S l, Pl) and (S z, pz) be metric spaces. A collection of maps from S , to Sz is
said to be uniformly continuous iffor every > 0 there exists a 8 > 0 such that
The family is said to be uniformly Lipschitz if there is a constant C

PZ (J(O:), J({3 )) ~ C PI(0:, {3)
= C ( E .
Exercises
40
(a) If q, is uniformly continuous, prove that q, is equicontinuous at every point of 81.

(b) If q, is uniformly Lipschitz, prove that q, is uniformly continuous.
(c) Let q, = {4>n} n::o: 1 and suppose that for every point a E 8 1 , the limit
(a)
= n---;oo
lim 4>n(a)
exists. If q, is equicontinuous at a E 81, prove that is continuous at a. Give an example

to show that the equicontinuity assumption is necessary.
1.22. Give an example to show that equicontinuity is not an open condition. Thus in order to
ensure that the Fatou set is open, the definition of F( 4 must include the requirement that it
be open.
1.23. Let 4> : 8 --+ 8 be a surjective continuous map of a metric space with the additional
property that 4> maps open sets to open sets.
(a) Give a rigorous proofthat the Fatou and Julia sets of 4> are completely invariant, that is,
4>-1 (F) = F = 4>(F) and 4>-I(J) = J = 4>(J).
(b) Is (a) true without the assumption that 4> is surjective?
(c) Is (a) true without the assumption that 4> maps open sets to open sets?
1.24. Let 4>( z) E qz] be a polynomial map, and let F 00 be the connected component of F( 4
containing the point 00. Prove that 4>-1 (Foo ) = F oo = 4>(Foo ) . In other words, for a polynomial map, the connected component of 00 is completely invariant for 4>.
1.25. Let 4>( z) = 1 - 2/ Z2 be the rational map from Example 1.31.
(a) Let fez) = II z. Prove that (4)1)' (0) = 0 and conclude that 00 is a critical point of 4>.
(b) Let fez) = zl(z - 1). Prove that (1/)'(0) = 0 and conclude that 0 is a critical point
of 4>.
1.26. Let 4>(z) E Q(z) be a rational map of degree d 2: 2 with coefficients in Q, and let
J (4); Q) = J (4)) n jp'1(Q) be the set of points in the Julia set whose coordinates are algebraic
numbers.
(a) Is J( 4>; Q) Galois-invariant?
(b) Is J(4); Q) infinite? More generally, is J(4); Q) dense in J(4))?
(c) ** Does J (4); Q) contain points that are not preperiodic? More generally, does J (4); Q)
contain infinitely many nonpreperiodic points Pi such that the orbits of the Pi are disjoint?
Section 1.5. Properties of Periodic Points

1.27. Let a be a periodic point ofa rational function 4> E C(z).
(a) If a is attracting, prove that a E F( 4.
(b) If a is repelling, prove that a E J (4>).
1.28. Let 4>(z) = Z2 - 2. Prove that the Julia set of 4> is the closed interval on the real axis
between -2 and 2. Find the periodic points of 4>, compute their multipliers, and show directly
that J(4)) is equal to the closure of Perre). (Hint. Write z = ei t + e- i t = 2cos(t), so
4>(z) = 2 cos(2t). Prove that 4>n(z) = 2 cos(2nt) and use this formula to study the dynamics
of 4>.)
Exercises
41
1.29. Let 4>( z) E z] be a polynomial of degree d ;::: 1, and suppose that every a E Per n (4))
has multiplier Aq,(a) f. 1. Prove that the equation 4>n(z) = z has simple roots, and deduce
that Per n (4)) contains exactly d" + 1 distinct points (including the point 00).
Section 1.6. Dynamical Systems Associated to AlgebraicGroups

1.30. This exercise describes algebraic properties of the Chebyshev polynomials Td (w).
(a) Prove that T 2(w) = w 2 - 2, T3(w) = w 3 - 3w, and T4(W) = w 4 - 4w 2 + 2.
(b) Prove that Td(Te(w)) = Tde(w) for all d, e;::: O.
(c) Prove that Td(-w) = (-l)dTd(w). Thus T d is an odd function if d is odd and it is an
even function if d is even.
(d) Prove that the Chebyshev polynomials satisfy the recurrence relation
where we use the initial values To(w) = 2 and Tl (w) = w.

(e) Prove that the generating function of the Chebyshev polynomials is given by
00
l: Td(W)X
d=O
2 -wX
X X2'
l-w +
(f) Prove that the dth Chebyshev polynomial is given by the explicit formula
1.31. This exercise describes dynamical properties of the Chebyshev polynomial Ts (w) for a
fixed d ;::: 2.
(a) Let U be an open subinterval of [-2, 2]. Prove that there exists an integer n ;::: 1 such
that T:l(U) = [-2,2].
(b) Prove that limn~oo T:t(w) = 00 for all points wE iC not lying in the interval [-2,2].
(c) Prove that the Julia set .:J(Td) is the closed interval [-2,2].
(d) Find all of the periodic points ofTd and compute their multipliers. Observe that .:J(Td)
is the closure ofthe (repelling) periodic points.
(e) Let F(w) E C[w] be a polynomial of degree d ~ 2 with the property that the interval
[-2,2] is both forward and backward invariant for F. Prove that F(w) = Td(W).
1.32. (a) Let A be an abelian group, let A tors = {P E A : nP = 0 for some n ~ I} be the
torsion subgroup of A, let d ;::: 2 be an integer, and let 4> : A --+ A be the map
4>(P) = dP. Prove that
PrePer( 4 = A tors.
(This is Proposition 0.3, but try reproving it without looking back at our proof.)
(b) Let E be an elliptic curve, let d ;::: 2 be an integer, and let 4> E ,d : ]p'l --+ ]p'l be the rational
map associated to multiplication-by-d on E, as described in Section 1.6.3. Prove that
PrePer(4)E,d)
= x(E(iC)tors).
Chapter 2
Dynamics over Local Fields:

Good Reduction
The study of the dynamics of polynomial and rational maps over ~ and C has a long
history and includes many deep theorems, some of which were briefly discussed in
Chapter 1. A more recent development is the creation of an analogous theory over
complete local fields such as the p-adic rational numbers Qp and the completion C p
of an algebraic closure of Qp. The nonarchimedean nature of the absolute value
on Qp and C p makes some parts of the theory easier than when working over C
or R But as usual, there is a price to pay. For example, the theory of nonarchimedean
dynamics must deal with the fact that Qp is totally disconnected and far from being
algebraically closed, while C p is not locally compact.
In this chapter we begin our study of dynamics over complete local fields K by
concentrating on rational maps that have "good reduction." Roughly speaking, this
means that the reduction of modulo the maximal ideal of the ring of integers of K
is a "well-behaved" rational map over the residue field k of K. Thus studying the
dynamics of over k allows us to derive nontrivial information about the dynamics of over K. In Chapter 5 we take up the more difficult, but ultimately more
interesting, case of rational maps with "bad reduction."
2.1 The Nonarchimedean Chordal Metric

We begin by quickly recalling the definition and basic properties of absolute values,
especially those satisfying the ultrametric inequality.
Definition. An absolute value on a field K is a map
II:K---+~
with the following properties:
lal
20, and
lal =
0 if and only if a =
43
o.
44
2. Dynamics overLocalFields: Good Reduction
la/31 = lal . 1/31 for all a, /3 E K .

la + /31 :::; lal + 1/31 for all a, /3 E K
(triangle inequality).
A valuedfield is a pair (K, 1 . I K) consisting of a field K and an absolute value

on K, although we often omit the absolute value in the notation. A map of valued
fields i : K ---- L is a field homomorphism that respects the absolute values,
for all a E K.
Definition. Let (K,

estimate
I . I) be a valuedfield. If the absolutevalue satisfies the stronger

la + /31 :::; maxjjc], 1/31}
for all a, /3 E K,
(2.1)
then the absolute value is nonarchimedean or ultrametric. The associated valuation

is the homomorphism
v : K*
----t
It satisfies
v(a +
v(a) = -log lal.
JR,
m~ mini v(a), v(/3)}.
The valuation v is discrete if v (K*) is a discrete subgroup of JR, in which case the
associated normalized valuation (sometimes denoted ord.i) is the constant multiple
of v chosen to satisfy ord, (K*) = Z.
Example 2.1. The field Q has the usual real absolutevalue
lal oo = max{a, -a}.

For each prime p it also has a p-adic absolutevalue definedas follows. Every nonzero
rational number a has a unique factorization of the form
a
IT
pep(a)
with ep(a) E Z.
P prime
Then
lal p
= p-ep(a).
The p-adic absolute values are nonarchimedean.

Two absolute values are said to be equivalent if there is a constant r > a such
that lail = lal2 for all a E K. Ostrowski's theorem says that up to equivalence, the
real absolute value and the p-adic absolute values are the only nontrivial absolute
values on Q; see [78, 1.4.2,Theorem 3] or [249, 1.2, Theorem 1].
Example 2.2. Let k be a field and let K = k(T) be the field of rational functions.
Then each a E k determinesan absolute value on K associatedto the valuation ord.,
that gives the order of vanishing of f(T) E k(T) at T = a. The degree map deg :
k(T)* ---- Z is also a valuation. If k is algebraicallyclosed, this yields the complete
set of absolutevalues on k(T) that are trivialon k, up to equivalence. More generally,
if k is not algebraically closed, there is a valuation corresponding to each monic
45
2.1. The Nonarchimedean Chordal Metric
irreducible polynomial in k[T]. In this book we are primarily interested in the number
field scenario, i.e., the field Q and its extensions and completions, but the reader
should be aware that it is also interesting to study the analogous case of function
fields , i.e. , the field k[T] and its extensions and completions.
We now prove the elementary, but extremely useful, fact that if 10:1
the ultrametric inequality (2.1) is actually an equality.
I:-
Lemma 2.3. Let K be a field with a nonarchimedean absolute value

let a, /1 E K. Then
Proof We suppose that

1/1lv
<
1/11, then
I . Iv
and
lal v > 1/1lv. The strict inequality
lal v = I(a
+ /1) - /1 lv ::; maxi la + /1l v, l/JIv}
implies that the maximum on the right is [o + /1lv, so we find that [o ], ::; la + /1lv'
The opposite inequality is also true , since [o + /1l v ::; m ax{ la lv , 1/1l v} = lal v . 0
Recall that the chordal metric on
by the formula
pI
(C), which we now denote by Poo, is defined
for points PI = [X I , YI ] and P2 = [X 2 , Y2] in p I (iC). In the case of a field K having

a nonarchimedean absolute value I . Iv, it is convenient to use a metric given by a
slightly different formula.
Definition. Let K be a field with a nonarchimedean absolute value I . Iv, and let
PI = [Xl, YI ] and P2 = [X2, Y2] be points in PI (K ). The u-adic chordal metric
on pI (K ) is
It is clear from the definition that Pv(PI , P2) is independent of the choice of homogeneous coordinates for PI and P2.
The first thing to check is that Pv is indeed a metric. In fact, it is an ultrametric;
that is, it satisfies the nonarchimedean triangle inequality.
Proposition 2.4. The u-adic chordal metric has the following properties.
(a) 0 ::; Pv (PI , P2 ) ::; 1.
(b) Pv(PI , P2) = 0 if and only if PI = P2.
(c) Pv(PI ,P2) = Pv(P2,PI ).
(d) Pv(PI ,P3 ) ::; max{PV(P 1 ,P2),Pv(P2,P3 )} .
46
2. Dynamics over Local Fields: Good Reduction
Proof The lower bound in (a) and parts (b) and (c) of the proposition are obvious
from the definition. For the upper bound in (a), we use the nonarchimedean nature
of v to compute
IXIYZ
X zYIl v :::; max{I XIYzl v, IXzYIl v}
< max{IXIl v, IYIlv} m ax{IXzl v, IYzl v} .

The proof of (d) requires the consideration of several cases. The following useful
lemma makes the proof more transparent by allowing some freedom to change coordinates. It is the analogue of the fact that the classical chordal metric is invariant
under linear fractional tran sformations that define rigid rotations of the Riemann
sphere (cf. Exercise 1.2).
Lemma 2.5. Let
R = {a E K : lal v
be the ring ofintegers ofK , and let
tion ofthe f orm
f ([X YJ)
,
i.e., f
aX + bY
cX +dY
f : pI
-t
:::;
I}
pI be a linear fractional transforma-
with a, b, e, d E R and ad - be E R* ,
PGLz(R ). Then
Pv(J(PI ), f (Pz)) = Pv(PI , Pz)
(N.B. It is crucial that the quantity ad - be is a unit.)

Proof Write each point as Pi = [Xi, Yi] with Xi , Yi E R and at least one of X i
or Y, inR*. Then max{IXil v , IYilv} = 1,so
Pv(PI, PZ ) = IX1 YZ -XzYIl v.

Further, the identities
d(aXi + bYi) - b(eXi

e(aXi + bYi) - a(eXi
+ dYi) = (ad - be)Xi ,

+ dYi) = - (ad - be)Yi,
and the fact that max{ IXi lv, IYi Iv} = 1 and lad - belv = 1 immediately imply that
max{l aXi
+ bYilv, leXi + dYilv } =
1.
Thus
Pv(J(Pd , f (Pz ))
I(aX I + bY1) (eX
+ dYz ) - (aXz + bYz )(eX 1 + dYdl v
= I(ad - be)(XIYz - XzYI )l v
= Pv(PI, Pz),
where we have again made use of the fact that lad - bel v
= 1.
2.2. Periodic Points and Their Properties
47
We resume the proof of Proposition 2.4 and write each point as Pi = [Xi, Yi]
with Xi, Yi E R and at least one of Xi or Yi in R*. Then
max{IXil v, IYilv} = 1
and
Pv(Pi, Pj) = IXiYj - XjYilv,
as usual. If IX2 1v > 1Y21v, we apply the map f = Y/X to the three points. This
preserves the chordal distance (Lemma 2.5) and allows us to assume that
IX2 1v ::; 1Y21v = 1.

Next we apply the map f = (Y2 . X - X 2 . Y)/Y to the three points. Lemma 2.5
again tells us that the chordal distance is preserved (note that 1Y21v = 1), and we are
reduced to the case that P2 = [0,1]. Finally, we compute
IXI Y3 - X3 YI lv ::; max{ IXI Y3Iv, IX3 YIlv} ::; max{IXIl v, IX3Iv},
which is exactly the desired inequalitywhen P2 is the point [0, 1].
2.2 Periodic Points and Their Properties

In Section 1.3 we described various properties of periodic points for rational maps
definedover C. Virtuallyall of these definitions make sense, mutatis mutandis,when
we work over any field with an absolute value. In this section we briefly recall the
relevantmaterial.
Let K be a field with an absolute value I . I and let ( z) E K (z) be a nonconstant
rational map. The multiplier of at a fixed point 0: E K is the derivative
An () = ' (0: ) .
(See Exercise 1.13 for the case 0: = 00.) The multiplier is well-defined, independent
of the choice of coordinateson pI; see Proposition 1.9.
More generally, if 0: E pI (K) is a point of exact period n for , then 0: is a fixed
point of n and we definethe multiplier of at 0: to be
The multiplier may be calculated using the chain rule as
The magnitude of the multiplier determines, to some extent, the behavior of in

a small neighborhoodof a periodic point 0:. The periodic point 0: is called
superattracting
if An () = 0,
attracting
if IAn () I < 1,
neutral (or indifferent)
if IAn () I = 1,
repelling
if IAn () I > 1.
The neutral periodic points are further divided into two types. The rationally neutral
periodic points are those whose multiplier is a root of unity. The others are called
irrationally neutral.
48
2.3 Reduction of Points and Maps Modulo p

One of the most important gadgets in the number theorist's toolbox is reduction
modulo a prime. Thus when studying the number-theoretic properties of an object,
we reduce it modulo a prime, analyze the properties of the hopefully simpler object,
and then lift the information back to obtain global information. A typical example
is provided by Hensel's lemma, which under certain circumstances allows us to lift
solutions of a polynomial congruence f(x) == 0 (mod p) to solutions in Zp. Then,
using information gathered from many primes, one is sometimes able to deduce results for a global field such as Ql.
Our principal objects of study are maps : r 1 --t r 1 . In this section we study
the behavior of such maps under reduction modulo a prime. We work over a discrete
valuation ring, so we set the following notation:
I . Iv
R
p
R*
a field with normalized discrete valuation v : K*

= cV(x) for some e
--*
Z.
> 1, an absolute value associated to v.
{a E K : v(a) :::: O}, the ring of integers of K.

= {a E K: v(a) :::: I}, the maximal ideal of R.
= {a E K : v(a) = O}, the group of units of R.
= Rf, the residue field of R.
=
reduction modulo p, i.e., R
--t
k, a
f---t
a.
Before studying reduction of maps, we consider the problem of reducing points

modulo p. This is as easy in r N as it is in r 1 , so we look at the general case. Let
P = [XO,X1,'" ,XN] E rN(K)

be a point defined over K. We cannot immediately reduce the coordinates of P modulo p, since some of the coordinates might not be in R. However, since the coordinates of P are homogeneous, we can replace them with
= [exo, eX1,"" eXN]
for any e E K*. Choosing e to be highly divisible by p, we can ensure that every ex,
is in R. However, if we overdo this process and end up with every ex, in the prime
ideal p, then when we reduce modulo p, we end up with [0,0, ... ,0], which does not
represent a point of projective space.
The trick is to "clear the denominators" of the Xi'S as efficiently as possible. To
do this, we choose an element a E K* satisfying
v(a) = min{ v(xo), v(xt}, ... ,V(XN
n.
(2.2)
For example, a could be the Xj having minimal valuation. Then a- 1xi E R for
every i, so we can reduce these quantities modulo p. We define the reduction of P
modulo p to be the point
F= [~,~, ... ,a~] Er 1 (k).
2.3. Reduction of Points and Maps Modulo p
49
Note that P has at least one nonzero coordinate, since at least one of the numbers 0: - 1Xi is a unit. Hence P is a well-defined point in p I (k).
We say that P = [xo , . . . , XN] has been written using normalized coordinates if
min{v(xo),v(xd, . .. , V (XN)} = 0,
in which case
P is simply
[xo, ... , XN]'
iJ5]
E p I (Ql) . We can reduce P

Example 2.6. Consider the point P = [I~ ' ; 5' ~~ ,
modulo 11 without any modification , since every coordinate is an l l-adic integer and
not all coordinates vanish modulo 11. Thus P = [1,10,7,9] (mod 11). However, if
we want to reduce P modulo 3, then we first need to divide all of the coordinates
by 3,
P _ [3
-
9 24 27] _ [1 3 8 9]
14 ' 35 ' 49' 245 - 14' 35' 49' 245 '
and then P = [2,0,2,0] (mod 3). Similarly, in order to compute P modulo 7, we

first multiply the coordinates by 49,
P _ [~ ~ 24 ~] _ [21 63 24 27]
-
and then
P=
14 ' 35 ' 49 ' 245
2 ' 5 ' 1 ' 5
'
[0,0,3,4] (mod 7).
It may appear that the reduction P depends on the choice of 0: . We now check
that this is not the case.
Proposition 2.7. Let P = [xo , . .. , XN ] E

pendent of the choice of 0: satisfy ing (2.2).
pN (K).
Proof Suppose that 0: and {3 both satisfy (2.2). Then

tion, so 0:{3- 1 E R*. This allows us to compute
[------ -----0:
- I
Then the reduction P is inde-
0:
and {3 have the same valua-
------ ] [------ ------ ------------ ------ ------ ]

[------xo,{3------ ,{3------ ]
-I
- 1
Xo , O: XI, ... , O: X N
_
-
- 1 - I
-1 - 1
- 1 -I
0:{3 0:
xo,o:{3 0:
X I, .. . , o:{3 0:
XN
-1
{3
-I
XI, ...
- 1
XN
Hence the reduction of P modulo p is independent of the choice of 0: satisfying (2.2).
o
We next prove an easy and useful lemma that relates reduction modulo p to v-adic
distance .
Lemma 2.8. Let PI and P 2 be po ints
in ]P'I (K) .
Then
2. Dynamics over Local Fields: GoodReduction
50
Proof Write PI = [Xl, YI ] and P2 = [X2 , Y2 ] using normalized coordinates, so in

particular Pv(pl, P2 ) = IXI Y2 - X 2 Yl lv ' Suppose first that PI = P2 This means
that there is a U E k* such that Xl = uX2 and Y"l = UY"2. In other words, there is a
U E R* such that that Xl =' uX 2 (mod p) and YI =' uY2 (mod p). Hence
which completes the proof that Pv (PI, P2 ) < 1.

Next suppose that Pv (PI , P2 ) < 1, which implies that X IY2 =' X 2YI (mod p).
If X IX2 . 0 (mod p), then Xl, X2 E k*, so we have
On the other hand, if X IX2 =' 0 (mod p), then the fact that the coordinates are normalized and the equality X I Y2 =' X 2 YI (mod p) imply that Xl=' X 2 =' 0 (mod p),
0
so PI = P2 = [0, 1]. This completes the proof of the lemma.
As a first application, we show that fractional linear transformations in PGL 2(R)
respect reduction modulo p.
Proposition 2.9. Let P, Q E pl(K) and J E PGL2(R). Then
P = Q if and only if J(P) = J(Q).

Proof We combine Lemmas 2.5 and 2.8. Thus
P= Q
Pv(P, Q) < 1
from Lemma 2.8,
Pv(J(P),J(Q)) < 1
from Lemma 2.5,
J(P) = J(Q)
from Lemma 2.8 again.
Example 2.10. Let J = (~~), so J .,. PGL 2 (Z3). Consider the points P = [7,5]
and Q = [4,2] in pI (Q3)' They satisfy P = Q = [1,2] in pI (IF3), but
J(P) = [45,75] = [3,5] =' [0,1]

J(Q) = [24,36] = [2,3] =' [1,0]
(mod 3),
(mod 3),
so J(P) f- J(Q). This shows the necessity of the condition J E PGL 2(R) in Proposition 2.9.
It is easy to see that if K is a field and PI, P2 , P3 are distinct points in pI (K),
then there is an element ofPGL 2 (K) that moves them to the points 0, 1,00. (See Exercise 1.4.) The next proposition gives a stronger result for points whose reductions
are distinct. It is especially useful because Lemma 2.5 says that the nonarchimedean
chordal metric is invariant for maps in PGL 2(R), so changing coordinates via an
element ofPGL 2(R) does not change the underlying dynamics.
2.3. Reduction of Pointsand Maps Modulo p
51
Proposition 2.11. Let PI , P2 , P3 E pI (K ) be points whose reductions PI , P2 , P3

are distinct. Then there is a linear fractional transformation f E PGL2 (R) such that
f(Pd = 0,
Proof Write Pi = [Xi, Yi] with normalized coordinates. If v(X I ) > v(YI ) , we begin by applying the map f = Y/X E PGL2 (R) to each of the three points, so we
may assume that v(X d ::; v(Yd . Since the coordinatesare normalized, this implies
that v(YI ) = 0, so YI is a unit. We next apply the map
to the three points. Having done this, we see that PI = [0,1].

Next consider the point P3 . Since P3 i- PI = [0,1], we see that v(X3 ) = 0,
so we can apply the map X /(Y3X - X 3 y) E PGL2(R) to the three points. This
fixes PI and sends P3 to [1 ,0], i.e., P3 gets sent to 00. Finally, since P2 is equal to
neither PI = [0,1] nor P3 = [1 ,0]' we see that v(X2 ) = v(Y2 ) = 0. Applying the
map Y2X/ X 2Y E PGL2(R) to the three points then fixes PI and P3 and sends P2
to [1 ,1].
D
Havinglookedat the reductionof a point, we next tum to the problem of reducing
a rational map modulo p. Let : pI -; pI be a rational map of degree d defined
over K, so is given by a pair of homogeneous polynomials of degree d,
F (X ,Y ),G(X,Y ) E K [X ,Y ].
Note that the map (X, Y ) = [F (X ,Y ),G(X,Y )] does not change if F and G are
each multiplied by a nonzero constant c E K *, since the coordinates are homogeneous.
Definition. Let : pI -; pI be a rational map as above and write
= [F (X ,Y ),G(X,Y)]
with homogeneous polynomials F, G E K [X, Y]. We say that the pair (F, G) is
normalized, or that has been written in normalizedform, if F , G E R[X, Y] and at
least one coefficient of For G is in R*. Equivalently, = [F, G] is normalized if
F(X, Y) = aoXd + aIXd-1y + ... + ad_lXyd- I
+ adyd
and
satisfy
min { v(ao) ,v(ad , . . . ,v(ad), v(bo), v(b1), .. . ,V(bd) } = 0.
(2.3)
Givenany representation = [F,G], it is clear that one can alwaysfind some e E K *

such that reF, eGl is a normalizedrepresentation. Further, the element e is unique up
to multiplicationby an element of R* .
52
Writing = [F, G] in normalized form, the reduction of modulo p is defined

in the obvious way,
(X, Y) = [F(X, Y), G(X, Y)]

- y d,b-0 X d + b- 1 X d- 1y + ... + b-dy d] .
- Xd + al
- X d- 1y + ... + ad
= [ao
In other words, is obtained by reducing the coefficients of F and G modulo p, (If
the prime ideal is not clear from context, we write p or mod p.)
The fact that at least one coefficient of F or G is a unit ensures that at least
one of F and G is a nonzero polynomial, so the reduction gives a well-defined
map : pI (k) ----. pI (k). Further, the reduced map is independent of the choice
of F and G, a fact whose proof we leave to the reader (Exercise 2.4) since it is quite
similar to the proof of Proposition 2.7.
The mere existence of the reduction of a rational map does not imply that
has good properties, as is shown by the following simple example.
Example 2.12. Let a E K* and consider the rational map
If a E R*, then ii -=I- and the reduced map a(X, Y) = liiX d, yd] is again a rational
map of degree d. However, if v(a) > 0, then ii = 0, so a(X, Y) = [0, yd] = [0, 1]
is a constant map! Similarly, if v(a)
< 0, then a-I = 0, so
is again a constant map, but not to the same point!! To summarize, the reduction of
the map a(X, Y) = [aX d, yd] separates into three cases,
[iiX d,Y dj
a =
[0,1]
[1,0]
ifv(a) =0,
ifv(a) > 0,
ifv(a) < 0.
Clearly it is only in the first case that the reduced map is interesting.
Keep in mind that our goal is to use the dynamics of to help us understand the
dynamics of . In the above example, ifv(a) = 0, then it is easy to see that for any
P E pl(K),
(p) = (F),
and hence by induction,
n(p) = n(F).
Thus the orbit of F yields valuable information about the orbit of P. However,
ifv(a) -=I- 0, then (F) is constant, independent of P, so the orbit of F contains no
information. We formalize this notion in Section 2.5 after a preliminary discussion
of the theory of resultants.
53
2.4. The Resultant of a Rational Map
2.4 The Resultant of a Rational Map

A rational map c/J : !pI -; !pI is given by a pair of homogeneous polynomials
c/J =
[F(X, Y) , G(X , Y)]
having no nontrivial common roots. However, if we reduce the coefficients of F

and G modulo some prime , they may acquire common root s in the residue field. In
order to understand this phenomenon, it is useful to have a tool that characterizes the
existence of common roots in terms ofthe coefficients of F and G . This tool is called
the resultant. Resultants and their generalizations are widely used , both theoretically
and computationally, in number theory and algebraic geometry. We give in this section only a brief introduction to the theory of resultants . The reader desiring further
information might consult [105, Section 3.3], [112, Chapter 3], [259, Section V 10],
or [436, Sections 5.8, 5.9], while the reader interested in applications to dynamics
may wish to peruse only the statements of Proposition 2.13 and Theorem 2.14 and
return to the proofs at a later time .
Proposition 2.13. Let

A (X , Y ) = aoX n + a l X n- 1y +
B (X , Y ) = boX m + b X m- 1y +
+ an_ lXy n - 1 + any n ,

+ bm_ 1Xym- l + bmy m
be homogeneous polynomials ofdegrees n and m with coefficients in afield K . There

exists a polynomial
in the coefficients of A and B , called the resultant of A and B , with the following
properties:
(a) Res(A , B ) = 0 if and only if A and B have a common zero in!p 1 (K).
(b) If aobo =I- 0 and if we f actor A and B as
n
A = ao
II (X -
Qy)
i= l
then
B = bo
and
n
Res(A , B ) = aob~
II II (Qi -
II (X - ,6jY) ,
j=l
,6j).
i=l j=l
(c) There exist polynomials
F l , G l , F2 , G2 E Z[ao, . .. , an, bo, ... , bm][X, Y ],

homogeneous in X and Y of degrees m - 1 and n - 1, respectively, with the
property that
Fl (X , Y )A(X , Y ) + G 1 (X , Y )B(X , Y ) = Res(A , B )x m+n- l ,

F (X ,Y )A(X , Y ) + G (X ,Y )B (X ,Y ) = Res(A , B )y m+n- 1 .
2
Notice that in the first equation. the variable Y has been eliminated, and similarly X has been eliminated in the second equation.
2. Dynamics overLocal Fields: Good Reduction
54
(d) The resultant is equal to the (m + n) x (m + n) determinant

ao al a2 . . . an
ao al a2 ... an
ao al a2 ... an
Res(A, B) = det
ao al a2 . .. an
bo bl bz
bm
bo bi b2 . . ... bm
bo bl b2 . . .. bm
bo bl b2
bm
In particular, Res(A, B) is homogeneous of degree m in the variables ao, ... , an

and simultaneously homogeneous ofdegree n in the variables bo, ... , bm .
Proof We begin by showing that the following three conditions are equivalent.
(i) A(X, Y) and B(X, Y) have a common zero in jpl(k).
(ii) A(X, Y) and B(X, Y) have a common (nonconstant) factor in the polynomial
ring K[X, Y J.
(iii) There are nonzero homogeneous polynomials C , DE K[X,Y ] satisfying
A(X,Y)C(X,Y)=B(X,Y)D(X,Y)
with deg(C) ::::: m - 1 and deg(D) ::::: n - 1.
(2.4)
The equivalence of (i) and (ii) follows immediately from the fact that the greatest
common divisor of A and Bin K[X, Y] vanishes at exactly the common zeros of A
and B in jpl (k). (What we are really using here, of course, is the fact that the ring
of homogeneous polynomials K[X, Y] is a principal ideal domain.) It is also clear
that (ii) implies (iii), since if A and B have a common factor F, then we simply
choose C and D using the formulas A = F D and B = FC. Finally, to prove
that (iii) implies (i), we suppose that (2.4) is true. Ifwe factor both sides of (2.4) into
linear factors in k[X, Yj, then A(X, Y) has n factors, while D(X, Y) has at most
n - 1 factors. Therefore A(X, Y) shares at least one linear factor with B(X, Y)
in k[X, YJ, and hence they have a common zero in jpl (k).
We next multiply out equation (2.4), treating the coefficients of C and D
as unknowns. This gives a system of m + n homogeneous linear equations in
the m + n variables Co , ... , Cm - I , do, . .. , d n - I , and the matrix of this system is
(up to changing the sign of some columns and transposing) equal to the matrix given
in (d) . For example, if deg(A) = 3 and deg(B) = 2, then equating coefficients
in (2.4) gives the system oflinear equations

coao
COal
COa2
COa3
55
= dob o,
+ ClaO =
+ Clal =
+ Cla2
dob l
dob2
+ dlb o,
+ dlb l + d2bo,
dlb2
Cla3 =
+ d2bl,
d2b2,
whose associated matrix
ao -bo
al ao -b l -bo
a2 al -b2 -b l -bo
a3 a2
-b2 -b,
a3
-b2
becomes equal to the matrix in (d) if we change the sign of the last three columns
and transpose. The general case is exactly the same.
To recapitulate, we have shown that equation (2.4) has a nontrivial solution if and
only if the system of homogeneous linear equations described by the matrix in (d)
has a nontrivial solution, which is equivalent to the vanishing of the determinant of
the associated matrix. Hence if we take the determinant in (d) as the definition of
the resultant Res(A, B), then the equivalence of (i) and (iii) proven above shows
that Res(A, B) = 0 if and only if A and B have a common zero in JP'1 (k), which
proves (a).
In order to prove (c), we write
and
xjyn-l-j
for
j <n
as a system of homogeneous equations,
ao al a2 ... an
ao al a2 ... an
ao al a2 ... an
+m - l
X n +m - 2 y
x n +m - 3y 2
n
ym-lA
Xn-lB
ao al a2 ... an
bm
bo bl b2
bo b: b2
bm
bo bl b2 . . . . . . . b-
bo bl b2
Xm-1A
X m - 2YA
X m - 3 y 2A
X n - 2YB
X n - 3 y 2B
bm
xyn+m-2
yn+m-l
yn-lB
Notice that the matrix M appearing here is exactly the matrix in (d) whose determinant equals Res(A, B). We multiply on the left by the adjoint matrix Madj of M.
(Recall that the entries of Madj are the cofactors of the matrix M, and that the product Madj M is a diagonal matrix with the quantity det (M) as its diagonal entries.)
This yields the following matrix identity, where for convenience we write R(A, B)
for Res(A, B):
56
R(A, B)
o
o
0
0
R(A, B)
0
0
R(A, B) ...
o
o
o
x n +m - 1
x
n + m - 2y
X n +m -
3y2
Xm-1A
X m - 2YA
X m - 3 y 2A
ym-1A
Xn-1B
X n - 2YB
X n - 3 y 2B
Xyn+m-2
yn+m-l
... R(A,B)
yn-1B
Examining the top entry on each side, we find that Res(A, B)xn+m-I on the lefthand side is equal to an expression of the form
FI(X, Y)A(X, Y)
+ GI(X, Y)B(X, Y)
on the righthand side, where F I and G I are homogeneous polynomials of degrees

m-l and n-l, respectively, whose coefficients are (complicated) polynomials in the
coefficients of A and B. Similarly, the bottom entry shows that Res(A, B)yn+m-I
is equal to an expression of the form
F 2(X, Y)A(X, Y)
+ G2(X, Y)B(X, Y).
This completes the proof of part (c) of the proposition.

Finally, we leave the proof of (b) as an exercise for the reader, or see [436, Section 5.9].
D
We define the resultant of a rational map in terms of its defining pair of polynomials.
Definition. Let : lP'1
--t lP'I be a rational map defined over a field K with a

nonarchimedean absolute value I . Iv. Write = [F, G] using a pair of normalized
homogeneous polynomials F, G E R[X, Y]. The resultant of is the quantity
Res()
= Res(F, G).
Since the pair (F, G) is unique up to replacement by (uF, uG) for a unit u E R*,
we see that Res() is well-defined up to multiplication by the 21fh-power of a unit.
In particular, its valuation v(Res( )) depends only on the map .
The resultant of a rational map provides an upper bound to the extent that
is expanding in the chordal metric. In particular, a rational map is always Lipschitz
with respect to the chordal metric, and if its resultant is a unit, then the map is nonexpanding. (See also Exercise 2.10.)
Theorem 2.14. Let : lP'I
--t
nonarchimedean absolute value
lP'1 be a rational map defined over afield K with a

I . Iv. Then
57
Proof Write = [F(X, Y), G(X, Y)] in normalized form. Proposition 2.l3(c) says
that there are homogeneous polynomials F l , G l , F 2 , G 2 E R[X, Y] satisfying
Fl (X, Y)F(X, Y) + G l (X, Y)G(X, Y)

F2(X, Y)F(X, Y) + G2(X, Y)G(X, Y)
= Res( )X
= Res()y
2d- l,
2d
Now let P = [x, y] E jp'l (K) be a point, which we assume written in normalized form. We substitute [X,Y] = [x, y] into the first equation and use the nonarchimedean triangle inequality to compute
I Res( )x 2d- ll v = 1F1 (x, y)F(x, y) + G l (x, y)G(x, y)Iv
::; max{ IFl (x, y)F(x, y)lv, IG l (x, y)G(x, Y)lv}
::; max{IF1(x,y)lv, IG1(x,y)!v}' max{IF(x,y)lv, IG(x,y)lv}
< max{ IF(x, y) lv, IG(x, y)Iv }.

A similar calculation using the second equation gives the analogous estimate
IRes( )y2d-ll v < max{ IF(x, y)lv, IG(x, y) l.}.

Since P is normalized, i.e., max{lxl v , Iylv} = 1, we find that
I Res( )!v ::; max{ IF(x, y)lv, IG(x, y) Iv}.
(2.5)
Notice that this estimate bounds the extent to which F(x, y) and G(x, y) can be
simultaneously divisible by high powers of p.
Returning to the proof of the theorem, we write P, = [Xl, Yl], P2 = [X2, Y2], and
= [F(X, Y), G(X, Y)] in normalized form. Then the distance from P, to P2 is
while we can use the inequality (2.5) (applied to both P, and P2 ) to estimate
max { IF(Xl, yd lv, IG(Xl, Ydlv} . max{ IF(X2, Y2)lv, IG(X2, Y2) Iv}
< IF(Xl,Yd G(X2'Y2) - F(X2'Y2)G(xl,Ydl v.

-
I Res(m
To complete the proof, we observe that the polynomial
vanishes identically if Xl Y2 = X 2 Yl . It follows that it is divisible by the polynomial

X 1Y2 - X 2Yl in the ring R[X l , Yl , X 2 , Y2 ], so we can write
58
for some polynomial H E R[X1 , Y1 , X 2 , Y2 ] . Then
"'(P ) "'(Po )) < I(XIY2 -x2 yr)H (XI,YI,X2, Y2)lv

l,'f/ 2 IRes () I ~
P V 'f/
< !XIY2 - X2Yl iv
IRes ( ) I ~
= Pv(P1 , P2 )
IRes ( )I ~ .
2.5 Rational Maps with Good Reduction

As we saw in Example 2.12, the reduction of a rational map may bear little
resemblance to the original map. Indeed, even the degree of the map may change. In
this section we characterize maps for which deg() = deg ( ). These maps are the
dynamical analogue of varieties that have good reduction, and they share many of
the same properties. See [410, Chapter VII] , for example, and compare the results of
this section with the properties of elliptic curves that have good reduction.
Theorem 2.15. Let : pi ....... pl be a rational map defined over K and write
= [F, G ] in normalizedform. The following are equivalent:
(a) deg( ) = deg ( ).
(b) The equations F (X, Y )
= G(X , Y) = 0 have no solutions [a,13j E p l (k).
(c) Res( ) E R*.

(d) Res CF, G) =I- 0.
Proof The equivalence of (b), (c), and (d) is immediate from the basic properties of
the resultant given in Proposition 2.13, once we observe that
Res (F, G) = Res (F, G ).
This equality follows from the fact that the resultant is simply a polynomial in the
coefficients of F and G.
To complete the proof, we observe that the degree of is equal to the degree of
minus any cancellation that occurs in F(X, Y)jG(X, Y) . In other words,
d 1 = d '" _ (Nu~ber of com~on roots

eg 'f/
eg'f/
of F (X , Y ) = G(X, Y) =
'
)
where the roots are counted with appropriate multiplicities in pI (k). In particular,
deg = deg if and only if P and G have no common roots, which proves the
equivalence of (a) and (b).
0
Definition. A rational map : p i ....... pi defined over K is said to have good reduction (modulo p) if it satisfies anyone (hence all) of the conditions of Theorem 2.15.
59
2.5. Rational Maps with Good Reduction
Remark 2.16. There is a fancier, but useful, characterization of good reduction

in the language of schemes. The rational map is a morphism :
-t
over Spec(K), so it induces a rational map Pk -t P k over Spec(R). Then
has good reduction if and only if this rational map over Spec (R) extends to a
morphism . In other words, good reduction is equivalent to the existence of an
R-morphism R : Pk -t P k whose restriction to the generic fiber is the original
-t
In this setting, the reduction is then simply the restriction
map :
of R to a morphism of the special fiber : pl -t Plover Spec(k). See Exercise 2.15.
Pk
Pk
Pk
Pk.
As a first application of the notion of good reduction, we use Theorem 2.14 to

prove the somewhat surprising result that maps with good reduction have empty Julia sets. Later, in Chapter 5, we will prove that rational maps always have nonempty
Fatou set. This is exactly opposite to the situation that holds over the complex numbers C, where the Julia set is nonempty, but the Fatou set may be empty.
Theorem 2.17. Let : p l -t pI be a rational map that has good reduction.

(a) The map is everywh ere nonexpanding,
(b) The map has empty Julia set.

Proof (a) This is immediate from Theorem 2.14 and the fact that good reduction is
equivalent to Res( ) E R*.
(b) It is clear from the definition of equicontinuity that a nonexpanding map is equicontinuous . Indeed, the iterates of a nonexpanding map are uniformly continuous,
and indeed, even uniformly Lipschitz (cf. Section 5.4 and Exercise 5.9).
0
As their name suggests, rational maps with good reduction behave well when
they are reduced.
Theorem 2.18. Let : p I -t p I be a rational map that has good reduction.

(a) (p ) = ;(P) l or all P E PI (K ).
(b) Let 'l/J : pI -t p I be another rational map with good reduction. Then the composition
1J 0 'l/J has good reduction, and
--
1Jo 'l/J
- -
1Jo'l/J.
Proof (a) Write 1J = [F(X, Y ), G(X , Y )] in normalized form with homogeneous polynomials F , G E R[X,Y ], and write P = [a,,8] in normalized form
with Ct,,8 E R. The good reduction assumption tells us that at least one of F(Ct, ,8)
and G (Ct, ,8) is in R*, so the point
1J(P) = [F(Ct ,,8),G(Ct,,8)]

is already in normalized form. Hence
60
rj>(P) = [F(a,13), G(a , 13)] = [F(a,,B),G(a,,B)] =
J(P),
where the second equality simply reflects the fact that the reduction map R ----t k is a
homomorphism.
(b) Write rj> = [F( X, Y), G(X ,Y )] and ?/J = [f( X ,Y) ,g(X ,Y )] in normalized
form with homogeneous polynomials F, G , i, 9 E R[X ,Y]. Then the composition
is given by
(rj> 0 ?/J)(X , Y)
[A(X ,Y ), B (X ,Y )]
= [F(j(X ,Y) ,g(X ,Y )), G(j(X,Y ),g(X ,Y ))].
Clearly A(X ,Y ) and B (X ,Y ) have coefficients in R. Suppose that their reductions

A and B have a common root [a, 13] E p I (f). This means that
F(](a, 13),g(a, 13)) = 0
G(](a, 13) ,g(a,13))
and
= 0,
so F and Ghave the common root [j(a ,13),g(a, 13)]. But rj> has good reduction, so F
and 6 have no common root in pI (f) , and hence we must have
j(a ,13) = g(a,13)
= o.
But this contradicts the assumption that ?/J has good reduction. This proves that the
polynomials A(X , Y ) and B(X , Y ) have no common root in pl (f ), and therefore
rj> o ?/J = [A, B] has good reduction. We have also shown that the pair (A, B ) is
normalized, so
which completes the proof of the theorem .
Remark 2.19. (a) The good reduction assumption in both parts of Theorem 2.18 is
essential. See Example 2.12 and Exercise 2.13.
(b) For an alternative proof of Theorem 2.18(b) that uses formal properties of resultants and provides additional information about the reduction of the composition
of two maps, see Exercise 2.12 .
(c) It turns out that the converse of Theorem 2.18(b) is false. In other words, a
composition rj> 0 ?/J may have good reduction, while both rj> and ?/J have bad reduction.
For example, let rj>([x, y]) = [x 2, py2] and ?/J([x, y]) = [p2 x2 , y2]. Then = [1,0]
and -J; = [0,1] are constant maps, so rj> and e have bad reduction. However,
so ?/J 0 rj> has good reduction.

One might object to this example by noting that there is a change of variables
such that rj>(z) = Z2/ P has good reduction, and similarly for ?/J( z ) = p2z2. Thus if
j (z) = pz, then
rj> f (z) = (j -l
rj> 0 f)(z) = (j - l
rj(pz) = j-l (pZ2) = Z2
61
2.5. Rational Maps with Good Reduction
has good reduction. However, it is not difficult to modifythis example so that and 1/J
have bad reduction for all possible changes of variable; see Exercise 2.14.
(d) If we use the scheme-theoretic definition of good reduction as described in Remark 2.16, then both parts of Theorem2.18 are clear. For example, if and 1/J are rationalmaps with good reduction, then they extendto maps R and 1/JR over Spec(R),
and the commutativity of the diagram
jp'l
;j,
---+
1
jp'l
R
r
K
---+
1/JR
---+
jp'l
jp'l
jp'l
R
1/J
- - - + jp'l
jp'l
k
cPR
- - - + jp'l
cP
- - - + jp'l
immediately gives ~ = 0 ;j;. Similarly, a point P E jp'l (K) corresponds to

a unique morphism (i.e., a section) PR : Spec(R) --+ jp'k, from which the equality ;;;(p) = (P) is immediate using the fact that the composition of R-morphisms
R 0 PR behaveswell when restrictedto the special fiber ofjp'k. In other words, the
following diagram commutes:
Spec(k)
1
Spec(R)
---+
PR
---+
jp'l
k
jp'l
R
---+
jp'l
cPR
- - - + jp'l
An easy, but important, consequence of the theorem on good reduction is that

periodic points behavewell under reduction.
Corollary 2.20. Let : jp'l --+ jp'l be a rational map with good reduction. Then
the reduction map sends periodic points to periodic points and preperiodic points to
preperiodic points:
Per() ---- Per()
and
PrePer() ---- PrePer().
Further, if P E Per( ) has exact period ti and if P E Per( ) has exact period m,
then m divides n.
Proof Supposefirst that P is periodic of exact period ti, so P = n (P). Reducing
both sides modulo p and using Theorem2.18 yields
which showsthat P is periodic.Let m be the exactperiodof P and write n = mk + r

with a :S r < m. Then
62
P = J>n(p) = J>r 0
------Jr
0 0
cfr(P) = J>r(p).
k iterations
The minimality of m implies that r = 0, and hence m divides n. This proves the
assertion about periodic points.
Similarly, if P is preperiodic, say cfi(p)
i(p) = J (p). Hence P is preperiodic.
o
2.6 Periodic Points and Good Reduction

Corollary 2.20 tells us that if has good reduction, then its periodic points reduce
to periodic points of J>. In this section we analyze the reduction map Per() --+
Per(J and use our results to study Per(). We start with the following theorem,
which is an amalgamation of results due to Li [266], Morton-Silverman [312, 313],
Narkiewicz [325], Pezda [355], and Zieve [454].
Theorem 2.21. Let : ]P'I(K) --+ ]P'I(K) be a rational function of degree d ~ 2

defined over a local field with a nonarchimedean absolute value I . Iv' Assume that
has good reduction, let P E ]P'I(K) be a periodic point of , and define the following
quantities:
n
m
The exact period of P for the map .

The exact period of Pfor the map
= ((jr)'(p)
J>.
The order of A1 (P )
unity.)
The characteristic ofthe residue field k ofK.
in k*. (Set r
= 00 if A1(P ) is not a root of
Then n has one ofthefollowingforms:

n
=m
or
= mr
or
= mrp",
Remark 2.22. Let E / K be an elliptic curve defined over a local field, and assume
that E has good reduction. Then one knows [410, VII.3.1] that the reduction map
E (K) --+ jj; (k) is injective except possibly on p-power torsion, where p is the characteristic ofthe residue field k. This is very similar to the statement of Theorem 2.21.
Inthe case ofelliptic curves, it is also possible to bound the power of p in terms of the
ramification index of pin K. We discuss below (Theorem 2.28) analogous bounds
in the dynamical setting.
Proof We make frequent use of Theorem 2.18, which tells us that
Recall that we used this relation in Corollary 2.20 to prove that the -period of P is
divisible by the J>-period of P, which, in our current notation, says that m divides n.
63
2.6. Periodic Points and Good Reduction

Replacing by m and m by 1, we are reduced to th~ that
F is a fixed point
of . Having done this, we note that AJ,(F) is equal to '(P).

If (P) = P, then ti = m and we are done. We thus assume that (P) -I- P. To
simplify notation, we use Proposition 2.11 to find a transformation f E PGL2(R)
with f([O, 1]) = P. Replacing P and with f-1(p) and I =
0 0 f, respectively, we may assume that P = [0,1]. Dehomogenizing z = X/Y, we write in
the form
r:'
1
d
(z) = aoz + a1 zd- +
bozd + b1zd- 1 +
+ ad-1 z + ad
+ bd-1Z + bd
with coefficients aQ' ... , b E R and at least one coefficient in R*. The fact that [0, 1]
is a fixed point of says that
(O) = ad/bd == 0 (mod p),

so ad E p and bd E R*. (We are also using the fact that has good reduction, of
course.)
Multiplying numerator and denominator by bd1, we may thus write ( z) in the
form
(z)
ad + ad-1 Z +
1 + bd- 1Z +
+ a1 zd- 1 + aozd
+ b1zd- 1 + bozd
The first couple of terms of the Taylor expansion of around z

case may be obtained by simple long division, look like
(Z)=p,+AZ+
0, which in this
A(z)
2
B( )z
l+z z
(2.6)
with
A(z), B(z)
R[z],
A = '(O),
and
p, =
ad E p.
A simple induction argument using (2.6) shows that
(2.7)
In particular, since n(o) = 0 and p, E p, we find that
1 + A + A2
+ ... + An-1 == 0
(mod p),
(2.8)
The analysis now splits into two cases. First, suppose that r ::::: 2, or equivalently,
A. 1 (mod p). Then formula (2.8) implies that An == 1 (mod p), so we find that r
divides n. If n = r, the proof is complete. Otherwise, we replace by T and n
by ii]. By an abuse of notation, we continue to write
(Z)=p,+AZ+
A(z)
2
B( )z
l+z z
with the understanding that the values of p" A, A(z), and B(z) may have changed.
The principal effect of replacing by T is that we are now in the situation that
64
>. == 1
(mod p),
i.e., the new value of r is 1, which brings us to the second case that we need to
consider.
To recapitulate, we have a rational function satisfying
n(o)
= 0,
p, = (O)
== 0 (mod p),
>. = '( O) == 1 (mod p).
and
We are further assuming that (O) =1= 0 (otherwise, we are done), so (2.8) becomes
== 1 + >. + >. 2 + ... + >. n - I == 0
(mo d p).
Thus n is divisible by p. We replace by P and n by n ip. Ifnow (O) = 0, we are

done. If not, the same argument shows that n is again divisible by p. Repeating, we
continue dividing n by p until finally we reach n = 1. This concludes the proof that
the original period n has one of the forms
n
for some e 2 1.
=m
or
= mr
or
= mrp"
0
We have seen that maps with good reduction are nonexpanding. This implies that
their periodic points are nonrepelling. If the reduction is separable , we can say even
more. (Recall that (z) E k(z) is separable ifit is not in k(zP). See Exercise 1.10
for details.)
Corollary 2.23. Let : lP'I -> lP'I be a rational map that has good reduction.
(a) Every p eriodi c point of is nonrepelling.
(b) If the reduction is separable, then has only finitely many attracting periodic
points.
Proof (a) Theorem 2.18 tells us that n has good reduction . Let P be a periodic
point of of exact period n. Using Lemma 2.5, we can make a change of coordinates
so that P = [0,1]. Then we can write n (z ) in normalized form as
The fact that n has good reduction implies that bo E R*, since otherwise z = 0
would be a common root of P and G. Hence
so I>'p () Iv :S 1, which shows that P is a nonrepelling point for .

(b) Again let P be a periodic point for of exact period n, and let m be the period
of the reduced point P. Then we have equivalences
2.6. Periodic Points and Good Reduction
P is attracting
65
:=:}
IAp()lv = 1(n)'(p)lv < 1
:=:}
(n)'(p)
= 0
:=:}
(n),(p)
= 0
:=:}
'(P) . '(P) . '(2 P)
:=:}
('(P) . '(P) . '(2 P)
:=:}
(m)'(p)n/m = 0
:=:}
OJ, (P) contains a critical point.
,(n-I P)
= 0
,(m-I p))n/m = 0
The fact that is separable implies that a version of the Ri~mann-Hurwitz formula
(Theorem 1.1) is valid; see Exercise 1.1O. Hence the map _has finitely many (precisely, at most 2d - 2) critical points, and a fortiori, the map has only finitely many
periodic orbits containing a critical point. In particular, there is a finite list of possible
periods for P. Further, we know that the multiplier AJ, (P) = (m)'( P) of P is 0,
so Theorem 2.21 tells us that n = m. There are thus only finitely many possibilities
for the period of P, and since has finitely many points of any given period, we
0
conclude that has only finitely many attracting periodic points.
Remark 2.24. The separability assumption in Proposition 2.23 is necessary, as is

shown by the example ( z) = z", all of whose periodic points are attracting. See
also Exercise 2.16.
E Z2[Z] be a polynomial of degree d 2:: 2 whose leading
coefficient is a 2-adic unit. Then has good reduction. Let P E lP'1 (Q2) be a periodic
point of exact period n 2:: 2. In the notation of Theorem 2.21, n = mr2 e , where m
is the period of P in lP'1 (IF 2) and r is the order of AJ, (P) in lF~. But lP'1 (IF 2) has only
three points, and the fact that is a polynomial means that the point at infinity is not
in the orbit of i; so either m = lor m = 2. Similarly, we note that F has only one
element, so r = 1. It follows that n = 2 8 for some s 2: O.
Similarly, if (z) E Z3[Z] is a polynomial of degree d 2: 2 with leading coefficient a 3-adic unit, and if P E lP'1 (Q3) is a periodic point of exact period n 2: 2, then
we find that n = mr3 e with 1 ~ m ~ 3 and 1 ~ r ~ 2. Thus n = 2 t . 3U for some
o ~ t ~ 2 and some u 2:: O.
Finally, let (z) E Z[z] be a polynomial of degree d 2: 2 whose leading coefficient is relatively prime to 6. Then has good reduction at 2 and 3, so the period n
of a periodic point P E lP'1 (Q) satisfies both n = 2 8 and n = 2t . 3U with t ~ 2.
This proves that n is either 1, 2, or 4. The examples (z) = Z2 with z = 0 and
( z) = Z2 - 1 with z = 0 show that n = 1 and n = 2 are possible. Can you find an
example with n = 4? See Exercise 2.20 for a stronger version of this example.
Example 2.25. Let (z)
The above example illustrates how the local result given in Theorem 2.21 can be
used to derive strong bounds for the periods of periodic points defined over number
fields by applying the theorem to two different primes. We now use the same argument to give a general result that, although not the strongest possible bound using
these methods, is sufficient for many applications.
66
Corollary 2.26. Let K be a numberfield, let : pI -+ pI be a rational map defined

over K, and let p and q be primes of K such that has good reduction at both p
and q and such that the residue characteristics of p and q are distinct. Then the
period n ofany periodic point of in pI (K) satisfies
n::; (Np2 - 1)(Nq2 - 1),

where NP and Nq denote the norms of p and q respectively.
In particular, the set Per( , K) of K -rational periodic points is finite. (For an
alternative proofofthe finiteness ofPer( , K) using the theory ofheight functions,
see Theorem 3.12.)
Proof Using the obvious notation, we have
m p = (periodof(F) mod p)::; #pl(JF p ) = Np
+ 1,
r p = (period of AJ(F) mod p) ::; #JF; = Np - 1,

and similarly for m q and r q- Let p and q denote the residue characteristics of p and q,
respectively. Then Theorem 2.21 says that
Since p and q are distinct primes, it follows that

n ::; m p . r p . m q . r q
::;
(Np + l)(Np - l)(Nq + l)(Nq - 1),
which is the first part of the corollary.

The finiteness ofPer( , K) then follows from the fact that has good reduction
at almost all primes of K and the fact that it has only finitely many periodic points
of any given period n.
0
Remark 2.27. The bound for rational periodic points in Corollary 2.26 depends only
weakly on in the sense that the bound is solely in terms of the two smallest primes
of good reduction for . There are many results in the literature using local and/or
global methods that describe bounds for rational periodic points that depend in various ways on the rational map. See for example [52, 87, 90, 91, 162, 171,312,
325, 326, 328, 332, 353, 355, 358, 359, 361, 454]. However, none of these articles achieves the uniformity predicted by a conjecture that we discuss in Chapter 3
(Conjecture 3.15). This conjecture asserts that for a number field K of degree D and
a rational map E K(z) of degree d 2 2, the number of K-rational preperiodic
points of should be bounded solely in terms of D and d.
If K is a discrete valuation ring of characteristic 0, then it is possible to bound
the exponent e appearing in the formula n = mrp" in Theorem 2.21.
Theorem 2.28. (Zieve [454], see also Li [266] and Pezda [355]) We continue with
the notation and assumptions from Theorem 2.21. Wefurther assume that K has
characteristic and we let v : K* --* Z be the normalized valuation on K. If the
period n of P E pI (K) has the form n = mrp", then the exponent e satisfies
2.6. Periodic Pointsand Good Reduction

p
e- l
67
2v(p)
<
- -.
- p -1
(2.9)
Further, ifp = 2, then the upper bound may be replaced with v(p)/(p - 1). (Note
that v(p) is the ramification index ofp in K.)
Remark 2.29. Let R be the local ring of K and let F be a formal group defined
over R. (See, e.g., [410, chapter IV] for basic material on formal groups.) Theorem 2.28 is a close analogue of the fact [410, IY.6.1] that the torsion in the formal
group F (R) consists entirely of p-power torsion, and that if a E F (R) has exact
order p" , then pe- l :::; v(p) /(p - 1).
o,
Example 2.30. Let q be a power of an odd prime p, let ( E

be a primitive qth root
of unity, let K = Qp((), and let ( z) = 1 + (z - z", The maximal ideal of K is
P = (1 - (), so = 1 + z - zq has good reduction. The point a = 1 is a point
of exact period q for , since cP (1) = ( j, while a is clearly a fixed point of .
Further, '(a) = 1. Hence in the notation of Theorem 2.21, we have n = q, m = 1,
r = 1, and e is determined by q = p" , On the other hand, the extension K / Qp is
totally ram ified, so the normalized valuation v : K * ->t Z satisfies
v(p)
= [K
: Qp]
= q(l -
l /p )
= pe-l(p -
1).
Thus the inequality (2.9) in Theorem 2.28 becomes pe-l :::; 2pe- l, which shows that
the power of p cannot be improved.
We do not give the proof of Theorem 2.28, but are content to prove the following
special case, which serves to indicate some of the combinatorial issues that arise.
Theorem 2.31. Let p ;::: 5 be a prime, let K = Qp, or more generally, an unramified
extension of Qp, let : 1P'1 ---+ IP'I be a rational map defined over K with good
reduction, and let P E 1P'1 (K) be a periodic point with the property that
and
'(F) =
1.
Then (P) = P . (In the notation of Theorem 2.21, this theorem asserts that ifm =
= 1, then e = 0 and n = 1.)
Proof As in the proof of Theorem 2.21, we begin by moving the periodic point to
the origin and dehomogenizing cjJ. Recall that during the proof of Theorem 2.21, we
used a first-order Taylor expansion (2.6) for (z) around z = O. In order to bound
the exponent e, we need to use the second-order expans ion
cjJ(z) = J.l + AZ + uz
A(z)
+ l+ z B (z ) z ,
(2.10)
where
A(z), B(z) E R[z],
J.l E p,
A = cjJ' (O) == 1 (mod p) ,
and
v E R.
2. Dynamics overLocal Fields: Good Reduction
68
(In general, to prove a sharp estimate for the exponent as in Theorem 2.28, one
needs to consider a longer Taylor expansion. But for the unramified case that we are
considering, the second-order expansion (2.10) suffices.)
Using the results already proven, it suffices to show that if f-l -f:. 0, i.e., if (O) -f:. 0,
then P(O) -f:. O. This will then imply by induction that Pe (0) -f:. 0 for all e 2: 1, contradicting the assumption that 0 is a periodic point of .
During the proof of Theorem 2.21 we gave a simple formula (2.7) for i(O)
modulo f-l2. In a similar manner we use (2.10) to find a formula modulo f-l3. To
derive this formula, we write k(O) = f-lak + f-l2 vbk, substitute into (2.10), and do
some algebra to obtain
f-lak+1
+ f-l2vbk+l = (f-lak + f-l2 vbk)

== f-l + A(f-lak + f-l2 vbk) + vf-l2a~ (mod f-l3)
== f-l(1 + Aak) + f-l2v(a~ + Abk) (mod f-l3).
This yields the recurrences

and
Starting from al = 1 and b1 = 0, it is now a simple matter to find formulas for ak
and bk and check them by induction. The end result is
1'(0)
=~(~ >,;) + 1'2v(~ >,H-'
(to
>,;
r)
(2.11)
We are going to apply (2.11) with k = p. Consider the sum L

We know that
A == 1 (mod p), and we are assuming that p is unramified in K, so A = 1 + cp for
some c E R. Assuming that c -f:. 0, i.e., that A -f:. 1, we compute
Note that the final congruence is true because every binomial coefficient (~) with
1 ::; i < p is divisible by p (and we are assuming that p -f:. 2). We also observe
that the congruence is true even for A = 1, although the intermediate calculation is
incorrect.
We perform a similar calculation for the more complicated sum in (2.11), but this
time we are interested only in the value modulo p, so we can replace A by 1:
(2.13)
Note that for the last step we are using the assumption that p 2: 5.
Substituting (2.12) and (2.13) into the iteration formula (2.11) (with k
yields
= p)
69
2.7. PeriodicPoints and Dynamical Units
P(O) == j.t(p + ap2) + j.t2vbp
(mod j.t3),
where a and b are in R . The fact that p is unramified in K means in particular that p
divides u, so
P(O) == j.tp (mod j.tp2).
Now using our assumption that j.t
the proof of the theorem.
i- 0, we deduce that P(O) i- 0, which completes

0
2.7 Periodic Points and Dynamical Units

Let ( be a primitive pth root of unity. Then the expression
is a unit in the cyclotomic field iQ((), a so-called "cyclotomic unit." Similarly, if (1

and ( 2 are roots of unity of relatively prime orders, then the difference (1 - (2 is an
algebraic unit. The crucial fact underlying these constructions is that distinct roots
of unity remain distinct when they are reduced modulo primes . It follows that their
differences are not divisible by any primes, and hence that they are units .
Theorem 2.21 can be used to deduce conditions under which distinct periodic
points remain distinct when reduced modulo primes , so it can be used to construct
units in a similar fashion. These constructions can be done either using different
points in a single periodic orbit or using points of different periods. The following
proposition provides us with the information needed to construct units of various
kinds . In fact, since Lemma 2.8 tells us that the v-adic chordal metric satisfies
the proposition actually says something stronger than the simple assertion that certain
pairs of points have distinct reduct ions.
Proposition 2.32. Let (z ) E K (z) be a rational fun ction of degree d ?': 2 with
good reduction.
(a) Let P E Pl(K) be a point ofperiod n for o. Then
Pv(ip,jp) = Pv(i+kp, i +kp ) forall i , j ,k
E Z,
wherefor i < 0 we use the periodicity nP = P to define i P.

(b) Let P E pI (K) be a po int of exact period n for . Then
Pv(iP, i P ) = Pv(P, P ) for all i ,j
E Z satisfying gcd (i -
i . n) = 1.
(c) Let Pl , P2 E p l (K) be periodic points for ofexact periods nl and n2. respectively. Assume that nl n2 and n 2 nl. Then
70
Proof (a) Proposition 2.14 and the good-reduction assumption imply that
for all Q, R E pI (K).
Pv(Q, R) 2: Pv(Q, R)
Applying this repeatedly yields
Pv(Q, R) 2: Pv(Q, R) 2: Pv(2Q, 2R)
2: Pv(3Q,3R) 2: ... 2: pv(nQ,nR).

If we now make the further assumption that Q and R are points of period n, then
pv(nQ, nR) = Pv(Q, R), so all of the inequalities must be equalities. This proves
that if n( Q) = Q and n(R) = R, then
Pv(Q, R) = Pv(kQ, k R)
for all k E Z.
Substituting Q = i P and R = q) P for the given point P of period n completes

the proof of (a).
(b) We know from (a) that the distance Pv(iP,q)P) depends only on the difference i - j. We use this fact and the nonarchimedean triangle inequality (Theorem 2.4(d to estimate
Pv(P, k P) :S max{pv(p, P), Pv(P, 2P), ... , p(k-I P, k pn

=Pv(P,P).
(2.14)
In a similar fashion we obtain the estimate
Pv(P, P) :S max{pv(P, k P), Pv(kP, 2kP), Pv(2k P, 3kP),

... , pv((m-I)k P, mkP), pv(mkP, P)}
= max{pv(P,kp),pv(mkp,Pn.
(2.15)
If we now make the further assumption that gcd(k, n) = 1, then we can find an
integer m satisfying mk == 1 (mod n). Then mkP = P, so (2.15) becomes
Pv(P, P) :S max{pv(P, k P), Pv(P, pn = Pv(P, k P).
(2.16)
Combining (2.14) and (2.16) yields
Pv(P, P)
= Pv(P, k P)
In particular, if gcd( i - j, n)
for all k satisfying gcd(k, n)
= 1.
= 1, we can use ttis formula and (a) to compute
Pv(ip,cpJp)
= Pv(p,i-jp) = Pv(P,P).
(c) Suppose that Pv(PI, P2) < 1, or equivalently from Lemma 2.8, suppose that
= P2 . Let m be the exact period of
and let r be the order of its multiplier
AJ,(PI ) , Then Theorem 2.21 tells us that both nl and n2 are in the set
PI
{m, mr, mrp, mrp2, mrp3, .. .}.
It follows that either nl divides n2, or that n2 divides nl, contradicting the assump0
tion on nl and n2. Therefore Pv(PI, P2) = 1.
71
2.7. Periodic Points and Dynamical Units
It is a simple matter to use Proposition 2.32 to construct units from periodic

points. We begin with the easier case of a polynomial mapping.
Theorem 2.33. (Narkiewicz [325]) Let (z) E R[z] be a polynomial of degree

d 2: 2 whose leading coefficient is a unit in R. Let a E K be a periodic point of of
exact period n (with n 2: 2), and let i, j E 7l, be integers satisfying gcd(i - j, n) = 1.
Then
i a - Ja R*
----E
.
a-a
Proof The assumption that (z) is a polynomial with unit leading coefficient implies that has good reduction, since
Res(aoX d + aIXd-Iy + ... + ady d, yd)
ago
We next observe that every periodic point of is integral over R, since it is a root of
an equation n (z) - z = O. Finally, we note that the distance between integral points
a, (3 E R is given by
pv(a,(3)
= pv([a, 1], [(3, 1]) = la - (3lv'
Using this formula and Proposition 2.32(b), we compute
ia - Ja I
I a-a v
= Iia - Jal v = Pv(i a, Ja) = 1.

Ia-al v
pv(a,a)
We create units from periodic points of arbitrary rational maps using a cross-ratio
construction.
Definition. Let PI, P2 , P3 , P4 E pI (K), and choose homogeneous coordinates

Pi = [Xi, Yi] for each point. The cross-ratio of PI, P2 , P3 , P4 is the quantity
Notice that K(PI, P2 , P3 , P4 ) is independent of the choice of homogeneous coordinates for the points.
Theorem 2.34. (Morton-Silverman [313, Theorem 6.4(a)]) Let E K(z) be a

rational map of degree d 2: 2 with good reduction. Let P E pI (K) be a periodic
point for ofexact period ti, and let i and j be integers satisfying
gcd(j, n) = gcd(i - 1, n) = gcd(i - j, n) = 1.

Then
72
Proof Comparing the definition of the cross-ratio to the definition of the chordal
metric, we see that
The assumptions on i and j and Proposition 2.32(b) tell us that
Hence
which proves that the cross-ratio is a unit.
We can also construct units using periodic points of different periods. This may
be compared with the two different types of cyclotomic units,
and
where ( n indicates a primitive nth root of unity and the condition gcd( m , n )
ensures that (m - ( n is a unit.
Theorem 2.35. Let <P E K (z) be a rational map ofdegree d 2: 2 with good reduction. Let n l , n2 E Z be integers with n l t n2 and n2 t n l, let PI, P2 E p l( K) be
p eriodic points of exact periods n l and n2 respectively, and write Pi = [Xi,Yi] in
normalizedform. Then
Proof Since we have taken normalized homogeneous coordinates, the chordal metric is given by
Pv(PI,P2) = IX I Y2 -X2Yllv'
The assumptions on nl and n2 and Proposition 2.32(c) tell us that pv(n, P2)
and hence Xl Y2 - X2YI is a unit.
1,
0
Remark 2.36. For further information on the geometric and arithmetic properties of
periodic points and the fields that they generate, see Sections 3.9, 3.11, and 4.1-4.6.
In some sense, periodic and preperiodic points play a role in arithmetic dynamics
analogous to the role played by torsion points in the arithmetic of elliptic curves or
abelian varieties, albeit the dynamical setting has considerably less in the way of
helpful structure .
Example 2.37. We use the polynomial (z) =
compute
Z2
+ 1 to construct
units. First we
2.7. Periodic Points and Dynamical Units
(z) - z
73
z2 - Z + 1,
Z4 + 2z2 - Z + 2 = (z2 - Z + 1)(z2 + z + 2),
z8 + 4z 6 + 8z4 + 8z 2 - Z + 5
2(Z) - Z =
3(z) - Z =
= (Z2 - Z + 1)(z6 + z5 + 4z 4 + 3z3 + 7z 2 + 4z + 5).

It is not surprising that (z) - z divides both 2(z) - z and 3(z) - z, since any
root of the former is clearly a root of the latter two; cf. Exercise 1.19(a). We have
Per~'() =
{I
~}
and
where recall that Per~' () denotes the set of points of exact period n for .
Further, the six roots of the polynomial
constitute a set of the form
since we know that the roots of <1>3 (z) are permuted by into two periodic cycles of
period 3. In particular, the splitting field K (a, (3) of <1>3 is a Galois extension of K
of degree at most 18.
Applying Theorem 2.33 with i = 2 and j = 1 gives a unit
Ul
We can check that
Ul
2(a) - (a)
(a) - a
= a2
+ a + 1 E R[a].
is a unit in R[a] by computing
Similarly, we can apply Theorem 2.33 with i
= 2 and j = 0 to obtain a second unit
2(a) - a
U2
= ()
= a + a + 2.
a -a
And replacing a with ( a) or with 2 (a) in
Ul
and
U2
gives four more units,
= (a)2 + (a) + 1 = a 4 + 3a 2 + 3,
u~ = 2(a)2 + 2(a) + 1 = a 4 + 2a 2 + a + 2,
u; = (a)2 + (a) + 2 = a 4 + 3a2 + 4,
u~ = 2(a)2 + 2(a) + 2 = a 4 + 2a 2 + a + 3.
U~
(Note that in doing these computations, we make use of the fact that 3(a)
= 0.)
74
Exercises
ll~~~~~~~~a~~~~~~~m~
computation yields
This is not surprising, since one can check that the polynomial ct>3( x) is irreducible
over Q and that all of its roots are complex. Thus the global field Q( a) is a totally
complex extension field of degree 6, so its unit group has rank 2.
We can use Theorem 2.35 to create more units. Taking nl = 2 and n2 = 3 and
letting 'I = ~(-1 + R), we have
for 0 :::; i :::; 1 and 0 :::; j :::; 2.
The extension Q(a, 'I) /Q is totally complex of degree 12, so has five independent
units. We leave as an exercise for the reader to compute the number of independent
units in the set {Ui,j}.
Exercises
Section 2.1. The Nonarchimedean Chordal Metric
2.1. Let K be a field that is complete with respect to an absolute value v and let (z) E K [z]
be a polynomial. The filled Julia set K( ) of is the set
K()
= {a E K
: ln(a)lv is bounded forn
= 1,2,3, .. .}.
(Note that this definition applies only to polynomials, not to more general rational maps.)
(a) Prove that the filled Julia set K( ) is a closed and bounded subset of K. Note that if K
is locally compact, for example K = <Qp or K = C, then this implies that K( ) is
compact. However, there are cases of interest for which this is not true, e.g., the completion Cp of an algebraic closure of <Qp.
(b) Prove that the complement of K () is equal to the set of all P E jp>1 satisfying
lim n(p)
n-e co
= 00,
(2.17)
where the limit is in the v-adic topology. Equivalently, prove that it is the set of P satisfying lim pv (n (P), 00) - . 0 or, writing P = [a, 1], the set of points satisfying
ln(a)lv -. 00. The set determined by (2.17), which from (a) is an open set, is called
the attracting basin of 00.
(c) Prove that the Julia set.J( ) of is the boundary ofthe filled Julia set K( ).
(d) Prove that the filled Julia set K( ) is completely invariant, i.e., prove that it satisfies
-I(K())
= K() = (K()).
Section 2.3. Reduction of Maps Modulo a Prime

2.2. Let
f =
(~~) E PGL 2(K) with
a, b, c, d E R, at least one of a, b, c, din R*, and
ad == be (mod p). Prove that there exist points P, Q E
P=Q
and
jp>1 (K)
j(P) #
f(Q).
Thus Proposition 2.9 is false in general if f ~ PGL2(R).
satisfying
Exercises
75
2.3. GeneralizeProposition2.11 to jp'2 as follows. Let

Ql
= [1,0,0],
Q2 = [0,1,0],
Q3
= [0,0,1],
Q4
= [1,1,1].
Suppose that PI, P2, P3 , P4 E jp'2(K) are points whose reductions PI,... ,P4 are distinct
and have the property that no three of them lie on a line in jp'2( k). Prove that there is a transformation f E PGL3(R) such that f(P;) = Q; for alII:::; i :::; 4.
Formulateand prove an analogousstatement for jp'N.
2.4. Let = [F, G] = [F', G'] be two normalized representations of the rational map
: jp'l -> jp'l. Prove that there is a constant u E k* such that
uF=F'
Deducethat the reducedmap ; jp'l (k)
representation.
uG=G'.
and
-> jp'l (k)
does not dependon the choice of normalized
Section 2.4. The Resultant of a Rational Map

2.5. (a) Let A(X, Y) = aoX + al Y be a linear polynomialand let B(X, Y) be an arbitrary
homogeneouspolynomial. Prove that Res(A, B) = B( -ai, ao).
(b) Let A(X, Y) = aoX 2 + alXY + a2y2 and B(X, Y) = bOX 2 + blXY + b2y 2 be
quadratic polynomials. Prove that
= (2aob2 -
4 Res(A, B)
alb l
+ 2a2bo)2 - (4aoa2 - ai)(4bob2 - bi).
(Of course, in characteristic 2 one needs to cancel 4 from both sides before using this
formula!)
2.6. Withnotation as in the statementof Proposition2.13, prove that the resultant of A and B
is related to the roots of A and B by
n
Res(A, B)
= a~b~
'rn
i=] j=l
2.7. Let
II II (a; - (3j) = a~ II et; 1) = (_I)""nb~ II A((3j, 1).
A(X, Y) = aoX n + alXn-ly +

B(X, Y) = boX"" + blX""-ly +
i=l
j=l
+ an_lXy n- l + any n,
+ b""_IXy""-1 + b""Y"" ,
be homogeneous polynomials of degrees nand m and let a, (3", fI E K be arbitrary.

(a) Prove that
Res(A(aX
+ (3Y, ,X + flY), B(aX + (3Y, ,X + flY))

= (afl - (3,)""n Res (A(X, Y), B(X, Y)).
(Hint. Use Proposition2.13(b).)

(b) Suppose that m = n = d. Prove that
Res ( aA(X, Y)
+ (3B(X, Y), ,A(X, Y) + ss;x, Y))

= (afl - (31')d Res (A(X, Y), B(X, Y)).
(Hint. Use Proposition2.13(d).)
Exercises
76
(c) Continuing with the assumption that m
las
= n = d, define new polynomials by the formu-
= M(aX + /3Y,1X + 8Y) - /3B(aX + /3Y,1X + 8Y),

= -1A(aX + /3Y,1X + 8Y) +aB(aX + /3Y,1X + bY).
A*(X, Y)
B*(X, Y)
Prove that
Res(A*, B*)
= (a8 -
/31)d
2+d
Res(A, B).
(d) Suppose that m = n = d and that Res(A, B) =1= 0, so > = [A,B] is a rational map
> : 1P'1 ----> 1P'1 of degree d, and suppose further that a8 - /31 =1= 0, so the map
= [aX + /3Y,1X + 8Y]
is a linear fractional transformation, Let >* = [A*, B*]. Prove that >*
Use (c) to prove that >* : 1P'1 ----> 1P'1 is a rational map of degree d.
r:'
>
f.
2.8. Let f E PGL 2(K) be a linear fractional transformation, and write
f(z)
in normalizedform,
(a) Prove that Res(f)
(b) Prove that
= ad -
az + b
ez+d
be.
p(J(P),f(Q))::; IRes(f)1-
1p(p,Q)
for all P, Q E 1P'1(K).
(Notice that this strengthens Theorem 2.14 for maps of degree 1.)
2.9. Let f E PGL2(K) be a linear fractional transformation, let >(z) E K(z) be a rational
map, and let >f =
> 0 f.
(a) If Res (f) E R*, prove that Res(>f) = Res(.
(b) If Res(f) is not a unit, find a formula or an inequality relating the valuations of the three
quantities Res(f), Res (, and Res (>f).
rio
2.10. Let > : 1P'1 ----> 1P'1 be a rational map defined over a field K with a nonarchimedean
absolute value I . Iv, and consider the statement
sup
Pl,P2EI"1(K)
PFP P2
pv(>(P1 ) , >(P2))
Pv(P1 , P2)
(2.18)
(a) Prove that (2.18) is true for the map >(z) = az", where a E R. This example shows
that Theorem 2.14 cannot be improved in general.
(b) Prove that (2.18) is not true for the map
over the field K

2.11. Let > : 1P'1 (C)
= Qp by computing both sides. (Youmay assume that p =1= 2.)

---->
1P'1 (C) be a rational map of degree d.
77
Exercises
(a) Prove that there is a constant C(d), depending only on d, such that
(b) Find an explicit value for the constant C (d).

Note that this exercise provides an archimedean counterpart to Theorem 2.14, whose proof
may, mutatis mutandis, be helpful in doing this exercise.
Section 2.5. Rational Maps with Good Reduction
2.12. Let F(X, Y) and G(X, Y) be homogeneous polynomials of degree D, let !(X, Y)
and g(X, Y) be homogeneous polynomials of degree d, and let
A(X, Y)
= F(j(X, Y),g(X, Y))
and
B(X, Y)
= G(j(X, Y),g(X, Y))
be their compositions.
(a) Prove that the resultants satisfy
Res(A, B)
= Res(F, G)d . Res(j, g)D
(b) Use (a) to give an alternative proof ofTheorem 2.18(b).

(c) For any rational map : lP'1 ~ lP'\ define ov() = v(Res())j deg(), so ov() is a
kind of normalized resultant of . Prove that Ov satisfies the composition formula
2.13. Show that the good-reduction assumptions in Theorem 2.18 are necessary by constructing the following counterexamples:
(a) Find a rational map : lP'1 ~ lP'1, which will necessarily have bad reduction, and a point
P E lP'1(K) such that i(P) -I- (?).
(b) ~ratio~al ~aps : lP'1 ~ lP'1 and'l/J : lP'1 ~ lP'1 such that has good reduction and
0 'l/J -I- 0 'l/J.

(c) Same as (b), except now 7/J is required to have good reduction and
bad reduction.
rP is allowed to have
2.14. Let p 2: 5 be a prime and define rational maps

(z) =
2 2
+p Z
p3z2 + P
Z
and
+P
p3 Z + 1
'l/J(z) = p z
(a) Prove that f has bad reduction modulo p for all! E PCL2(Qp). (N.B. We are allowing! to have coefficients in Qp and/or the determinant of! to be divisible by p.)
(b) Prove that 'l/Jf has bad reduction modulo p for all ! E PCL 2 (Qp).
(c) Prove that the composition 'l/J 0 has good reduction at p.
2.15. Let : pI ~ lP'1 be a rational map defined over K.

(a) Prove that the map has good reduction if and only if there is an R-morphism
R: lP'k ~ lP'k
whose restriction to the generic fiber is equal to the original map : lP'k ~ lP'k.
(b) Assume that has good reduction. Prove that the reduction : lP'~ ~ lP'~ is the restriction of rPR to the special fiber oflP'k.
78
Exercises
2.16. Let K IQp be a p-adic field.

(a) Prove that every periodic point of the map rjJ(z) = zP is attracting.
(b) More generally, suppose that 'ljJ(z) E K(z) has good reduction, and let rjJ(z)
Prove that every periodic point of rjJ is attracting.
(c) Is (b) true without the assumption that 'ljJ has good reduction?
= 'ljJ(zP).
2.17. Let KIQp be a p-adic field and let rjJ(z) E K[z] be a polynomial with good reduction.
Let a E K be a critical point of rjJ, i.e., rjJ' (a) = 0, and suppose that a E Per (). More precisely, suppose that the reduced point a satisfies m (a) = a. Prove that there is an attracting
periodic point (3 of rjJ of period m such that
lim rjJnm(a) = (3.
n~oo
Generalize to the case of a rational map rjJ( z) E K (z) of good reduction.

2.18. Let rjJ(z) E K(z) be a rational map of degree d ~ 2 and suppose that there is a point
P E JIll! (K) and an integer m ~ 1 such that the following limit exists:
lim rjJmn(p).
(2.19)
n~oo
Prove that rjJm(T) = T, i.e., T E Perm (rjJ). (This is true for any complete field K, so for
example, it holds for Qp,Cp, JR, <C, etc.)
Section 2.6. Periodic Points and Good Reduction
2.19. Let a, b, c E IZ and let rjJ(z) = (az2 +bz+c) I Z2. Suppose that P E JIll! (Q) is a periodic
point for rjJ of exact period n.
(a) If gcd(c, 6) = 1, prove that n = 1,2, or 3.
(b) Give examples to show that it is possible for n to take on each ofthe values 1,2, and 3.
(c) Show that if rjJ has a rational periodic point of exact period 3, then it has no other rational
periodic points.
(d) Give a similar description of possible rational periodic points under the assumption that
gcd(c, 10) = 1.
(e) Same as (d), but under the assumption that gcd(c, 15) = 1.
2.20. Let rjJ(z) E lZ[z] be a polynomial of degree d ~ 2 whose leading coefficient is odd
and let P E JIIl!(Q) be a periodic point of exact period n. Prove that n E {1,2,4}. This
strengthens Example 2.25.
2.21. Let rjJ(z) E lZ[z] be a polynomial of degree d ~ 2 whose leading coefficient is relatively
prime to 15 and let P E JIll! (Q) be a periodic point for rjJ of exact period n. What can you say
about the possible values of n?
2.22. Let R = IFp [T] be the ring of formal power series in one variable with coefficients in the
finite field IFp' Prove that for every e > 0 there exists an element c E R with c == 1 (mod T)
such that the polynomial rjJ(z) = zP + cz has a periodic point a == 0 (mod T) of exact order pe . Thus Theorem 2.28 is false in characteristic p; there is no upper bound on the exponent
of p for the period of a periodic point.
2.23. Let rjJ E K (z) be a rational map with good reduction and let P E Per( rjJ) be a periodic
point. Prove tha~ P is attracting if and only if the orbit of its reduction O;p(P) contains a
critical point of rjJ.
Exercises
79
2.24. Let c E R and consider the quadratic map (z) = z2 + c. Suppose that there is an
integer m ~ 1 such that the limit a = limn~oo mn(O) exists. Prove that a is an attracting
periodic point if and only if 6 E Per( ), i.e., if and only if 6 is a purely periodic point of .
Section 2.7. Periodic Points and Dynamical Units

2.25. Theorem 2.33 gives a construction of units from periodic points of polynomial maps.
Prove the following generalization.
Let E K (z) be a rational map of degree d ~ 2. Assume that has good reduction and
that 00 is a critical fixed point of . (That is, assume that ( 00) = 00 and that e oo () ~ 2.)
Let [a, 1] E Per~*(, K) be a point of exact period n ~ 2. Leti,j E;;Zbe integers satisfying
gcd(i - j, n) = 1. Prove that
"ia-"ja
,,-'1'_ _"-'1'_
E R*.
a-a
2.26. Prove the following version of Theorem 2.35, in which one of the periods divides the
other period. Let R be a local ring with residue characteristic p and let q = #k be the order
of the residue field. Let E K (z) be a rational map of degree d ~ 2 with good reduction. Let
s be a positive integer with p t sand s t q - 1. Finally, let PI, P2 E pI (K) be periodic points
of exact periods nand sn respectively, and write Pi = [Xi, Yi] in normalized form. Prove that
2.27. Let PI, P2 , P3 , P4 E pI, and let

the cross-ratio satisfies
where E( 11')
mutation.
11' be
a permutation of the set {I, 2, 3, 4}. Prove that
= (_1)si g n (rr) equals 1 (respectively
-1) if 11' is an even (respectively odd) per-
2.28. Let (z) = z2 + 1, let "( be a root of z2 + Z

Z6
+ 2, and let a
be a root of
+ Z5 + 4z + 3z 3 + 7z 2 + 4z + 5.
4
In Example 2.37 we explained that there are units

Ui,j
= ib) -
j (a) E
Rb, o]"
for 0
<i
::::: 1 and 0 ::::: j
< 2,
and that the unit group Rb, a]* has rank at most 5. Find generators and relations for the group
of units generated by the six units Ui,j.
Chapter 3
Dynamics over Global Fields

Just as algebraic number theory and Diophantine geometry can be studied over local
fields and over global fields, so too does arithmetic dynamics have a local theory
and a global theory. In this chapter we study some of the fundamental questions in
arithmetic dynamics over global fields. Many of these construct ions, theorems , and
conjectures have direct analogues in the theory of Diophantine equations , especially
the arithmetic theory of elliptic curves. Among the topics covered in this chapter are
dynamical analogues of the theory of canonical heights, finiteness of integral points,
uniformity of rational torsion points, and cyclotomic and elliptic units.
We have attempted to keep this chapter self-contained, but the reader desiring
further motivation and background might consult standard textbooks on arithmetic
and Diophantine geometry, such as the following:
E. Bombieri and W. Gubler [76], Heights in Diophantine Geomet ry.

M. Hindry and J. Silverman [205], Diophantine Geometry.
S. Lang [256], Fundamentals ofDiophantine Geometry.
1.-P. Serre [397], Lectures on the Morde//-Weil Theorem.
1. Silverman [410], The Arithmetic ofElliptic Curves.
J. Silverman [412], Advanced Topics in the Arithmetic ofEllipt ic Curves.
3.1 Height Functions

In order to study the arithmetic properties ofpoints in projective space, it is important
to have a method of measuring the size of a point. This "size" should reflect the
complexity of the point in an arithmetic sense. In particular, it is good if there are
only finitely many points of bounded size.
For example, suppose that we naively define the size of a rational number a
to be its absolute value [o]. This reflects the size of a as a real number, but there
are infinitely many rational numbers with bounded absolute value, so it does not
correctly measure a's size from an arithmetic perspective. If we write a = alb as
a fraction in lowest terms, then the integers a and b should each contribute to the
81
82
3. Dynamicsover GlobalFields
complexity of a, so we might define the size of a to be the larger of lal and Ibl. With
this definition, it is obvious that there are only finitely many rational numbers of
bounded size, since there are only finitely many integers of bounded absolute value.
We can easily generalize this idea to rational points in projective space.
Example 3.1. Let P E IIDN (iQ) and write P using homogeneous coordinates as
P = [xo, Xl, .. , XN].

Since the coordinates are homogeneous, we can multiply through by an integer to
clear the denominators, and we can also cancel any common factors, so we may
assume that the homogeneous coordinates have been chosen to satisfy
Xo, ... ,XN E
and
gcd(xo, ... , XN)
= 1.
Having done this, we define the height ofP to be the quantity
H(P) = max{lxol, .. ,
IXNI}.
It is clear that for any constant B, the set
{P
E IID
(iQ) : H(P) ::; B}
(3.1)
is finite. Indeed, this set clearly has fewer than (2B + 1)N+l elements, since each
coordinate Xi of P is an integer satisfying IXil ::; B, so has at most 2B + 1 possible
values. (See Exercise 3.2 for an asymptotic estimate for the size of the set (3.1).)
When trying to generalize Example 3.1 to an arbitrary number field K, we run
into the problem that the ring of integers of K may not be a principal ideal domain, so there is no uniform way to normalize the homogeneous coordinates of a
point in IID N (K). For this reason we take a different approach based on the theory of
absolute values. We now describe the absolute values on iQ, and then move on to general number fields. For further information about absolute values and completions of
number fields, see any standard textbook on algebraic number theory or Diophantine
geometry, for example [258, Section 2.1], [256, Chapters I, II], or [205, Section B.I].
Definition. The set ofstandard absolute values on iQ, denoted by
Mlf:b
consists of
the following absolute values:
MQ contains one archimedean absolute value that is associated to its embedding iQ C 1Ft into the real numbers,
Ixloo
= usual absolute value on 1Ft = maxi X, -x} .
Let p be a prime, and for any (nonzero) integer a, let
ord, (a) = exponent of highest power of p dividing a.

In other words, pordp(a) is the highest power of p dividing a. The set MQ contains nonarchimedean (p-adic) absolute values, one for each prime p, defined
by
83
3.1. Height Functions
Now let K /Q be a number field. The set ofstandard absolute values on K is denoted
by M K and consists of all absolute values on K whose restriction to Q is one of the
absolute values in M!Q. We write Mf( for the (archimedean) absolute values on K
lying above I . 100, and M~ for the (nonarchimedean) absolute values of K lying
above the p-adic absolute values of Q.
The archimedean absolute values of K correspond to embeddings of K into lR.
or C, while the nonarchimedean absolute values correspond to prime ideals of the
ring of integers of K. Indeed, the ring of integers of K, denoted by RK, may be
characterized as the set
R K = {a E K : lal v
:::;
1 for all
v E M~}.
More generally, if S c MK is any (finite) set of absolute values containing Mf(,

then the ring ofS-integers ofK is the set
Rs =
{a E K: lal v
:::;
1 for all v ~ S}.
Definition. For any absolute value v E M K on K, let K; denote the completion

of Kat v. The local degree ofv, denoted by n v , is the quantity
For example, if v is archimedean, then Qv = lR. and ti; is 1 or 2 depending on

whether v corresponds to a real or complex embedding of K, respectively. Similarly,
if v is nonarchimedean, then Qv = Qp is the p-adic rational numbers for some
prime p, the absolute value v corresponds to some prime ideal p of K lying over p,
and using standard notation, nv = e(p)f(p) is the product of the ramification index
of p and the degree of the residue field modulo p.
The next two results, which we quote without proof, will be used to define and
study height functions.
Proposition 3.2. (Extension Formula) Let L / K /Q be a tower ofnumberfields, and
let v E M K be an absolute value on K. Then
1
[L : K]
nw
= n.;
wEML
wlv
Here the notation wlv means that the restriction ofw to K is equal to v, so the sum
is over all absolute values on L that extend the absolute value v on K.
Proposition 3.3. (Product Formula) Let K /Q be a numberfield. Then
for all a E K*.
84
3. Dynamics over Global Fields
For proofs of these two formulas, see for example [258, Section ILl and Section V. I]. The astute reader will have observed that if we take K = Q and v nonarchimedean, then the extension formula becomes the well-known formula
L e(p) f (p) =
[L : Q] .
pip
We now have all of the tools needed to define the height of algebraic points in
projective space.
Definition. Let K /Q be a number field, and let P E p N (K) be a point with homogeneous coordinates
XO, . .. , XN E K .
The height ofP (relative to K) is the quantity
HK(P)=
II
max{lxolv, .. ,lxNlvt
v EM K
Notice how the height measures the size of the coordinates of P with respect to
all of the absolute values on K . We begin by checking that the height is well-defined
and proving two elementary properties.
Proposition 3.4. Let K /Q be a number fi eld and P E p N (K) a point.
(a) The height HK (P ) is independent of the choice of homogeneous coordinates
forP.
(b) HK (P ) ;::: 1.
(c) Let L / K be a finite extension. Then
H L(P)
= HK (P )[L:KI.
Proof (a) Any other choice of homogeneous coordinates for P = [xo , . .. , XN ]

has the form P = [axo, . . . , aXN] for some a E K *. Then the product formula
(Proposition 3.3) yields
II
max{laxil
v}nv =
,
v E MK
II
la l~v max{x
ilv}nv =
,
v E MK
II
v
max{lxilv}n
vE MK
(b) Choose an index j such that X j i= 0 and divide the homogeneous coordinates
of P by Xj ' Then one of the homogeneous coordinates is equal to 1, so every factor
in the product defining HK(P ) is at least 1.
(c) We choose homogeneous coordinates for P that are in K and use the extension
formula (Proposition 3.2) to compute
H L(P) =
II
w EM L
w=
max{lxilv}n
,
II II
m~{lxilv}nw
,
v E M K wE M L
wl v
This completes the proof of Proposition 3.4.
3.1. Height Functions
85
Remark 3.5. Now that we know that the height is well-defined , we should check
that it agrees with the naive definition of the height on IPN (Q) given in Example 3.1.
Thus let P = [xQ,"" X N 1 E IP N (Q) with homogeneous coordinates satisfying
Xi E Z and gCd(Xi) = 1. Then every nonarchimedean absolute value v E
gives IXilv :::; 1 for all indices i and IXi lv = 1 for at least one index i. Hence in the
product defining HQ(P ), only the term corresponding to the archimedean absolute
value contributes, so
M8
We note again that the set
{P E IPN (Q): H(P):::; B}

is finite for any fixed bound B. Later in this section we prove an analogous result for
arbitrary number fields.
It is sometimes easier to work with a height function that does not depend on
choosing a particular number field.
Definition. Let P E lP'N (Q) be a point whose coordinates are algebraic numbers .
The (absolut e) height of P, denoted by H (P ), is defined by choosing any number
field K such that P E lP'N (K) and setting
The transformation formula in Proposition 3.4(c) tells us that H (P ) is well-defined,

independent of the choice of the field K.
In the following , K denotes an algebraic closure of a number field K .
Theorem 3.6. Let KIQ bea numb erfi eld, let P
E lP'N (K) , and let a E Gal (K I K
).
Then
H (CJ(P)) = H (P ).
In other words, the height is invariant under the action ofthe Galois group.
Proof Let LIK be a finite Galois extension such that P E IP'N (L ). For any absolute
value v E M L and any a E Gal(LIK), we can define a new absolute value a(v)
on L by the formula
lalcr(v) = la( a)lv'

Using the fact that a : L ---. L is a field automorphism, it is easy to verify that a(v)
is an absolute value on L , and indeed the map v f---7 a(v) is simply a permutation of
the set of absolute values NfL . Further, the automorphism a : K ---. K induces an
isomorphism of the completions a : K; ---. Kcr(v), since the effect of a on K is to
transform the absolute value v into the absolute value a(v ). In particular, the local
degrees
and
86
3. Dynamicsover GlobalFields
are equal. We now write P
= [xo, ... , XN]
E jp'N (L) and compute
II max{IC1(xo)lv, ... , 1C1(XN)lv}nv

vEM
= II max{lxol a(v), .. ,lxNla(v)r<7(v)
vEM
= II max{lxol v, ... , IXNlv}
HL{C1(P)) =
vEM L
=HL{P).
Taking [L : Q]th roots completes the proof that H(C1(P)) = H(P).
Definition. Let P = [xo, ... , XN] E jp'N (K) be a point with algebraic coordinates.
The smallest field over which P can be defined is called the field ofdefinition of P
over K and is denoted by K(P). It can be constructed by choosing a nonzero coordinate Xi and setting
Xl
xo, K(P)=K ( , ... ,XN)
- .
Xi Xi
Xi
It is easy to see that this field is independent of the choice of the index i.
Our purpose in defining the height is to have a method of measuring the arithmetic size or complexity of points in projective space, analogous to the way in which
the size of a rational number is measured by taking the larger of its numerator and
its denominator. The following finiteness theorem is of fundamental importance.
Theorem 3.7. Let K/Q be a number field, and let B be any constant. Then the set
ofpoints
isfinite. More generally, for any constants Band D, the set ofpoints
{P E jp'N (Q) : H(P) :S Band [Q(P): Q] :S D}

is finite. In other words, there are only finitely many points in jp'N (Q) of bounded
height and bounded degree.
Proof It clearly suffices to prove the second statement, i.e., that there are only
finitely many points
= [xo, ... , XN]
E jp'N (Q)
satisfying
H(P):S Band [Q(P): Q] = D.
Dividing the homogeneous coordinates of P by some nonzero coordinate, we may

assume that some coordinate equals 1. Then
for each 0 :S i :S N,
87
3.1. HeightFunctions
SO [lQl(Xi) : lQl] ~ D. Further, if we write K = lQl(P) and d = [K : lQl], then we can

estimate the heights of the individual coordinates by
~ H(P ) =
II
max{ lxolv , ... , IX Nlv}nv ) lid
vEMQ(p )
~ II
vEM
((max{ lxolv,l}nv ... max{ IXNlv,l}nV)lINY /d
(IT( II max{IXil v, ir- Y ldY IN

<=0
v E l.! K
= (H(xo)H( xt} . . . H(XN ))l IN
~ H(Xi)l IN
for every 0 ~ i ~ N.
Thus each coordinate of P lies in a field of degree at most D and has height at most
BN . Replacing B by B N and taking numbersof exact degree d for each 1 ~ d ~ D,
it suffices to prove that the set
{a E Q : H (a ) ~ Band [lQl(a) : lQll = d}
(3.2)
is finite.
Let a be in the set (3.2) and write the minimalpolynomial of a as
Fa(X) = X d
+ alX d - l + ... + ad E lQl[X].
Also factor Fa(X) over Cas
The number ai , . . . , ad are the conjugates of a , so Theorem3.6 tells us that
H (a t} = . . . = H(ad) = H( a) .
Further, the coefficients al, . .. , ad of Fa(X) are the elementary symmetric polynomials of the roots (up to l). For example,
al
= -(al + a2 + .. .+ ad)
More generally, for any 1 ~ k
ak = (_ l) k
and ad = (-1) da la 2 ad.
d we have
a il ai2 ' " aik'
(3.3)
l :5i l <i2<..<ik:5d
Note that there are (~) terms in the sum (3.3).

Wecan use (3.3) and the triangle inequality to estimatethe absolutevaluesof the
coefficients ai , .. . , ad in terms of the absolute values of the roots ai , . . . , a d. Thus
for any v E M Q(a ) we compute
88
<
(~) max{lallv, 1} max{la2Iv, 1}'"
max{ladlv, 1}.
Further, if v is nonarchimedean, then we may discard the factor of (~). Taking the
maximum over k and using the fact that (~) :::; 2d for all k, we find that
max{1, lall v, la2Iv,"" ladlv}
:::; 2d max{lallv, 1} max{la2Iv, 1}'" max{ladlv, 1},

where again the 2d is needed only if v is archimedean. Now raise to the n., power,
multiply over all v, and take the cfh root to obtain
H([1, aI, a2, ... , ad]) :::; 2dH(al)H(a2)'" H(ad).

Theorem 3.6 tells us that H(ai)
assumption, so we conclude that
= H(a)
H([1,al,a2,
for every i, and we have H(a) :::; B by
,ad]):::; (2B)d.
In other words, the height of[1, aI, a2,

, ad] E JP'd(Q) is bounded by (2B)d. However, we already know that there are only finitely many Q rational points in projective
space (see Example 3.1 and Remark 3.5). Hence there are only finitely many possibilities for the minimal polynomial Fa(X) of a, and since each Fa(X) has only
d roots, there are only finitely many possibilities for a. This proves that the set (3.2)
0
is finite, which completes the proof of the theorem.
We can use Theorem 3.7 to give a very brief proof of a famous theorem of Kronecker. It says that an algebraic integer whose conjugates all lie on the unit circle
must be a root of unity.
Theorem 3.8. Let a E Q be a nonzero algebraic number. Then
= 1 if and only if a is a root ofunity.

is a root of unity, then lal v = 1 for every absolute value v, so we clearly
H (a)
Proof If a
have H (a) = 1. Now suppose that H (a) = 1. Directly from the definition of the
height we see that
for all (3 E
Thus H(a n)
= H(a)n = 1 for all n
Q and all n
~ 1.
1, which implies in particular that the set
{a, a 2, a 3 , ... }
is a set ofbounded height. This set is also clearly contained in the number field Q( a),
so Theorem 3.7 tells us that it is a finite set. Hence there are integers i > j > 0 such
that a i = a j , which shows that a is a root of unity.
0
89
3.2. HeightFunctions and Geometry
3.2 Height Functions and Geometry

The height ofa point P measures the arithmetic complexity of P. We now investigate
how the height of P changes when we map it to some other projective space. This
will allow us to relate geometric properties of maps to the arithmetic information
encapsulated by the height function.
Remark 3.9. For ease of exposition we restrict attention to heights on projective
space, but the reader should be aware that there is a general theory of height functions on algebraic varieties due to Weil. Height functions provide a powerful tool
for converting algebro-geometric relationships into number-theoretic relationships.
Theorem 3.11 below provides an example; it converts the geometric information that
a map has degree d into the arithmetic information that ( P) has height that is
more-or-less the rfh power of the height of P. A summary of the general theory of
heights on varieties is given in Section 7.3; see [205, Part B] or [256, Chapters 3-5]
for further details.
Definition. A rational map ofdegree d between projective spaces is a map

: jp'N
(P)
----7
jp'M
[fo(P), ... , fM(P)],
where fo, ... , fM E K[Xo, ... , X N] are homogeneous polynomials of degree d

with no common factors. (The polynomial ring K[Xo, ... ,XN ] is a unique factorization domain, so it makes sense to talk about common factors.) The rational map
is defined at P ifat least one of the values fo(P), ... ,fM(P) is nonzero. The rational
map is called a morphism ifit is defined at every point ofjp'N (K), or equivalently,
if the only solution to the simultaneous equations
is the trivial solution X o = ... = X N = O. If the polynomials fo, ... ,fN have
coefficients in K, we say that is defined over K.
Our goal is to relate the height of a point P to the height of its image (P). To
do this in general, we use an important theorem from algebraic geometry called the
Nullstellensatz. Here
Null
= zero,
stellen = places,
satz
= theorem,
so the Nullstellensatz is a theorem that relates a function to the points at which it

vanishes. We give a brief overview of some basic concepts from algebra and algebraic geometry that are needed to understand the statement of the Nullstellensatz.
However, we note that for rational maps (z) E K(z) in one variable (i.e., maps
: jp'l --+ jp'l), the Nullstellensatz may be replaced by a simple argument based on
the fact that the ring K[z] is a principal ideal domain; see Exercise 3.8.
An ideal I in K[Xo, ... , X N ] is homogeneous ifit is generated by homogeneous
polynomials. The radical ofan ideal I is the ideal
90
Vi = {J E K [Xo, ... , X N] : rEI for some n ~ I} .
(N.B. In this definition , the quantity

is the n th power of f , not its nth iterate.) The
algebraic set attached to a homogeneous ideal I is the set
V(I)
= {P
E JIl>N (K )
: f(P)
= 0 for all f
I}.
The Hilbert basis theorem [259, Chapter VI, Theorem 2.1] implies that I is finitely
generated, so V( I) is the set of simultaneous zeros ofa finite collection of polynomials. If V c JIl>N (K) is an algebraic set, the ideal attached to V is the ideal
I (V ) =
ideal generated by all hOmOgeneous)

polynomials f E K[Xo, . .. , X N]
.
(
such that f (P ) = 0 for all P E V
It is clear that if V = W , then I(V) = I(W). The converse is not quite true, since
the algebraic set attached to the radical .Ji is the same as the algebraic set attached
to I .
Theorem 3.10. (Hilbert's Nullstellensatz) Let I and J be homogeneous ideals properly contained in K [Xo , . . . , X N]. Then
V (I) = V( J)
if and only if
Vi = /J.
Proof Suppose that .Ji = /J. Let P E V (I) and f E J. Then rEI for some
n ~ 1, so r(p) = 0, so f(P) = O. This is true for every f E J, so P E V(J).
This proves that V(I) c V(J), and the opposite inclusion follows by interchanging the roles and I and J . Hence V(I ) = V(J ). This proves the trivial direction
of the theorem. For a proof of the nontrivial converse , see [198, I.1.3A] or [259,
Section X.2].
0
We are now ready to prove an important result that says that up to a scalar factor,
a morphism of degree d causes the height to be raised to the rf't power.
Theorem 3.11. Let : JIl>N (K) -7 JIl> M(K) be a morphism ofdegree d. Then there
are constants C1 , C2 > 0, depending on , such that
for all P E JIl>N (K ).

(Infact, the upper bound H((P )) ~ C 2 H (P )d is validfor rational maps provided
we restrict attention to po ints P at which is defined.)
Proof We begin with some notation. For any point P = [xo , . . . ,x N] with coordinates in K and any absolute value v E M K , we write
(This assumes that we have fixed particular homogeneous coordinates for P.) Similarly, we define the absolute value of a polynomial
3.2. Height Functions and Geometry
f(X 0,
... ,
91
iN
~ aio ...iN x:
0'" X N
'"
X)
N =
io,o.. ,iN
to be
If Iv = . max laio ...iN lv,

'l,o,,'l,N
and if = [fo, ... , f M] is a collection of polynomials, we let
1lv = max
IfJlv.
J
Notice that the height of a point P E lP'N (K) may now be written in the compact
form
H(P) =
II
l/[K:<Q!]
IPI~v )
vEMK
We define the height of a polynomial
H(J) =
II
or a collection of polynomials similarly,
l/[K:<Q!J
Ifl~v )
H() =
and
vEMK
II
l/[K.<Q!]
1I~v )
(3.4)
vEMK
We set one final piece of notation that will make our computations easier. For
any absolute value v E M K and any number m, we set
8 (m) = {m if v E M'j( (i.e., if v is archimedean),

v
1 if v E M~ (i.e., if v is nonarchimedean).
With this notation, we can write a uniform version of the triangle inequality as
Now letP = [xo, ... , XN] E jp'N (K) be a rational point and f E K[Xo, ... , X N ]
a homogeneous polynomial of degree d. Then for any v E M K we can estimate
If(P)lv =
iNX~o ... x~ I
aio ...
i, .. "iN2:0
io++iN=d
::::; 8v (# of terms) . max laio ...iNX~o ... x~ Iv'
'lo,,,'l,N
The number of terms in the sum is equal to at most the number of monomials of
degree d in N + 1 variables, which is given by the combinatorial symbol (N r). For
our purposes it is enough to know that it depends only on Nand d. Continuing with
the computation, we find that
92
We apply this inequality with

over k to obtain
1=
lk for k
0, . .. , N and take the maximum

(3.6)
Finally, we raise (3.6) to the n v power, multiply over all v E MK, and take the
[K : iQ] root to obtain
Note that in deriving this formula , we have used the fact that
II
vEMK
6v (at
II
an v
and
vEM'j;'
nv =
[K : iQ],
VEM'j;'
where the latter is a special case of Theorem 3.2.

This completes the proof of the upper bound with the explicit constant
And as indicated in the statement of the theorem, we never assumed that is a

morphism, so the upper bound holds for rational maps .
In order to prove the opposite inequality, it is necessary to use the assumption
that is a morphism, or equivalentl y, that = [fo, ... , 1M] for homogeneous polynomials 10,
,1M having no common zero in lP'N (K) . This condition tells us that
, 1M) and (X o, , X N ) in K [X o, . . . , X N ] define the same algethe ideals (fo,
braic set in lP'N (K), namel y the empty set. The Nullstellensatz (Theorem 3.10) then
implies that these two ideals have the same radical. In part icular,
Hence we can find an integer e
0 such that
(The Nullstellensatz says that there is an exponent ei for each X i , and then we take e
to be the largest of the ei') Writing this out explicitly, we find homogeneous polynomials g i j E K[Xo, . .. , X N ] such that
X : = 9iOI0 + 9 i l h
+ ... + 9 i /l,[ 1M
for each 1 :::; i :::; N .
We observe that each g i j is homogeneous of degree e - d, since each Ii has degree d.

We evaluate these polynomial identities at P = [xo, ... ,XN] E lP'N (K) and
estimate v-adic absolute values ,
3.2. Height Functionsand Geometry
93
= max IgiO(P)fo(P) + gil (P)!I(P) + ... + giM(P)fM(P) I
O~i~N
~ 6v (M
+ 1) O<i<N
max Igij(P)fj(p)1
v
O?;j~M
So if we let Iglv = maxi,j 1%lv and aM,N,d,e =

both sides by IPI~-d yields the estimate
(M
+ l)(N:~dd), then
dividing
(3.7)
Now raise this inequality to the
[K : Q] root to obtain
H(p)d
ti;
power, multiply over all v E M K , and take the
< aM,N,d,eH(g)H((P)),
where H (g) is the height determined by the coefficients of all of the % polynomials.
Its precise value is not important for our purposes; it is enough to note that it does
not depend on the point P. We have thus proven that H(p)d ~ CH((P)) for a
constant C that does not depend on P, which completes the proof of Theorem 3.11.
o
Theorem 3.11 says that the height of cP(P) is approximately equal to the rfh
power of P. This means that H is a multiplicative kind of function, similar in some
ways to an absolute value. It is often convenient notationally to work instead with an
additive function, which prompts the following definition.
Definition. The logarithmic height (relative to K) is the function
The absolute logarithmic height is the function
h(P)
= log
H(P).
Using this logarithmic notation, Theorem 3.11 says that h((P)) and dh(P)
differ by a bounded amount. The notion of functions that differ by a bounded amount
appears so frequently in mathematics that it has its own notation.
Definition. Let S be a set and let f, g : S

formula
--t
IR be real-valued functions on S. The
94
3. Dynamics overGlobal Fields
l=g+O(l)
means that the quantity
II(p) - g(p) 1
is bounded as P ranges over S. More generally, if h : S
the formula
1 = 9 + O(h)
--t
lR is another function,
means that there exists a constant C such that
II(P ) - g(P)1 ~ Clh(P)1
for all PES.
Using the theory of heights as developed in Theorems 3.7 and 3.11, it is easy to
prove that a morphism ; : l[DN --t l[DN of degree at least 2 has only finitely many
preperiodic points defined over a given number field. This result was first discovered
by Northcott [343] and then independently rediscovered many times in varying degrees of generality. It is instructive to compare this global proof with the local proof
of finiteness of periodic points given in Corollary 2.26.
Theorem 3.12. (Northcott [343]) Let ; : l[DN --t l[DN be a morphism of degree d 2 2 defined over a number field K. Then the set of preperiodic points
PrePer( ;) C l[DN (K) is a set ofbounded height. In particular,
PrePer( ;, l[DN (K)) = PrePer( ;) n l[DN (K)
is a finite set, and more generally, for any D 2 1 the set
PrePer( ;, l[DN (L))
[ L : Kl~ D
is finite .
Proof Theorem 3.11 tells us that there is a constant C = C (;) such that
h(;(Q)) 2 dh(Q) - C
Applying this with
for all Q E l[DN (K) .
Q = R, ;( R), ;2 (R), ... , ;n-l (R) yields
h(;n(R)) 2 dnh(R) - C(l
+ d + d2 + ... + dn- 1 ) 2 dn(h(R) - C).
Now suppose that P is preperiodic, say ;m+n(p) = ;m(p) with n

Setting R = ;m (P) and using the preperiodicity yields
(3.8)
2 1 and m 2
o.
and hence
(3.9)
95
3.3. The Uniform Boundedness Conjecture
For the last inequality we are using the fact that d 2 2 and n 2 1. Next we use
inequality (3.8) with n = m and R = P,
(3.10)
Finally, combining (3.9) and (3.10) yields
h(P)
< dm h(qr(p)) + C < dm 2C + C ::; 3C,
which completes the proof that the height of P is bounded by a constant depending
only on the map .
The remaining assertions of the theorem are immediate consequences of Theorem 3.7, which says that sets of bounded height have only finitely many points of
bounded degree.
D
Remark 3.13. One may also consider preperiodic points defined over infinite extensions. For example, we might fix an infinite extension L/Q and ask which morphisms have infinitely many periodic or preperiodic points in jp'N (L). Very little is
known about this question in general.
We consider a special case. Let K/Q be a number field and let KCYcl denote
the maximal cyclotomic extension of K, i.e., the field obtained by adjoining to K
all roots of unity. Now let (z) E K[z] be a polynomial of degree d 22 and suppose that the set PrePer (, jp'1 (Kcycl)) has infinitely many points. Then Dvornicich
and Zannier [146] prove that there is a Mobius transformation f E PGL 2 (k ) such
that f(z) has the form zd or Td(z), where Td(z) is a Chebyshev polynomial
(see Section 1.6.2).
Notice that an alternative dynamical definition of KCYcl is the field obtained by
adjoining to K all 'of the points in PrePer(zd) for some d 2 2. This suggests a
natural question.
Question 3.14. Let,'l/J: jp'N ---., jp' Nbemorphismsofdegreeatleast2definedovera
number field K. Suppose that has infinitely many preperiodic points defined over
the field K (PrePer( 'l/J)). What can one deduce about the relationship between
and e?
3.3
The Uniform Boundedness Conjecture
Northcott's Theorem 3.12 says that a morphism : jp'N ---., jp'N has only finitely
many K -rational preperiodic points. It is even effective in the sense that we can, in
principle, find an explicit constant C( ) in terms of the coefficients of such that
every point P E PrePer() satisfies h(P) ::; C(). This also allows us to compute
an upper bound for #PrePer(,jp'N(K)), but the bound grows extremely rapidly
as the coefficients of become large. A better bound, at least for periodic points,
may be derived from the local estimates in Chapter 2 as described in Corollary 2.26.
However, even that estimate depends on the coefficients of , since it is in terms of
the two smallest primes for which has good reduction. The following uniformity
96
conjecture says that there should be a bound for the size of PrePer ( , pN (K}) that
depends in only a minimal fashion on and K.
Conjecture 3.15. (Morton-Silverman [312]) Fix integers d 2: 2, N 2: 1, and
D 2: 1. There is a constant C (d , N, D } such thatforall numberfields K / Q ofdegree
at most D and all finite morphisms : pN ---+ pN ofdegree d defined over K ,
# PreP er ( , pN (K })
:::; C(d,N, D} .
Remark 3.16. There are many results in the literature giving explicit bounds for the
size of the sets PrePer( , pN (K}) or P er( , p N (K}) in terms of , especially in
the case N = 1. Some of these results use global methods, while others use a small
prime of good (or at least not too bad) reduction for . For example, we used local
methods in Corollary 2.26 to give a weak bound for # P er (, p I (K )). For further
results, see [52, 87, 90, 91, 92,100, 101,137,162,171,191, 192, 193, 194, 195,
227,331,265,312,325,326,328,329,330,332,353,355,358,359,361,454].
Remark 3.17. Very little is known about Conjecture 3.15. Indeed, it is not known
even in the simplest case (d, N , D ) = (2, 1, 1), that is, for Q-rational points and
degree-2 maps on pl . Specializing further, if we let c : p I ---+ pI denote the
quadratic map c(z) = z2 + c, then the conjecture implies that
sup # P er( c, pI (Q) ) < 00,
cEQ
but the best knoWIi upper bounds for # Per ( c, p I (Q) ) depend on c.
There are one-parameter families of c-values for which cPc(z) has a Q-rational
periodic point of exact period 1, 2, or 3; see Exercise 3.9 and Example 4.9. And
one can show that c cannot have Q- rational periodic points of exact period 4 or 5;
see [171, 309]. Poonen has conjectured that c cannot have any Q- rational periodic
points of period greater than 3. Assuming this conjecture, he gives a complete description of all possible rational preperiodic structures for c; see [361].
Remark 3.18. Another interesting collection of rational maps is the family
a,b(Z ) = az
+ ;.
These maps have the symmetry property a,b( -z) = - a,b(Z), i.e., conjugation by
the map f( z) = -z leaves them invariant. It is known that there are one-parameter
families of these maps with a Q-rational periodic point of exact period 1 (in addition
to the obvious fixed point at 00), 2, or 4, and that none of the maps a,b(Z) has a Q rational periodic point of exact period 3. See [286] for details, and Examples 4.69
and 4.71 and Exercises 4.1, 4.40, and 4.41 for additional properties of these maps.
Remark 3.19. Conjecture 3.15 is an extremely strong uniformity conjecture. For
example, if we consider only maps : pI ---+ p I of degree 4 defined over Q, then
the assertion that # PrePer( cP, pI (Q) ) :::; C for an absolute constant C immediately
implies Mazur's theorem [292] that the torsion subgroup of an elliptic curve E / Q
3.4. Canonical Heights and Dynamical Systems
97
is bounded independently of E . To see this, we observe that Proposition 0.3 tells us

that
E tors = PrePer ([2],E) ,
and hence the associated Lattes map I/JE,2 described in Section 1.6.3 satisfies
x (E tors ) = PrePer (I/JE,2, jp>I ).

Note that I/JE,2 has degree 4.
In a similar manner, Conjecture 3.15 for maps of degree 4 on jp>1 over number
fields implies Merel's theorem [297] that the size of the torsion subgroup of an elliptic curve over a number field is bounded solely in terms of the degree of the number
field. Turning this argument around, Merel's theorem implies the uniform boundedness conjecture for Lanes maps , i.e., for rational maps associated to elliptic curves;
see Theorem 6.65. Lattes maps are the only nontrivial family of rational maps for
which the uniform boundedness conjecture is currently known.
In higher dimension, Fakhruddin [162] has shown that Conjecture 3.15 implies
that there is a constant C (N, D) such that if K is a number field of degree at most D
and if AIK is an abelian variety of dimension N, then
#A (K )tors
:s C(N, D).
He also shows that if Conjecture 3.15 is true over Q, then it is true for all number
fields.
3.4
Canonical Heights and Dynamical Systems
It is obvious from the definition of the height that

for all
0:'
Q.
(3. 11)
Notice that Theorem 3.11 applied to the particular map I/J(z) = zd gives the lessprecise statement
(3.12)
h(I/J(P )) = dh(P ) + 0(1 ).
Clearly the exact formula (3.11) is more attractive than the approximation (3.12). It
would be nice if we could modify the height h in some way so that the general formula (3.12) from Theorem 3.11 is true without the 0 (1). It turns out that this can be
done for each morphism I/J. To create these special heights , we follow a construction
due originally to Tate.
Theorem 3.20. Let S be a set, let d
I/J : S -+ S
> 1 be a real number, and let

and
h : S-+ IR
be fun ctions satisfying
h(I/J(P )) = dh(P ) + 0 (1)
foral! P E S .
98
Then the limit

(3.13)
exists and satisfi es:
= h(P) + 0(1) .
h((P)) = dh(P).
(a) h(P)
(b)
Thefunction
h:S
--; IR is uniquely determined by the properties (a) and (b).
Proof We prove that the limit (3.13) exists by proving that the sequence is Cauch y.
Let n > m ~ a be integers. We are given that there is a constant C such that
for all Q E S.
Ih((Q)) - dh(Q)1 ::; C

We apply inequality (3.14) with Q
(3.14)
= i - l (P ) to the telescoping sum
I: nh(n(p )) - d~ h(m(p ))j =
~i (h (i (P)) -
~i Ih(i (p )) -
dh(i-l (P) ))
i=m+ l
<
dh(i-l (p ))1
i =m+ l
The inequality (3.15) clearly implies that

as m , n --;
00,
so the sequence d- nh(n(p )) is Cauchy and the limit (3.13) exists.

In order to prove (a), we take m = a in (3.15), which yields
Next we let n --;
00
to obtain
Jh(P) - h(p )1::; d ~ i '

which is (a) with an explicit value for the 0 (1) constant.
The proof of (b) is a simple computation using the definition of 11"
Finally, to prove uniqueness, suppose that h'

and (b). Then the difference 9 = 11, - 11,' satisfies
:S
--; IR also has properties (a)
99
g(P ) = 0 (1)
g((P)) = dg(P) .
and
These formulas hold for all elements P ES , so
d"g(P ) = g(n(p )) = 0 (1)
for all n ~
o.
In other words, the quantity dng(P ) is bounded as n --+ 00 , which can happen only
if g(P) = O. This proves that h(P) = h'(P ), so 11, is unique.
D
Definition. Let : lP'N --+ lP'N be a morphism of degree d ~ 2. The canonical height
fun ction (associated to ) is the unique function
satisfying
h(P) = h(P) + 0(1)
and
The existence and uniqueness of h follow from Theorem 3.20 applied to the maps
and
since Theorem 3.11 tells us that and h satisfy
h((P )) = dh(P ) + 0 (1)
for all P E lP'N (Q).
Remark 3.21. The definition hef> (P ) = lim n ---+oo d-nh(n(p )) is not practical for
accurate numerical calculations. Thus even for P E lP'l(Q), one would need to compute the exact value of n(p), whose coordinates have O(dn) digits. A practical
method for the numerical computation of h(P) to high accuracy uses the decomposition of kef> as a sum of local heights or Green functions. This decomposition
is described in Sections 3.5 and 5.9. See in particular Exercise 5.29 for a detailed
description of the algorithm.
The canonical height provides a useful arithmetic characterization of the preperiodic points of .
Theorem 3.22. Let : lP'N
and let P E lP'N (Q). Then
--+
lP'N be a morphism ofdegree d ~ 2 defined over Q
P E PrePer()
if and only if hq, (P)
= O.
Proof If P is preperiodic, then the quantity h(n(P)) takes on only finitely many
values, so it is clear that
h(n(P)) --+ 0 as n --+ 00.
Now suppose that hef>(P) = O. Let K be a number field containing the coordinates of P and the coefficients of , i.e., P E lP'N (K) and is defined over K.
Theorem 3.20 and the assumption hef>(P) = 0 imply that
a:
100
Thus the orbit
Gq, (P ) = {P, (p ), ql (p ),q} (P ), . .. } C jpN(K)

is a set of bounded height, so it is finite from Theorem 3.7. Therefore P is a preperiD
odic point for .
Remark 3.23. Further material on canonical heights in dynamics may be found in
Sections 3.5, 5.9, and 7.4, as well as [16, 20, 23, 36, 38, 39, 87, 88, 89, 147, 159,
231,228,230,232,234,406,409,446,453].
Theorem 3.22 is a generalization of Kronecker's theorem (Theorem 3.8), which

says that h(0:) = 0 if and only if 0: is a root of unity. Kronecker's theorem follows
by applying Theorem 3.22 to the lfh-power map (z) = zd, whose canonical height
is the ordinary height h.
The fact that only roots of unity have height 0 leads naturally to the question
of how small a nonzero height can be. If we take the relation h(ad) = dh(0:) and
substitute in a = 21 / d , we find that
h(2 1/ d ) =
h(2) = 10:2 ,
so the height can become arbitrarily small. However, this is poss ible only by taking
numbers lying in fields of higher and higher degree . For any algebraic number a, let
D(a ) = [Q(o:) : QJ
denote the degree of its minimal polynomial over Q.
Conjecture 3.24. (Lehmer's Conjecture [264]) There is an absolute constant K
such that
>0
h(o: ) 2: K/D(o:)
for every nonzero algebraic number 0: that is not a root ofunity.
There has been a great deal of work on Lehmer's conjecture by many mathematicians ; see for example [7, 8, 75, 94, 264, 366, 421, 422, 424, 445]. (The survey [422]
contains an extensive bibliography.) The best result currently known, which is due to
Dobrowolski [138], says that
h(o:) > _K_ (10glOgD(0:)) 3

10gD(0:)
- D(a)
The smallest known nonzero value of D(o:)h(a) is
D((3o)h((3o) = 0.1623576 . .. ,
where (30
= 1.17628 . .. is a real root of

x lO
+ x9 _
x7
x6
x5
x4
x3
+ X + 1.
Theorem 3.22 tells us that hq,(P) = 0 if and only if P is a preperiodic point

for . This suggests a natural generalization of Lehmer's conjecture to the dynamical
setting. (See [317] for an early version of this conjecture in a special case .)
101
Conjecture 3.25. (Dynamical Lehmer Conjecture) Let : jp'N ----+ jp'N be a

morphism defined over a number field K, and for any point P E jp'N (K), let
D(P) = [K(P) : K]. Then there is a constant r: = Ii(K, ) > 0 such that
for all P E
jp'N (K)
with P ~ PrePer().
There has been considerable work on this conjecture for maps : jp'I ----+ jp'I that
are associated to groups as described in Section 1.6. For example, in the case that
is attached to an elliptic curve E, it is known that
in general [291],
D(P)3log2 D(P)
Ii
D(P)2
.r.. (log log D(P) )

D(P)
log D(P)
if j(E) is nonintegral [203],

3
if E has complex multiplication [263].
Aside from maps associated to groups, there does not appear to be a single example for which it is known that hq,(P) is always greater than a constant over a fixed
power of D(P). Using trivial estimates based on the number of points of bounded
height in projective space, it is easy to prove a lower bound that decreases faster than
exponentially in D(P); see Exercise 3.17.
Remark 3.26. The Lehmer conjecture involves a single map and points from number fields of increasing size. Another natural question to ask about lower bounds for
the canonical height involves fixing the field K and letting the map vary. For example, consider quadratic polynomials c(z) = Z2 + c as c varies over Q. Is it true
that hq,Ja) is uniformly bounded away from 0 for all cEQ and all nonpreperiodic a E Q? In other words, does there exist a constant Ii > 0 such that
hq,Ja) 2':
r:
for all c, a E Q with a ~ PrePer(c)?
We might even ask that the lower bound grow as c becomes larger (in an arithmetic
sense). Thus is there a constant Ii > 0 such that
hq,Ja) 2':lih(c) forallc,a E Qwitha ~ PrePer(c)?

This is a dynamical analogue of a conjecture for elliptic curves that is due to Serge
Lang; see [202], [254, page 92], or [410, VIII.9.9].
For the quadratic map z2 + c, the height of the parameter c provides a natural
measure of its size, but the situation for general rational maps (z) E K(z) is more
complicated. We cannot simply use the height of the coefficients of , because the
canonical height is invariant under conjugation (see Exercise 3.11), while the height
of the coefficients is not conjugation-invariant. We return to this question in Section 4.11 after we have developed a way to measure the size of the conjugacy class
of a rational map.
102
3.5 Local Canonical Heights

The canonical height hq;, attached to a rational map is a useful tool in studying
the arithmetic dynamics of . For more refined analyses, it is helpful to decompose
the canonical height as a sum of local canonical heights, one for each absolute value
on K. In this section we briefly summarize the basic properties of local canonical
heights, but we defer the proofs until Section 5.9. The reader wishing to proceed
more rapidly to the main arithmetic results of this chapter may safely omit this section on first reading, since the material covered is not used elsewhere in this book.
The construction of the canonical height relies on the fact that the ordinary height
satisfies h((P)) = dh(P) + 0(1), so it is "almost canonical." The ordinary height
of a point P = [a, 1] is equal to the sum
h(P) = h(a) =
n vlogmax{lal v , l },
vEMK
so for each v E MK it is natural to define a local height function
We can understand Av geometrically by observing that for v E M~,
where Pv is the nonarchimedean chordal metric defined in Section 2.1. One says
that Av(a) is the logarithmic distance from a to 00.
Unfortunately, the function Av does not transform canonically, since Av (( a)) is
not equal to dAv(a) + 0(1). To see why, note that Av((a)) is large if a is close to
a pole of , while Av (a) is large if a is close to the point 00 E pl. (Here the word
"close" means in terms of the v-adic chordal metric Pv.) Thus we can hope to find
a canonical local height only if we allow an appropriate correction term, as in the
following theorem.
Theorem 3.27. Let : pI -+ pI be a rational function of degree d ~ 2 defined

over K, write ( z) = F (z) / G (z) using polynomials F, G E K [z] having no common factors, and let v be an absolute value on K. Then there is a unique function
with the following two properties:

(a) For all a E pI (Kv) with a -=I- 00 and (a) -=I- 00, the function ),.q;" v satisfies
(3.16)
(b) The function
f----+
),.q;"v(a) -logmax{lal v , I}
extends to a bounded continuous function on all of pI (Kv ) .
103
3.5. Local Canonical Heights

Thefunction ~</>,v is called a local canonical height (associated) to .
Proof We defer the proof until Section 5.9; see Theorem 5.60.
Remark 3.28. The local canonical height function ~</>,v constructed in Theorem 3.27
depends on the choice of a decomposition of as = F / G. Ifwe use instead cF/ eG
for some c E K*, so G is replaced by eG, then it is easy to see that the new function
differs from the old one by a constant,
A
A</>,v,cc(a)
= A</>,v,c(a) + d _ 1 log [c],
In the sequel, when we refer to ~</>,v without further specification, we assume that
some particular G has been fixed. However, we note that there are situations in which
it may be convenient to normalize ~</>,v differently for different v; see Exercise 3.29.
The utility of local canonical heights is that on the one hand, they are defined
on jp'l (Kv) and have various nice metrical and analytic properties, while on the other
hand, they fit together to give the global canonical height, as described in the next
theorem.
Theorem 3.29. Let K be a numberfield, andfor each v E MK, let ~</>,v be the local
canonical heightfunction constructed in Theorem 3.27. Then
h</>(a)
nv~</>,v(O:)
for all a E jp'l(K)
<,
{oo}.
(3.17)
vEMK
Proof We defer the proof until Section 5.9; see Theorem 5.61.
Remark 3.30. If (z) E K[z] is a polynomial, then the local height may be computed
as the limit (Exercise 3.24)
A
A</>,v(a)
= nl~~ dn
logmax{ln(a)lv, I}.
If v is a nonarchimedean absolute value and if has good reduction at v, or more

precisely, if = F / G with IRes( F, G) Iv = 1, then the local height is given by the
simple formula (Exercise 3.30)
~</>,v(a) = log max{ lal v, I}.

In general there is no simple limit formula to compute ~</>, v (a). However, there is
an algorithm that leads to a rapidly convergent series for ~</>,v(a). Roughly, the Nth
partial sum of the series approximates ~</>,v(a) to within O(d- N ) . For details see
Exercise 5.29, which describes an efficient algorithm to compute the Green function 9</>, and then use Theorem 5.60, which says that the local canonical height and
the Green function are related by the formula
104
Remark 3.31. Baker and Rumely [26, Chapter 7] give an interesting interpretation of the local canonical height function. They construct an invariant measure on
Berkovich space and prove that the measure is the negative Laplacian of a suitable
extension of the local canonical height function ).1>, ti- See Section 5.10 for a brief
introduction to the geometry/topology of Berkovich space. For the more elaborate
machinery required to do harmonic and functional analysis on Berkovich space, including the construction of the invariant measure, we refer the reader to [26, 29] and
to the other references listed in Remark 5.77.
Remark 3.32. The theory oflocal canonical heights began with Neron's construction
on abelian varieties [333], or see [256, Chapter 11]. The general theory of global
and local canonical heights associated to morphisms on varieties with eigendivisor
classes is described in [88].
3.6 Diophantine Approximation

The theory of Diophantine approximation seeks to answer the question of how
closely one can approximate irrational numbers by rational numbers. The subject
now includes a large and well-developed body of knowledge, while at the same time
there is considerable ongoing research on many deep questions. In this section we
state a famous theorem on Diophantine approximation and show how it is applied to
deduce finiteness results for certain Diophantine equations. In Sections 3.7 and 3.8
we apply the theory of Diophantine approximation in a similar fashion to deduce
integrality properties of points in orbits 01> (a).
It is clear that any irrational number a E ~ can be approximated arbitrarily
closely by rational numbers, since Ql is dense in R The following elementary result
quantifies this observation by relating the closeness of x / y and a to the arithmetic
complexity of the rational number x/yo We leave the proof as an exercise (Exercise 3.31), or see any elementary number theory text that discusses Diophantine approximation.
Proposition 3.33. (Dirichlet) Let a E ~ <, Ql be an irrational number. Then there
are infinitely many rational numbers x / y satisfying
Dirichlet's theorem says that every irrational number can be fairly well approximated by rational numbers. Some irrational numbers can be much better approximated, but it turns out that this is not true for algebraic numbers. A succession of
mathematicians (Liouville, Thue, Siegel, Gel'fond, Dyson) derived ever better estimates for the approximability of algebraic numbers by rational numbers, culminating in the following deep theorem of Roth, for which he received the Fields Medal
in 1958.
Theorem 3.34. (Roth) Fix E > 0 and let a E Q be an algebraic number with
a ~ Ql. Then there exists a constant", = "'(E, a) > 0 such that
3.6. DiophantineApproximation
105
for all- E Q.
Y
Proof The proof of Roth's theorem is beyond the scope of this book. A nice exposition may be found in [393]. For more general versions, see [205, Part D] and [256,
0
Chapter 7].
We apply Roth's theorem to prove an important result of Thue on the representability of integers by binary forms.
Theorem 3.35. (Thue) Let G (X , Y) E Z [X, Y] be a homogeneous polynomial of

degree d and let B E Z. Assume that G(X , Y) has at least three distinct roots
in pl (C). Then the equation
(3.18)
G( X , Y) = B
has only finitely many integer solutions (X , Y) E Z2.
Proof We begin by factoring G(X , Y) into irreducible factors in Q[X, Y], say
Replacing G (X , Y) by cG (X , Y) and B by cB for a sufficiently large integer c, we

may assume without loss of generality that G l , . . . , G; have integer coefficients.'
If r 2 2, that is, if G (X , Y) has more than one irreducible factor, then any
solution (a, b) to (3.18) has the property that G 1 (a, b) and G 2 (a, b) divide B. Since B
has only finitely many distinct factors, we are reduced in this case to showing that
there are only finitely many solutions to the pair of simultaneous equations
Gl (X, Y) = B 1
and
This is clear, since the plane curves G 1 = B 1 and G 2 = B 2 have no common

components , so they intersect in only finitely many points.
Next suppose that r = 1, so G (X , Y) = G l (X , y )e1 If B is not equal to B~ l
for some integer Bi , then G(X , Y) = B has no solutions . Otherwise , we can take
roots of both sides and reduce to the case that G (X , Y ) is irreducible in Q[X, Y].
Then G (X , Y ) has only simple roots, and by assumption there are at least three such
roots.
We factor G(X, Y) in qx, Y], say
with distinct algebraic numbers al , ... , a d. Now divide the equation G (X , Y ) = b

by y d to obtain
lOr we can invoke Gauss 's lemma, which implies that the factorization of G(X, Y) in iQ[X, Y] can
already be achieved in Z[X, Y].
106
We observe that if (x, y) E 'l} is a large solution to G(X, Y) = b, then the

righthand side of (3.19) is small, so at least one of the factors on the lefthand side
must also be small. However, since a1, ... , ad are distinct, the rational number xly
can be close to at most one of aI, ... , ad. Hence we can find a constant C = C(G, b)
such that
min
l~i~d
I~Y - a1 < -.
Iyld
t
for all (x, y) E '1. 2 satisfying G(x, y)
= b.
(3.20)
In the other direction, Roth's Theorem 3.34 applied to each of a1, ... , ad tells
us that for any f > 0 there is a constant", = "'( f, aI, ... ,ad) > 0 such that
. Ix-Y -
mm
l~i~d
a
t
-'" I >lyl2+E
forall - E Q.
(3.21)
Combining (3.20) and (3.21), we find that
lyld-2-E
< CI n,
By assumption, d 2:: 3, so this shows that there are only finitely many possible values
for y. Finally, we observe that for each y, the equation G(x, y) = b implies that there
are at most d possible values for x. Therefore the equation G(x, y) = b has only
0
finitely many integer solutions
Siegel observed that Thue's theorem can be reformulated in terms of integral
values of rational functions.
Theorem 3.36. (Siegel) Let (z) E Q(z) be a rational/unction with at least three
distinct poles in lP'1 (C). Then
{o: E Q : (o:) E'1.}

is a finite set.
Remark 3.37. Note that Theorem 3.36 need not be true if the rational function has
fewer than three poles. A simple example with two poles is the function
F(z)
(z) = (Z2 _
ov:
where D > 1 is a squarefree integer and F (z) E '1. [z] is a polynomial of degree 2d.
If we now take any solution (u, v) E '1. 2 to the Pell equation u 2 - Dv 2 = 1, then
( ulv) = v 2d F( ulv) E '1.. The Pell equation has infinitely many solutions, so there
are infinitely many rational numbers u I v E Q with ( u I v) E '1..
Proof Write
= [F(X, Y), G(X, Y)]

using homogeneous polynomials F(X, Y), G(X, Y) E '1. [X, Y] of degree d having
no common factors. For any fraction a = alb E Q written in lowest terms, we have
3.6. Diophantine Approximation
107
F (a, b)
(a ) = G(a, b)'
so (a) E Z if and only ifG (a, b) divides F (a, b).
Let R = Res(F, G ) be the resultant of F and G, which is a nonzero integer
since F and G have no common factors. Proposition 2.13 says that there are homogeneous polynomials Ii,gl , 12 ,g2 E Z[X, Y] satisfying
h (X, Y )F(X, Y) + gl (X ,Y )G(X , Y) =

12 (X ,Y )F (X , Y) + g2( X ,Y )G(X , Y) =
RX 2d- l ,
Ry 2d- l .
Substituting (X, Y ) = (a,b) into these equations, we see that if G(a, b) divides
F (a,b), then G(a, b) also divides both Ra2d- 1 and Rb2d- 1 . However, a and bare
relatively prime, so we have proven that
(a/b) E Z
implies that
G(a, b) divides R.
It is important to emphasize that the resultant R depends only on F and G and that
it is nonzero. Hence
{~
E Q :
( ~)
Z}c U {~ E Q : G(a, b) = D} .
(3.22)
DI R
Thue's Theorem 3.35 tells us that each set on the righthand side of (3.22) is finite,
0
Remark 3.38. Roth 's Theorem 3.34 is not effective, in the sense that it does not provide a method for computing an allowable constant K(to , a) in terms of to and a. Thus
our proofs of Thue's and Siegel 's theorems (Theorems 3.35 and 3.36) are also ineffective. Baker's theorem on linear forms in logarithms gives an effective, although
weak, version of Roth's theorem , from which one can derive effective versions of
Theorems 3.35 and 3.36. This means that our finitenes s result on integral points in orbits (Theorem 3.43) proven in the next section can be made effective, but the stronger
integrality statement (Theorem 3.48) cannot, since it relies on the full strength of
Roth's theorem.
Let C C pN be a smooth projective curve defined over Q and let : C -+ pI
be a nonconstant rational function on C. If C has genus 9 ~ 1, Siegel proved that
C (Z) = {P E C(Q) : (P) E Z} is a finite set. For 9 ~ 2, this is superseded by
Faltings' theorem that C(Q) is finite, but for elliptic curves (g = 1), the set C(Q)
is often infinite. In this case, Siegel greatly strengthened the qualitative statement
that C(Z) is finite by showing that the coordinates of the points in C(Q) have
numerators and denominators of approximately the same size. The precise theorem,
which we generalize to the dynamical setting in Section 3.8, is as follows.
Theorem 3.39. (Siegel [403,404]) Let E / Q be an elliptic curve, let E Q( E) be

a nonconstant rationalfunction on E , andfor each rational point P E E (Q ), write
108
(P)
= [a(P) ,b(P)] E jp'l(Q)
with a(P) ,b(P) E Z and gcd(a(P),b(P)) = 1.
Then
log la(P) I = l.
lim
PEE (Q)
h( (P ) )-oo
loglb(P) I
Proof See [410, IX.3.3]. For a general version on curves of arbitrary genus 9 2:: 1,
see for example [205, D.9.4], although as noted above, if 9 2:: 2, then Faltings [164,
0
165] proves that C(Q) is finite.
For the convenience of the reader, we conclude this section by stating general
versions of Theorems 3.34, 3.35, and 3.36 for number fields. Proofs of these, and
even more general, results may be found in [205, Part D] or [256, Chapter 7]. We set
the following notation:
K
a number field;
S
a finite set of absolute values on K;
Rs the ring of S-integers of K.
Theorem 3.40. (Roth) Let E > O. For each v E S, extend v to tc in some fashion,
and choose an algebraic number a v E tc. Then there is a constant /'l, > 0, depending
on K. S. E, and {a v } v ES, such that
IImin{lz-a vlv,1}n 2:: H (: )2+f

vES
forall zEK.
Theorem 3.41. (Thue-Mahler) Let G(X, Y ) E K [X , Y ] be homogeneous of degree d with at least three distinct roots in pi (iC), and let B E K . Then there are only
finitely many (X, Y) E R~ satisfying G(X, Y ) = B.
Theorem 3.42. (Siegel) Let ( z) E K (z ) be a rational function with at least three
distinct poles in f<. Then there are only finitely many a E K satisfying 4>( a ) E R s.
3.7
Integral Points in Orbits
In this section we prove that the orbit of a rational point by a rational map contains
only finitely many integers, except in those cases in which that statement is clearly
false. For ease of exposition, we work with Q and Z, but the result holds quite generally for rings of S-integers in number fields; see [411] or Exercise 3.38. We begin
with a definition.
Definition. A wandering point for a rational map : jp'i -+ pi is a point P E jp'i
whose forward orbit G(P) is an infiniteset. Thus every point is either a wandering
point or a preperiodic point?
2The reader should be aware that in topological dynamics , especially with respect to invertible maps,
the standard definition says that a point is wandering if it has a wandering neighborhood. In other
words , a point P is topologically wandering if there is a neighborhood V of P and an integer n o such
that rj>i(V ) n cf>J (V) = 0 for all i > j ~ no. Our definition coincide s with the topological definition if
we use the discrete topology.
3.7. Integral Points in Orbits
109
Theorem 3.43. Let ( z ) E Q(z ) be a rational map ofdegree d ~ 2 with the property
that 2(z) tf: Q[z]. Let Q E Q be a wandering pointfor . Then the orbit
contains only finitely many integer points.
Theorem 3.43 is an immediate consequence of the following elementary geometric result combined with Siegel's Theorem 3.36 concerning integral values ofrational
functions .
Proposition 3.44. Let E q z ) be a rational fun ction of degree d ~ 2 satisfying
2(z) tf: C[z]. so Theorem 1.7 impli es that no iterate of is a polynomial map. Then
Ifd ~ 3. then #-3(00) ~ 3.

Proof. We give a pictorial proof using the Riemann-Hurwitz formula . Suppose
that is a rational map with # - 3(00) ::; 2. There are four possible pictures for
the backward orbit of 00, as illustrated in Figure 3.1.
- - Q - - p - - 00
--........
.>
----
Q - - p - - oo
(A)
(B)
Q--........
Q/~
p - - 00
(C)
Q - - P--........
- - Q/--
P/~
00
(D)
Figure 3.1: Backward orbits containing few points

The weak form of the Riemann-Hurwitz formula (Corollary 1.3) says that
2d - 2 =
(d - # - l (p )).
(3.23)
PE p !
We apply (3.23) to each of the four pictures in Figure 3.1. Before computing, we
need to determine to what extent the points in the four pictures are distinct. For (A)
110
and (B), the three points P , Q, and 00 must be distinct, since P = 00 would mean
that </J is a polynomial and Q = 00 # P would mean that </J2 is a polynomial.
Similarly, in (C) we cannot have P = 00, so relabeling the points in (C) and (D) if
necessary, we may assume that P, Q, and 00 are distinct in all four cases. We now
use the Riemann-Hurwitz formula to estimate
2d - 2 2 (d - # </J-l (oo)) + (d - # </J-l(p)) + (d - # </J -l (Q ))

(d _ (d - { (d (d -
1) + (d - 1) + (d - 1)
= 3d -
in case (A),
1) + (d - 1) + (d - 2) = 3d - 4
in case (B),
l)+(d - 2) +(d - l) = 3d - 4 incase(C),

2) + (d - 1) + (d - 1) = 3d - 4 in case (D).
Thus case (A) yields d :S 1, a contradiction, while the other three cases give d :S 2.
This proves that if d 2 3, then #</J-3 (00) 2 3. Finally, if d = 2, then the RiemannHurwitz formula tells us that </J has only two ramified points, and by inspection we
see that those points already appear in the pictures for (B), (C), and (D). Since
# </J- 3(00) = 2 in each case, it follows that # </J- 4(00) 2 3. (See Exercise 3.37
0
for an explicit lower bound for # </J - n (00) in terms of d and n.)
Proof of Theorem 3.43. Proposition 3.44 tells us that # </J-4(00) 2 3. (If d 2 3, we
could even take </J -3.) The condition # </J- 4(00) 2 3 can be rephrased as saying that
the rational function </J4 has at least three distinct poles, so we may apply Siegel's
Theorem 3.36 to conclude that the set
(3.24)
is finite.
Consider the set of integers n such that the nIh iterate of </J applied to a is integral,
It clearly suffices to prove that N is finite. If n E N with n

Q
2 4, then
so we see that </In-4(a) is in the finite set (3.24). However, for any fixed f3 in the
set (3.24), there is at most one iterate of a that is mapped to f3 (remember that a is a
0
wandering point). This completes the proof that Oq,(a ) n Z is finite.
Theorem 3.43 says that if </J2(z ) is not a polynomial , then the orbit Oq,(a) contains only finitely many integral points. It is natural to ask how large Oq,(a ) n Z
can be. The answer is that it may be arbitrarily large, as shown by the following
construction.
Example 3.45. In order to create a rational function whose orbit contains a large
number of integral points, we simply take a finite (reasonably random) sequence of
integers Zo, Z2 , ... ,Zk-l and treat the equations
3.7. Integral Points in Orbits

-I,n+ 1 (
'f'
Zn
111
= Zn+1
for n = 0, 1, .. . , k - 1
as a system of homogeneous linear equations for the 2d + 2 coefficients of . If the

degree of satisfies 2d + 1 2: k , then there should be a nontrivial rational solution.
We carry out this procedure with d = 2 to find the rational function
2
(Z) = 899x - 2002x
33x 2
+ 275
584x + 275
such that the orbit of 0 contains quite a few integer points:
o~
1 ~ 3 ~ -2
..: 5 ~
-7
Of course, as Theorem 3.43 predicts, the list of integer points must end, and indeed
the next few iterates make it seem likely that there are no further integral points in
the orbit ofO. Thus
-
---t
2917
299 - - - t
296398306
10198813
17011876043966969359
938619769242091763
Example 3.45 (see also Exercise 3.41) shows how to construct orbits with many
integer points by using rational maps of large degree. The following trick, adapted
from work ofChowla [103] and Mahler [285] on elliptic curves (see also [405]), says
that 0 (Q) n Z may be arbitrarily large even for rational maps of a fixed degree.
Proposition 3.46. For all integers N 2: 0 and d 2: 2 there exists a rational map
(z) E Q( z) with the follo wing properties:
2(Z) tt iC[z].
0 is a wandering pointfor .
0, (O), 2(0), 3(0) , . . . , N (0) E Z.

Proof Let 'l/J( z) E Q( z ) be any rational map of degree d for which 0 is not a pre-
periodic point. For each 0
N, write
as a fraction in lowest terms, and let B = bob1 ... bN. Consider the rational function
(z ) = B'l/J(z/ B). Clearly n(z) = B'l/Jn(z/ B), so for 0 ~ n ~ N we have
Hence n(o) E Z for all 0
~ n ~
N.
Although Proposition 3.46 shows how to make 0 (Q) nZ arbitrarily large, it is in

some sense a cheat. What is really happening is that we are clearing the denominators
of rational points in an orbit. We can use the following notion of minimal resultant
to rule out this behavior.
112
Definition. For a rational map (z) E Ql(z), write (z) as (z) = F(z)/G(z),
where F,G E Z[z] have integer coefficients and the greatest common divisor of
all of their coefficients is 1. Then F and G are uniquely determined by up to
multiplication by l, and we define the resultant of to be the quantity
Res() = IRes(F,G)I.
(See Section 2.4 for the definition and basic properties of the resultant of two polynomials. See also Section 4.11 for a general discussion of minimal resultants of rational
maps over number fields.)
We can use the resultant to rule out the denominator-clearing trick of Proposition 3.46, and having done so, we conjecture that the number of integer points in an
orbit is bounded solely in terms of the degree of the map. (See Theorem 6.70 for a
special case.) This is a dynamical analogue of a conjecture of Lang [254, page 140];
see also [202, 407].
Conjecture 3.47. Let (z) E Ql(z) be a rational map ofdegree d 2: 2 with 2(z) ~
Ql[z], and let a E lP'1 (Ql) be a wandering point for . Assume further that is affine
minimal in the sense that
Res() =
min
fEPGL 2 (iQI)
f(z)=az+b
Res(f).
(In other words, we cannot make the resultant smaller by conjugating by an affine
linear transformation az + b.) Then there is a constant C = C (d) depending only
on the degree of such that
#(O(a) n Z) 5:
c.
3.8 Integrality Estimates for Points in Orbits

Theorem 3.43 says that, except for the obvious counterexamples, an orbit G(a) contains only finitely many integer points. In this section we prove a dynamical analogue
of Siegel's Theorem 3.39, which asserts that the numerators and denominators of certain rational numbers have approximately the same number of digits. Siegel's proof
of Theorem 3.39 uses the existence of the multiplication-by-m maps [m] : E --t E
on an elliptic curve. These finite unramified maps have the effect of significantly increasing the height of points while leaving distances relatively unchanged. We adapt
Siegel's argument to the dynamical setting, but since our maps are on lP'1, they are
always ramified. This causes some additional complications, since distances shrink
significantly near ramification points.
Theorem 3.48. (Silverman [411]) Let (z) E Ql( z) be a rational map with the
property that 2(Z) rt Ql[z] and Ij2(1/z) ~ Ql[z]. Let a E Ql be a wandering point
for , and write
3.8. Integrality Estimates for Points in Orbits
113
as a fraction in lowest terms. Then
lim log lanl = 1.
(3.25)
n--->oo log Ibnl
Remark 3.49. It is clear why we must assume that 2(z) ~ Q[z] in the statement of
Theorem 3.48, but it may be less clear why we also require that 1j2(1/z) ~ Q[z].
Letting j(z) = 1/ z, we observe that
1jk(1/z) =
U- 1 0 k 0
f)(z) =
U- 1 0 0
f)k(z) = (f)k(z).
So if 1j2(1/z) E Z[z], then (f)2n(z) E Z[z] for all

orbit of a = l/b for an integer b. We have
ti
2': 1. Now consider the
The quantity (f)2n(b) is an integer, so a2n = 1 and b2n = (f)2n(b) E Z. Hence

the limit in (3.25) for even values of n is o. Thus the assertion of Theorem 3.48 is
not true for rational maps ( z) such that 1/ 2 (1/ z) is a polynomial.
Example 3.50. To illustrate Theorem 3.48, we take (z)
list the first few values of n(1) = an/bn in Table 3.1.
n
an
= z + l/z and a =
bn
1
1
0
1
2
1
2
5
2
3
29
10
4
941
290
5
969581
272890
1014556267661
264588959090
6
7 1099331737522548368039021 268440386798659418988490
Table 3.1: Orbit 0 1 () for (z)
1 and
log(a n )
log(bn )
-
0.69315
1.60943
1.46239
1.20759
1.10128
1.05110
1.02613
= z + 1/ z, writing n(l) = an/bn.
Notice how both the numerator and denominator of n(1) grow extremely
rapidly. Of course, the elementary height estimate (Theorem 3.11) tells us that the
maximum of lanl and Ibnl grows this rapidly, but the fact that they both grow at approximately an equal rate lies much deeper and is the content of Theorem 3.48. And
to illustrate the speed with which the fractions grow, even for a very simple map of
degree 2 such as (z) = z + liz, here is the exact value of 9(1), which is the last
value that fits on one line using very small (5 point) type:
114
3. Dynamics over GlobalFields
1726999038066943724857508638586386504281539279376091 034086485112150 121338989977841573308941492781

37790870974605039248107160960958052 743612256926142413111204802346 7330784 739529329885668846964890
This ninth iterate has logarithmic ratio

log(a n )
log (bn )
10g(17269990380 ... 492781)

(
) ~ 1.00690.
log 37790870974 ... 964890
Proof The idea underlying the proof of Theorem 3.48 is fairly simple. Choose some
f > 0, and suppose that
lanl ;::: Ibnl H
for infinitely many n ;::: O.
(3.26)
This means that n(a) = an/b n is very large, so n(a) is close to 00. It follows
that a is quite close to one of the points in the inverse image -n ( 00), say a is
close to (3 E -n (00). But a is in Q, so one can hope that if n is sufficiently large,
then a and (3 are so close to one another that they contradict Roth's Theorem 3.34.
Unfortunately, this naive approach does not work, because the point (3 depends on n,
so the constant in Roth's theorem changes with each new value of n.
A more sophisticated idea is to use a fixed (large) integer m and apply Roth's
theorem to the rational point n-m (a) and a nearby point in -m (00). Note that
so the height of n-m (a) is much smaller than the height of n(a).
We fix an integer m satisfying dm > 6/f (we will see later why this is a good
choice for m) and we let (3 be the point in -m ( (0) that is closest to n-m (a). How
close is (3 to a? It turns out that this depends on the ramification index of at various
points. Ifwe make the (incorrect) assumption that is everywhere unramified, then
preserves distances up to a scaling factor, which allows us to make the following
estimates, where the constants C l , C 2 , ... may depend on , a, and m, but they do
not depend on n:
n
l
~
;
:
:
I
b 1= ln(a)llanl
an
ClP(n(a), (0),
definition of P, since In(a) I > 1,
= ClP(n(a), m((3)), since m ((3) = 00,
~ C2P(n-m(a),(3),
assuming is unramified,
~ C31n-m(a) - (31,
definition of p,
~
>
C4
- H(n-m(a3'
Cs
~ H(n(a))3/d""
Cs
Roth's Theorem 3.34 (with exponent 3),

property of heights (Theorem 3.11),
115
since m satisfies d"
> 6/E.
Takinglogarithms,we have proventhat

log lanl
::;
2
-log(C5 )
for all n satisfying(3.26), i.e., lanl 2:
Ibnll+.
We reiterate that the constant C 5 depends only on , a, and m; it does not depend
on n. Hence if n satisfies (3.26), then an, and also b, are bounded. It follows that
the -orbit of a contains only finitely many points satisfying(3.26), and therefore
.
log lanl
hmsuP I Ib I ::;l+E.
n--->oo
og n
(3.27)
Repeating the argument with the rational map 1j( 1/ z) and the initial point 1/00
yields
.
log Ibnl
lim sup I I I::; 1 + E.
(3.28)
n--->oo
og an
Since (3.27) and (3.28) hold for all E > 0, we conclude that the limit in (3.25) is 1.
This would complete the proof of Theorem 3.48 except for the unfortunate fact
that rational maps 1P'1 ---. 1P'1 are always ramified. Further, our proof sketch made no
mention of the assumption that 2 (z) is not a polynomial, and the theorem is false
for polynomials! In order to fix the proof, we begin by studying how ramification
affects the distance between points.
Lemma 3.51. Let : 1P'1(C) ---. 1P'1(C) be a rational map oj degree d 2: 2, let
p : 1P'1 (C) X 1P'1 (C) ---. IR be the chordal metric as defined in Section 1.1, and
for Q E 1P'1 (C), let
(3.29)
eQ () =
max eQ' ( )
Q'E<!>-l(Q)
be the maximum ofthe ramification indices ojthe points in the inverse image ojQ.
Then there is a constant C = C( , Q), depending on and Q, such that
min
Q'E<!>-l(Q)
p(P, Q')e Q (<!
::;
Cp((P), Q)
Jorall P E 1P'1(C).
(3.30)
In other words, if (P) is close to Q, then there is a point in the inverse image oJQ
that is close to P, but ramification affects how close.
Proof We dehomogenize using a parameter z such that Q -I 00 and 00 ~ -l(Q).

This means that we can write Q = (3 and P = a and that we are looking for the
(3' E -1((3) that is closest to oo.
Writing(z) = F(z)/G(z) as a ratio of polynomials, the set -1((3) is precisely
the set of roots of the polynomial F (z) - (3G (z). If we factorthis polynomialover C
as
116
with distinct 131, ... ,13r, then 13i E -1 (13) has ramification index ei. For notational
convenience, we write
e = eQ() = maxei.
We may assume that (P) is quite close to Q, i.e., that p((P), Q) is small,
since otherwise, the fact that the chordal metric satisfies p ~ 1 lets us choose a C
for which the inequality (3.30) is true. In particular, P =I 00, and writing a = z(P),
we may assume that a is quite close to at least one of the points 13k in -1(13). For
example, we may require that a satisfy
and
This implies in particular that
for all i
=I k.
Hence
IF(a) - 13G(a) I = Iblla - 1311 e 11a - 132I e2 .. Ia - 13rl er

=
Iblla - 13kl e k II la- 13il e i

i#
: : : Iblla - 13kl e k II ~113k - 13il e i

if'k
C 1 1a - 13kl
ek
where the constant C 1 is positive and depends only on and 13. Further, the exponent
satisfies ek ~ e, so we obtain the estimate
The fact that (a) = F (a) / G(a) is close to 13 and the assumption that G(13)
implies that G(a) is bounded away from 0, so dividing by G(a) yields
=I 0
This in turn implies the same estimate for the chordal metric, since we can estimate
1(a)1 using 1131 and we can estimate lal using l13kl. Therefore
o
Next we show that if we stay away from totally ramified periodic points, then
iteration of tends to spread out the ramification.
117
Lemma 3.52. Let 1J : p I - pI be a rationalmap ofdegree at least 2 and let Q E pI

be a point such that Q is not a totally ramifiedfixed point of 1J2. Then
lim eQ(1Jm) = O.
(deg 1J) m
m -+ oo
(See Lemma 3.51for the definition of eQ(1J).)

Proof The proof of this geometric result uses the Riemann-Hurwitz Theorem 1.1
in a manner similar to the way that we have used it in the past. Let d = deg(1J), fix
an integer m, and let P E 1J - m ( Q). We use the fact that the ramification index is
multiplicative,
To ease notation, we write

We consider several cases.
Case I. The points P, cP(P), cP2(P) , ... , cP=-l(p) are distinct.
Note that this covers the case that Q is a wandering point. The Riemann-Hurwitz
formula allows us to estimate
ep(1Jm) = eOeIe2 ' " em- I
'"
<
_ ( eo + el +m
+ em_ I ) m
= C eo - 1) + (el
:'S
(2d~ 2 + 1) m
arithmetic-geometric inequality
1 ~+' " + (em- I - 1) + 1) m

Riemann-Hurwitz formula.
(3.31)
This estimate is clearly much stronger than the stated result, since the righthand side
of (3.31) has a finite limit as m - 00. Indeed, it is an elementary exercise to verify
that (1 + t/m)m :'S e t is valid for all t 2: 0, so
ep(1Jm) :'S e2d -
for all m 2: 1 provided P,1J(P), ... ,1Jm - I (P) are distinct.
(N.B. ee is a ramification index, while the e in e2d -
is the number 2.71828 . .. !)
Case II. P is purely periodic of period k ~ 3, and m ~ k.

The assumption that 1Jk(p ) = P implies that e, = e",i(p)(1J) depends only on i
modulo k. Writing m = qk + r with 0 :'S T < k, we use the multiplicativity of
ramification, applied to 1Jk, to estimate
118
Note that P, (P), ... , k-l(P) are distinct, so we can apply Case I to each of the
ramification indices on the righthand side of (3.32). This yields
q
ep(m)::; (2d;2 +l)k (2d;2
+lr
2d - 2
)m-r 2d- 2
::; ( - k - + 1
e
applying (3.31) to k and r,

using (1 + t/ry
::; e',
)m e2d- 2.
2d - 2
::; ( - k - + 1
Finally, we observe that
~ (2d; 2+ 1) = 1- (1 - ~)
(1 _~) : ; ~
for all d
2 and k
3.
This proves that e p (m) ::; e2d- 2 (~d) m.
Case III. P is purely periodic of period k ~ 2, and m ~ k:

We use the assumption that Q is not a totally ramified fixed point of 2 to deduce
that at least one of e p () and e(P) ( ) is strictly smaller than d - 1, so
ep(2) = ep()e(p)(J) = eOel ::; d2 - d.

Now using the fact that 2(p) = P, we see that em
is even and equal to el if m is odd, so
ep(m) = eOele2 em-l
(3.33)
= e",(p)() is equal to eo ifm
multiplicativity of ramification index,
ifm is even,
(e oe 1 )m/ 2
- { (eoel)(m-l)/2 eo ifm is odd,
(d2 - d)m/2
ifm is even,
2
::; { (d - d)(m-l)/2d ifm is odd,
=
(1-~) Lm/2J d":
Case IV. P is preperiodic.

If P is periodic, we are already done from earlier cases. Suppose that P is not periodic and let j ~ 1 be the smallest integer such that 1 (P) is periodic. Let R = 1 (P)
and let k be the exact period of R. Then P, (P), ... , 1-1(p) are distinct and
R = 1 (P) is periodic, so from Case I we have
ep(m) = ep(J) . ej(p) (m- j )
::;
e2d- 2eR(m- j )
::;
e2d- 2eR(m).
We also note that R is not a totally ramified fixed point of 2, since -l (R) contains
at least the two distinct points k-l(R) and 1-1(p). (This is where we use the assumption that P is not itself periodic.) Hence we can apply Case II or III to eR(m),
which gives the desired estimate for ep(m).
3.8. Integrality Estimates for Pointsin Orbits
119
In all four cases we have proven estimates for e p (qr) that imply that
This completes the proof of Lemma 3.52. More precisely, we proved that there are
constants CI and C2, depending only on d and with C2 < 1, so that
for all m 21.
And if P is a wandering point, we have shown that e p ( qr) is bounded by a constant
0
depending only on the degree of .
We next prove an elementary lemma that relates the chordal metric p(x, y) to the
Euclidean distance [z - yl.
Lemma3.53. Let p be the chordal metric on pI (C). Thenfor all x, y E C C pI (C),

1
p(x,y):S "2 p(y, oo)
p(x,y)
Proof Note that p(z, 00) = 1/ Jlzl2

have
p(x, y) =
2Ix-yl
p(y 00)2
+ 1, so directly from the
Ix -yl
Jlxl2+ IJlyl2 + 1 = Ix -
'2
definition of p we
Ylp(x, oo)p(y, 00).
Then the triangle inequality for p in the form p(x, 00) + p(x, y) 2 p(y, 00) (see (1.2)
in Section 1.1) yields
p(x, y) 2
Ix -
yl{p(y, 00) - p(x, y) }p(y, 00).
Making the further assumption that p(x, y)

equality.
:S
~p(y, 00), we obtain the desired in0
ProofofTheorem 3.48. We now have the tools needed to complete the proof of Theorem 3.48. Writing n(a) = an/b n as usual, our initial goal is to prove that the set
is finite. We observe that for n E N(, a, f), the point n(a) is close to 00, since
By assumption, 2(z) ~ qz], so 00 is not a totally ramified fixed point of 2.

This allows us to apply Lemma 3.52, which gives us an integer mo = mo(d, f) such
that
eoo(m) :S dm
for all m 2 mo.
(3.35)
Having fixed an m 2 mo, we apply Lemma 3.51 to the map m and the points
n-m(a) and Q = 00 to obtain a point f3n E -m(oo) satisfying
120

(3.36)
where C 1 = C1 (qr
, 00) depends
only on m and . Hence if we define
then N( , a, E) is the union of N( , a, E, (3) for (3 E -m( 00), so it suffices to prove

that the set N( , a, E, (3) is finite for each (3 E -m (00). Note that if N( , a, E, (3)
is infinite, then (3.34) and (3.36) imply that
lim
nEN(,p,a,E,(3)
p(n-m(a), (3) = O.
(3.37)
n-oo
In other words, n-m(a) approaches (3 in jp'1(C) as n --t 00.

We consider first the case that (3 i- 00. The limit (3.37) tells us that
p(n-m(a), (3) :S
~p((3, 00)
for all but finitely many n E N(, a, E, (3). (3.38)
Note that the inequality (3.38) allows us to apply Lemma 3.53 with x = n-m(a)
and y = (3, which yields
where as usual C 2 > 0 depends only on and m.

We are now ready to repeat the calculation from page 114, but this time done
rigorously to account for the fact that has ramification. As usual, all constants may
depend on and m, but are independent of n:
lanl
from (3.34),
2: p(n(a),oo)
n
2: C3P(n-m(a),(3t",W
2: C4 1n- m(a ) _ (3l
e oow n
>
C5
- H(n-m(a))3e oo(,pm)
>
C6
- H( n(a)) 3e oo(,pm)ld m
C6
>
- H(n(a))'/2
from (3.36),
from (3.39),
Roth's Theorem 3.34 with exponent 3,
from Theorem 3.11, which says that
h(P)
d-mh(m(p))
+ 0(1),
from (3.35),
C6
lanlE/2
ci
/ E is bounded for n E N(, a, E, (3), and the same is true

Hence lanl :S
of Ibnl since Ibnl H E :S lanl, so n(a) takes on only finitely many values for
121
3.8. Integrality Estimates for Pointsin Orbits
n E N(, a, E, (3). But by assumption, a is a wandering point for , so we conclude

that N( , a, E, (3) is finite in the case that (3 - 00.
Suppose now that (3 = 00. Then a similar, but elementary, argument not requiring
Roth's theorem yields
from (3.34),
lanl' 2: p(n(a), 00)
2: C7P(n-m(a), (3t'x(</Jm)
bn -
C (
=
from (3.36),
eoo(</Jm)
Ja;_m + b;_m
definition of p,
- H(n-m(a)roo(</Jm)
definition of height, where note that

bn - m - 0, since a is wandering and
00 is periodic,
>
from Theorem 3.11,
Cs
>
Cg
- H (n(a) roo (</Jm)/d
Cg
>----;-;::-
from (3.35),
- H(n(a))'/6
Cg
Ian \,/6
As above, we conclude that an and bn are bounded, and hence that N( , a, E, 00) is
finite.
We have now proven that N(, a, E, (3) is finite for all (3 E -m(oo), and hence
that N( , a, E) is finite. The finiteness of N( , a, E) is equivalent to the statement
that
log lanl
.,-----,-,-----,< 1+E
for all but finitely many n
log Ibnl -
2:
o.
(3.40)
We now apply the same argument to the rational map 'ljJ(z) = 1j(1/z) and the
point l/a. It is easily verified that 'ljJn(l/a) = bn/a n, so we obtain the complementary inequality
for all but finitely many n
Since (3.40) and (3.41) hold for all
> 0, it follows
2: 0.
(3.41 )
that
lim log lanl = 1

n--->oologlbnl
'
122
3.9 Periodic Points and Galois Groups

In this section we study the Galois groups of the field extensions generated by periodic points of a rational map. Much of the theory is valid for rational maps defined
over an arbitrary perfect field and even for nonperfect fields, as long as is separable and one replaces the algebraic closure tc of K with the separable closure KseP.
For further material on this topic and the more general Galois theory of iterates,
see [3, 179,220,222,310,311 ,345,346,347,425].
Let (z) E K (z) be a rational function of degree d 2 2 with coefficients in a
perfect field K. The periodic points of have coordinates in the algebraic closure k
of K , since they are solutions to equations of the form
More precisely, write = [F, G] using homogeneous polynomials F, G E K[X, Y].

Then
n = [Fn ,Gn]
for homogeneous polynomials Fn , Gn E K[X, Y] of degree d" , and the periodic
points of of period n are the solutions in pI (k) to the equation
o.
Y Fn(X, Y) - XG n(X ,Y ) =
Thus counted with multiplicity, there are exactly d" + 1 such points .
In this section we study the field extensions of K generated by the coordinates
of the periodic points. Recall that if P = [ao, . . . , aN] E pN (k ), then the field of
definition of P over K is the field K (P ) obtained by choosing a nonzero a i and
setting
K (P ) = K
(ao,a
l
ai
a i
, .. . ,
aN ) .
a i
It is easy to see that this field is independent of the choice of the index i.
The Galois group Gal (k/ K ) acts on the points ofpN (k) in the natural way,
u(P ) = [u(ao), dad, ... , u(aN)],

and it is not hard to verify (Exercise 3.47) that
K(P)
= Fixed field of {u
E Gal(k/ K)
: u(P)
= P}.
Recall that the set of n-periodic points of is the set
Some of the points in Per n ( ) may have period that is smaller than n . For example,
Per n ( ) contains all of the fixed points of . This suggests that we look at a smaller
set consisting of the primitive ti-periodic points,
We begin by verifying that both Per n ( ) and Per~* ( ) are Galois-invariant.
123
3.9. Periodic Pointsand Galois Groups
Proposition 3.54. Let ( z) E K (z) be a rational function of degree d. The set of

n-periodic points Per., () and the set ofprimitive ti-periodic points Per~* () are
Galois-invariant sets.
Proof Let (J E Gal(K/ K). Then
((J(P)) = (J((P))
for all points P E JlD 1 (K ),
since is a rational function with coefficients in K. Let PEPer n ( ). Then
so (J(P) E Pern(). This proves that Pern() is Galois-invariant.

Similarly, we see that
which proves that P is a primitive n-periodic point if and only if eJ( P) is a primitive
0
n-periodic point. Hence Per~* () is also Galois-invariant.
Proposition 3.54 tells us that the set of primitive n-periodic points generates a
Galois extension of K. We denote this extension by
Kn,<jJ = K(P: P E Per~*()).

These fields are analogues of the fields generated by roots of unity (cyclotomic
fields), so we call Kn,<jJ the nth dynatomicfieldfor . We denote the Galois group of
the nth dynatomic field by
Example 3.55. Consider the quadratic polynomial >(z) = z2 + 1. The sets of primitive 2nd , 3rd , 4th , and 6th periodic points are given, respectively, by the roots of the
polynomials
*
2(Z) - Z
2
>2(Z) = (Z) _ Z = Z
~(~! ~
>;(z)
*(z)
4
= 4(Z) -
*(z)
:
Z
2(Z) - Z
+ Z + 2,
= z6 + z5 + 4z4 + 3z3 + 7z2 + 4z + 5,
= Z12 + 6zlO + z9 + 18z8 + 4z7 + 33z6 + 8z5

+ 40z4 + 9z3 + 30z2 + 6z + 13,
(6(z) - z)((z) - Z)
(3(Z) - Z)(2(Z) - Z)
= Z54
_ Z53
+ 27z52 -
25z51 + ...
13750z
+ 45833.
As this simple example clearly shows, it is infeasible to study dynatomic fields via
explicit equations except for very small values of n.
124
The Galois group Gn,</J acts on the set of primitive n- periodic points Per~ (),
and it is clearly determined by this action, but except in trivial cases G n,</J cannot
be the full group of permutations ofPer~ ( ). The reason why it cannot be the full
group of permutations is due to the relation
a (i (p )) = i (a (P ))
for all a E Gn ,</J and all P E Per~ ( ) .
Thus the action of a on points in the orbit of P is determined by its action on P. This
suggests that we decompose the action of G n,t/> on Per~ () into its action on the set
of orbits and its action within each orbit.
A nice way to visualize the action of G n,t/> on the points ofPer~ () is to consider
the following picture:
Pr - 1
(Pr-d
2(Pr _d
An element of Gn,</J permutes the orbits, i.e., it permutes the columns, and then
within each column it performs a cyclical shift.
We can write this algebraically by observing that applying a E G n,</J to a point P,
gives a point i(Pk) for a uniquely determined 0 ~ i < n and 1 ~ k ~ r. We
indicate the dependence of i and k on a and j by adopting the notation
Notice that 1r u is a permutation of the set {I , 2, ... ,r }, so we can think of it as an

element of the permutation group Sr . This gives a map 1r : G n,t/> -+ Sr .
Similarly, if we set i u = (iu (1) , i u (2) , . . . , iu(r )), then we obtain a map
We perform a computation to see how i and
(ar)(Pj
1r
interact with one another:
= a(r (Pj ) ) = a(iT(j) (P7rT(j)))

= iT(j )(a (P7rT(j)) )
= iT(j ) (iU ( 7r T (j ) ) p 7rO(7r (j)) )
T
qi
(j )+i (7r (j)) (p(7r

o
07r T
)(j) ) .
From this equation we obtain the two formulas

and
Thus the map
1r :
G n,</J -+ S; is a homomorphism, but the map
(3.42)
3.9. Periodic Points and Galois Groups
125
is not a homomorphism, since it is twisted by the permutation action of S; on

(7Lln7Lr. This is an example of the following general construction.
Definition. Let Sand H be groups, and let A be an index set on which S acts.
For simplicity, we assume that H is an abelian group and we write its group law
additively. The group structure on H makes the collection of maps Map(A, H) into
a group. Thus ifi 1 , i z E Map(A, H), then
There is a natural action of S on the group Map(A, H) via its action on A,
7r: Map(A, H)
-+
Map(A, H),
7r(i)(a) = i(7r(a)).
The wreath product of Hand S (relative to A) is the twisted product of the

groups Map(A, H) and S for this action. In other words, as a set the wreath product
consists of the collection of ordered pairs
Wreath(H, S)
= Map(A, H) x S,
and its group law is defined by twisting the natural group law on the product,
(i 1 ,7rd
* (i z, 7rz) =
(7rz(id +i z, 7r l 7r Z) '
Theorem 3.56. Let E K (z) be a rational function ofdegree d. Let 0 1 , ... , Or be

the distinct orbits in Per~* () and choose a point Pj E OJ in each orbit. For each
a E G n ,</> and each I :::; j :::; r, define integers 0 :::; ia(j) < n and I :::; 7r a (j) :::; r
by the formula
a(Pj ) = irr(j) (P1r rr (j ) '
Let Wreath(7Lln7L, Sr) be the wreath product ofthe symmetric group S; and 7Lln7L
relative to the natural action ofS; on the set {I, 2, ... , r}. Then the map
W: G n ,</>
-+
Wreath(7Lln7L,Sr),
is an injective homomorphism.
Proof In order to show that W is a homomorphism, we need to verify that
Writing this out in terms of the (twisted) definition of the group law on the wreath
product, we need to prove that
This is precisely the formula (3.42) proven above, which shows that W is a homomorphism.
126
Now suppose that W (a) = 1. This means that i a (j)

1 :::; j :::; r, so a(Pj) = Pj. Hence
= 0 and 7ra (j) = j for all
so a fixes every point in Per~* (). Therefore a fixes Kn,r/>, so a

that W is injective.
= 1, which proves
D
The above discussion shows that the Galois group Gn,r/> of the dynatomic extension Kn,r/>/K roughly splits up into two pieces, a permutation piece determined by a
permutation action on the orbits, and a cyclic piece determined by the action within
each orbit. The permutation piece can be quite complicated, but one might hope that
the dynamics of can be used to study the cyclic piece. We now try to make these
vague remarks more precise.
Let
G~,r/>
= Ker(7r: Gn,r/> ---. Sr) = {a
E Gn,r/>: a(Oj)
= OJ for all 1 :::; j:::; r},
and let
K~,r/> = fixed field of G~,r/>'

Then
More precisely, if we fix a particular primitive n-periodic point P E Per~*(), then

the extension K~,q'> (P) / K~,q'> is a cyclic extension of order dividing n whose Galois
group is determined by the homomorphism
i : Gal(K~,r/>(P)/ K~,q'
'-t
Z/nZ,
satisfying
a(P) = i a (P).
(3.43)
This formula gives us some control over the Galois group of the relative abelian
extension K~,r/> (P) / K~,r/>'
Remark 3.57. If L = K(a) is any Galois extension and if a E Gal(L/K) is any

automorphism, then a(a) can always be expressed as a polynomial in a. Thus there
is nothing special, a priori, in the fact that the action of Galois in (3.43) is given by a
polynomial. However, ifwe fix (z) of degree d and take n very large compared to d,
then the extension K~,r/> (P) / K~,r/> is interesting because there is an automorphism a
described by a polynomial (or rational function) of small degree compared to the
degree of the extension.
3.10
Equidistribution and Preperiodic Points
There are many theorems and conjectures concerning the distribution of torsion
points and points of small height on elliptic curves and abelian varieties. In this
section we describe, without proof, some dynamical analogues. For further details,
see Zhang's survey article [453] and the papers listed in its references.
3.10. Equidistribution and Preperiodic Points
127
We begin with the Manin-Mumford conjecture, which asserts that if X is an irreducible subvariety of an abelian variety A such that X n A tors is Zariski dense in X,
then X is a translate by a torsion point of an abelian subvariety of A. The original
Manin-Mumford conjecture was proven by Raynaud [367, 368]. Replacing torsion
points by preperiodic points leads to a dynamical conjecture, where the dynamical
analogue of a translate of an abelian subvariety of A is a preperiodic subvariety oflP'N
as in the following definition.
Definition. Let : IP'N
----* IP'N be a morphism. A subvariety X C IP'N is a periodic

variety for if there is an integer n ::::: 1 such that n(x) = X. The subvariety is a
preperiodic variety for if m(x) is periodic for for some m ::::: O.
Conjecture 3.58. (Dynamical Manin-Mumford Conjecture) Let : IP'N

a morphism defined over C and let X C IP'N be a subvariety. Then
X
is Zariski dense in X
----*
IP'N be
n PrePer( )
if and only if the subvariety X
is preperiodic for .
The set of torsion points on an elliptic curve E, or more generally an abelian

variety, is equidistributed with respect to the natural (Haar) measure on E(C). More
precisely, we identify E(C) = C/ L as described in Section 1.6.3, and then for any
open set U C C lying in a fundamental domain for E(C) we have
. #(E[n] n U)
}~
#E[n]
Area(U).
A deeper equidistribution result of an arithmetic nature says that the Galois conjugates of torsion points are equidistributed. In order to state a dynamical analogue for
morphisms : IP'N ----* IP'N, we need a 4>- invariant measure on IP'N (C) as described in
the following proposition.
Proposition 3.59. Let : IP'N
----* IP'N be a morphism of degree d defined over C.

There is a unique probability measure f-L on IP'N (C) satisfying
and
We call f-L the canonical -invariant probability measure on IP'N (C).
Proof For a general construction that covers both archimedean and nonarchimedean
base fields, see [453]. We also mention a standard result in dynamics (the KrylovBogolubov theorem [226, Theorem 4.1.1]), which says that any continuous map
: X ----* X on a metrizable compact topological space X admits a Borel probability
measure f-L satisfying * (f-L) = f-L, i.e.,
f-L ( -1 (A)) = f-L (A)
for every Borel-measurable subset A of X.
128
For the remainder of this section we fix an algebraic closure Q ofQ and an embedding Q '---+ Co So when we speak of a number field K and its algebraic closure K,
we assume that they come with compatible embeddings into Co
Definition. Let KjQ be a number field. For any algebraic point P E lP'N(K),
let C(PjK) denote the set of Galois conjugates of P, i.e.,
C(PjK) = {a(P) E lP'N(K): a E Gal(KjK)},

and let
op denote the Dirac measure on lP'N (C) supported at P,

s
(U)={l
ifPEU,
if P ~ U.
We associate to P E lP'N (K) the discrete probability measure
1
Itp
= #C(PjK)
I:
oQ
QEC(PjK)
supported on the Galois conjugates of P.

Definition. Let KjQ be a number field and let PI, P2 , P3 , ... E lP'N (K) be a sequence of points with algebraic coordinates. Fix a probability measure It on lP'N (C).
We say that the sequence {Pd c- I is Galois equidistributed with respect to It if the
sequence of measures J-tPi converges weakly' to J-t.
We are now ready to state a dynamical equidistribution conjecture for Galois
orbits of preperiodic points on lP'N, and more generally for points of small height.
Conjecture 3.60. (Dynamical Galois Equidistribution Conjecture) Let KjQ be a
numberfield, let : lP'N ---. lP'N be a morphism ofdegree d ~ 2 defined over K, and
let PI, P2 , P3 , ... E lP'N (K) be a sequence of distinct points such that no infinite
subsequence lies entirely within a preperiodic subvariety of lP'N.
(a) If H, P2 , P3 , ... E PrePer( ), then the sequence {Pdi:2:1 is Galois equidistributed in lP'N (C) with respect to the canonical d-invariant probability measure J-t.
(b)
If lim.,., h(Pi) =
00
0, then the sequence {Pdi:2:1 is Galois equidistributed
in lP'N (C) with respect to the canonical -invariant probability measure It.
It is clear that Conjecture 3.60(b) implies Conjecture 3.60(a), since preperiodic

points have canonical height equal to O. A version of the conjecture is known provided that the sequence of points satisfies a somewhat stronger Zariski density condition as in the following theorem.
3Recall that a sequence of measures J.Li on a compact space X converges weakly to J.L if for every
Borel-measurable set U, the sequence of values J.Li(U) converges to J.L(U) as i -+ 00.
3.11. Ramification and Units in Dynatomic Fields
129
Theorem 3.61. (Yuan [450]) Let : JIDN ----+ JIDN be a morphism of degree d 2: 2
defined over K and let P1 , P2 , P3 , . .. E JIDN (K) be a sequence ofpoints satisfying
the following two conditions:
(a) Every infinite subsequence of {Pi }i>l is Zariski dense in JIDN.
(b) hq,(Pi ) ----+ 0 as i ----+ 00.
(In the terminology of [453], sequences with property (a) are called generic and
sequences with property (b) are called small.) Then the sequence {Pdi>l is Galois equidistributed with respect to the canonical o-invariant probability measure !Lq,
onJIDN(C).
Proof The proof is beyond the scope of this book. See Yuan [450] for a general version over archimedean and nonarchimedean base fields and algebraic dynamical systems on arbitrary projective varieties. Earlier results and generalizations
are given by Autissier [15, 16], Baker-Ih [24], Baker-Rumely [28], ChambertLoir [98], Chambert-Loir-Thuillier [99], Favre-Rivera-Letelier [169] and SzpiroUllmo-Zhang [432].
0
The classical Bogomolov conjecture, which says that sets of points of small
height on abelian varieties lie on translates of abelian subvarieties, was proven by
Ullmo [435] and Zhang [452]. We state a dynamical analogue.
Conjecture 3.62. (Dynamical Bogomolov Conjecture) Let : JIDN ----+ JIDN be a
morphism of degree d 2: 2 defined over a number field K and let X C JIDN be an
irreducible subvariety that is not preperiodic. Then there is an f > 0 such that the
set
{p
X(K): hq,(P) < f}
is not Zariski dense in X.

Notice that Conjecture 3.62 implies Conjecture 3.58, since the set of points
with h(P) < E includes all of the preperiodic points.
Finally, in closing this section, we mention that canonical invariant measures
have been constructed on Berkovich spaces; see Remark 5.77 and the references
listed there.
3.11 Ramification and Units in Dynatomic Fields

In Section 3.9 we used periodic points to construct field extensions Kq"n and studied
their Galois groups. We now take up the question of the arithmetic properties of these
algebraic number fields. In general, the three basic questions that one would like to
answer about a given number field are these: Where is it ramified? What is its ideal
class group? What are its units? In addition, one wants to know how the Galois group
acts on ideal classes and on units. In this section we provide partial answers to the
question of ramification and units for dynatomic fields.
We first recall the classical case of cyclotomic extensions, which provide a model
for the dynatomic theory. Let (is a primitive nth root of unity and a E Gal(Q/Ql).
Then
130
IT(( ) =
(i(a)
fora unique jfo] E (7L./ n7L.)* .
This defines an isomorphism
j : Gal(Q (( )/ Q )
-----t
(Z/ nZ)*,
IT t------t
j (IT ),
expres sing the action of IT on Q(() as a polynomial action I/>(z) = zi . Now let p be a
prime not dividing n , let p be a prime of Q (() lying above p, and let ITp E Gal(Q / Q )
be the corresponding Frobenius element. The definition of Frobenius says that
IT p ( () == C/
(mod p).
(3.44 )
However, the n th roots of unity remain distinct when reduced modulo p, so the congruence (3.44) implies an equality in Q((),
IT p ( () = (P.
This exact determination of the action of Frobenius as a polynomial map on certain
generating elements ofQ(() is of fundamental importance in the study of cyclotomic
fields .
To some extent, we can carry over the analysis of Q(() to dynatomic fields , although the final results are not as complete as in the classical case . Let p be a prime
ideal of the ring of integers of K g,n' let p be the residue characteristic of p, and
let q be the norm of p. We assume throughout that p f n. Choose a prime ideal liJ
in K g,n(P) lying above p. Assuming that p does not ramify in Kg,n(P), the associated Frobenius element ITp is determined by the condition
ITp(a)
== a q
(m od
liJ)
for all a in the ring of integers of Kg,n(P), On the other hand , by construction the
action of ITp on P E Per~* (I/ is given by by formula
The next proposition allows us to characterize the primes at which the extension
K g,n(P)/ K g,n may be ramified.

Proposition 3.63. Let K be a number field, let I/> E K (z) be a rational map of
degree d 2: 2, let P E Per~* (I/> , K) be a point in pI (K) ofexact p eriod n, and let p
be a prime ofK satisfying the following three conditions:
I/> has good reduction at p.

p does not divide n .
If A<f> (P ) i- 1, then p does not divide A<f> (P ) - 1.
Then
P mod p has exact p eriod n . In particular, the set

{p : P mo d p has p eriod strictly less than n }
is a finite set ofprimes of K.
(3.45)
(3.46 )
(3.47)
131
Proof Let p be a prime of K satisfying (3.45), (3.46), and (3.47). Let m be the exact
period of F and let r be the order of AJ,(F) in lF~. Theorem 2.21 tells us that either
n = m or n = mr, since (3.46) rules out powers of p appearing in n. If Aq,(P) = 1,
then also AJ,(F) = 1, so r = 1 and n = m. On the other hand, if Aq,(P) i= 1,
then (3.47) tells us that
But AJ,(Ft
= i
by definition of r, so nlm cannot equal r. Hence n
III
all cases, which shows that F mod p has exact period n for all primes p satisfying (3.45), (3.46), and (3.47). This proves the first part of the proposition, and since
each of the three conditions is satisfied for all but finitely many primes, the second
~~~R
Corollary 3.64. Let K be a number field, let c/>( z) E K (z) be a rational map of
degree d 2: 2, and let Kn,q, be the nth dynatomic field for c/>. Let S be the set of
primes p of K such that either c/> has bad reduction at p or p divides n or p divides
the quantity
II
(Aq,(P) -1).
(3.48)
PEPer~*(q,)
Aq,(P)#l
Then Kn,q,1 K is unramified outside ofS.

Proof The field extension Kn,q,1 K is generated by the points of Per~* (c/. Proposition 3.63 tells us that if p ~ S, then those points remain distinct when reduced
modulo primes lying over p. Hence the extension Kn,q,1 K is unramified at p.
D
Example 3.65. We continue studying the quadratic polynomial c/>(z) = z2 + 1 from
Example 3.55 (see also Example 2.37). The polynomial c/>(z) has everywhere good
reduction, so if we assume for the moment that none of its periodic points have
multiplier equal to 1, then the quantity (3.48) in Corollary 3.64 is equal to
II
(Aq,(OO) -1)
q,~(a)=O
II
((c/>n),(oo) - 1)
= Res(c/>~(z),
(c/>n),(z) - 1).
q,~(a)=O
Denoting this resultant by D. n (c/> ), it is not hard to compute the values of D. n (c/ for
small values of n. We obtain
D.2(c/ = 72 ,
D.3(c/ = (33 . 11)3,
D.4(c/ = (32'11 . 1341)4,
D.5(c/
= (33.7.83.331.140869)5,
D.6(c/ = (34.5.7.23.73.223.2251. 347495839)6.
132
The field K rjJ,2 is generated by the roots of 2 (z) = z2 + z + 2, so we have

explicitly KrjJ,2 = K( A). For higher values of n, we can check the primes
dividing I::i. n ( ) by computing directly the discriminant of the polynomial ~(z),
whose roots generate KrjJ,n/K. Thus for example, Disc(j) = _3 6 . 113 and
Disc(4') = 34 .11 4 .13 3.41 4 .
The local theory of units described in Section 2.7 allows us to construct units (or
at least 8-units) in dynatomic fields Kn,rjJ and their composita. For convenience, we
make two definitions.
Definition. Let 8 be a finite set of places of K and let L / K be a finite extension.

We say that u E L is an 8-unit ifit is an 8 L -unit, where 8 L is the set of places of L
lying over 8.
Definition. Let (z) E K(z) be a rational map. We write 8rjJ for the set
8rjJ =
M'K U {primes at which has bad reduction}.
Thus has good reduction at all primes in the localized ring Rs. In particular, if
(z) =aozd+,.+ad
is a polynomial, then the finite primes in 8rjJ are the primes where some a; is nonintegral together with any primes for which ao is not a unit.
Having set this notation, we now state globalized versions of the dynamical unit
theorems from Section 2.7.
Theorem 3.66 (Global version of Theorem 2.33). Let (z) E K[z] be a polynomial of degree d 2': 2, let 0: E Per~* () with n 2': 2, and fix integers i and j
satisfying gcd(i - j, n) = 1. Then
i(o:) - J(0:)
(o:) - 0:
is an 8rjJ-unit in KrjJ,n'
For the next result, we recall that the cross-ratio of four points Pi, P2 , P3 , P4
in lP'1 is the quantity
Theorem 3.67 (Global version of Theorem 2.34). Let ( z) E K (z) be a rational

function ofdegree d 2': 2, let P E Per~* (), andfix integers i and j satisfying
gcd(j, n)
Then
is an SrjJ-unit in KrjJ,n'
= gcd(i - 1, n) = gcd(i - i, n) =
1.
133
Theorem 3.68 (Global version of Theorem 2.35). Let (z ) E K (z) be a rational

function ofdegree d ;::: 2, let m and n be integers with m 1n and n 1m, and let
= [x, y] E Per;; ()
Q = [x', y'] E Per~* ( ) .
and
Denote by S p the set ofplaces

Sp
{v E M~ : v(x)
> 0 and v (y ) > o}
U {v E M~ : v (x )
< 0 or v (y ) < o} ,
and similarly for S Q. Then

x y' - x' y
is an (8</> U Sp U SQ) -unit in the compositum K </> ,mK</> ,n.
Theorems 3.66, 3.67, and 3.68 allow us to construct many S-units in dynatomic
fields K </> ,n and their composita K</> ,mK</> ,n. Further, since Gal(K</>,n / K ) frequently
contains an element a</> whose action on points P E Per~* () is characterized by the
equation a</>(p) = (P), we obtain a partial description of the action of the Galois
group on the dynamical units. For example, the units in Theorem 3.67 transform via
We compare this to the construction of cyclotom ic units in cyclotomic fields.

Let q be a prime power and let ( be a primitive qlh root of unity. Then the cyclotomic
field Q( () contains the units
for 2
< i ::; q; 1 with gcd(i , q).
The Galois group Gal (Q(() /Q) is the set of elements a t characterized by
at (()=(t
withO <t <qand p l t.
The action of the Galois group on the cyclotomic units is given by the explicit formula
at
( _ 1 -- ~
(t - 1 .
( ~)
Further, the cyclotomic units generate a subgroup of finite index in the full group of
units Z [(]*, and the index of this subgroup is related to the class number ofQ(() .
The situation for dynatomic fields is not nearly as complete. One problem is that
the dynatomic fields K </> ,n tend to have very large degree over K , so the dynamical
unit theorems cannot produce enough units to give a subgroup of finite index in the
full unit group . Further, the Galois group Gal( K </> ,n/ K ) is usuall y huge, and we have
an explicit description only of the subgroup generated by the element a</> . However,
since for general number fields there is no known way to systematically produce any
units with any explicit Galois action, the dynatomic construction might be said to fall
under the heading of "half a loaf is better than none."
134
Example 3.69. Consider the rational map
(z) = Z2 - 4.
After some algebra, we find that
( Z) - Z = Z2 - Z - 4,
2(Z) - Z
2
(Z)-Z =Z +z-3,
3(Z) - z
= (Z3 - Z2 - 6z + 7)(Z3 + 2z2 - 3z - 5).
(z) - z
-'--:--:-'~-
It is not hard to check that ( z) - z divides n(z) - z for all n 2: 1 (Exercise 1.19(a,
but the further factorization of 3 (z) - z into a product of cubics is less common;
see Exercise 3.49. Ifwe let a, (3 E C satisfy
a 3 - a 2 - 6a + 7 =
and
then we have
Peri*()
= {I 2vTI } ,
Peri*()
Per;*()
= { -1 ~
vTI},
= {a,(a),2(a),(3,((3),2((3)},
where we recall that Per~* () denotes the set of points of exact period n for .
Let K = iQ(a). The polynomial z3 - z2 - 6z + 7 is irreducible over iQ, but it
factors completely in K since its roots are a, (a), and 2(a). Hence K is Galois
over iQ with Galois group generated by the map (Y determined by (Y(a) = (a).
Notice that the discriminant of Z3 - z2 - 6z + 7 is 192 , again confirming that its
roots generate a cyclic cubic Galois extension. Further, Z[a] must be the full ring of
integers RK of K, since
(Note that K
=I- iQ, so Disc(KjiQ) > 1.) Then the fact that 19 is prime forces
R K =Z[aJ.
We apply Theorem 3.66 with i = 2 and j = 1 to obtain the unit
It is easy to check that N K / IQ (uI) = 1, confirming that

i = 2 and j = agives the unit
Ul
is a unit. Similarly, taking
Exercises
135
In this case, N K / Q (U2 ) = -1.

The field K is totally real of degree 3, so its unit group R'K has rank 2. It is not
hard to see that the two units Ul and U2 are independent, so they at least generate a
subgroup of finite index. (In fact, {-I, Ul, U2} generates the full unit group R'K, but
we leave the verificationof this fact to the reader.) We can compute the action of the
Galois group on Ul and U2,
a(ud = a(0:2 +
a(u2) = a(0:2 +
0: 0: -
4) = (0:)2 + (o:) - 4 =
3) = (0:)2 + (o:) - 3 =
0:
0:
4
4
70: 2 + 8 =
70: 2 + 9 =
-0:
+ 1,
-0:
+ 2.
These new units are related to the original units by

and
Using points of period 2 and 3 for , we can create units in larger fields. Thus let
L = K( v'13). Then L contains both 0: and the points in Per~* (), so Theorem 3.68
with nl = 2 and n2 = 3 says that
U3
<rt :
with
0:
-1 + v'13
,= ---2
is a unit in the ring of integers of L. If we take the norm from L down to K, we

find that N L / K (U3) = U2 is one of the units that we already discovered. Similarly,
NL/K('y - (o:)) = -0: + 2.
If instead we compute the norm of U3 from L down to Q('y), we find using
+ , _ 3 = 0 that
,2
NL/Qhl('y-o:)=, - , -6,+7=-,+1=
3-v'13
2 .
This unit and -1 generate the unit group of the ring of integers of Q( V13).
For additional information about cyclic cubic extensions generated by periodic
points of polynomials, see [306], and for a general analysis of units generated by
3-periodic points of quadratic polynomials, see [313, Section 8].
Exercises
Section 3.1. Height Functions
3.1. Show that theconstant C(d, N, D) inConjecture 3.15 must depend oneach ofthe quan-
tities d, N, and D bygiving a counterexample if any one of them is dropped.

3.2. Let
v(B) = #{P E lP'N (Q) : H(P)
:s: B}.
(a) Find positive constants ci and C2 such that

c1B N + 1 < v(B) < c2B N + 1
for all B
1.
136
Exercises
(b) For N
= 1, prove that
lim v(B)
B~oo
B2
12.
71'2
(c) More generally, prove that the limit limB~oo v(B)/ B N + I exists and express it in terms
of a value ofthe Riemann (-function.
3.3. Prove that
#{ P E jp'N (Q) : H(P)
< Band D(P) < D} ::; (12D)N 2ND B N D(D+I).

2
Aside from the constant, to what extent can you improve this estimate? In particular, can the
exponent of B be improved?
3.4. Let F(X) = aoX d + alX d- 1
factor F(X) as
F(X)
+ ... + ad E
= ao(X
Q[X] be a polynomial of degree d, and
- QI)(X - (2) ... (X - Qd)
over the complex numbers. Prove that
T dH(QI)'" H(Qd) ::; H([ao, al, ... , ad]) ::; 2dH(QI)'" H(Qd)'
(Hint. Mimic the proof of Theorem 3.7 for the upper bound. To prove the lower bound, for
each v pull out the root with largest IQilv and use induction on the degree of F.) Can you
increase the 2- d and/or decrease the 2d ?
3.5. Prove that the number of (N
io, ... .i
+ l l-tuples (io, ... ,iN) E ZN+I of integers satisfying

and
io + ... + iN = d
:2: 0
is given by the combinatorial symbol (N;td). Note that this is equal to the number of monomials of degree d in the N + 1 variables Xo, ... , XN.
Section 3.2. Height Functions and Geometry
3.6. Let : jp'2 --; jp'2 be the rational map (X, Y, Z) = [X 2 , y 2 , X Z]. Although is not
defined at [0,0,1], we can define Per(, jp'2) to be the set of points satisfying n(p) = P for
some n :2: 0 and i (P) i- [0, 0, 1] for all a ::; i < n. Prove that Theorem 3.12 is false by
showing that Per(, jp'2 (Q)) is infinite. What goes wrong with the proof? Try to find a "large"
subset S ofjp'2 such that Per(, S(K)) is finite for every number field K.
3.7. Let K/Q be a number field, let P = [xo, . . . ,XN] E jp'N (K), and let b be the fractional
ideal generated by Xo, ... , XN . Prove that
3.8. Let K/Q be a number field and let (z) E K(z) be a rational map of degree d
Recall that the height H () is defined by writing
:2:
2.
= [F(X, Y), G(X, Y)] = [aoXd + alX d- 1 + ... + adyd, boX d + ... + bdyd]
and setting H() = H([ao, ... ,ad,bo, ... ,bdl). (See (3.4) on page 91.) Prove that there are
positive constants CI(d) and C2 (d) such that
forallP E jp'1(K).
Find expressions for CI and C2 in terms of d. This gives an explicit version of Theorem 3.11
for jp'l.
Exercises
137
3.9. Let <t>c(z) = Z2 + c.

(a) Prove that there are infinitely many e E Q such that cPc has a Q-rational fixed point.
(b) Prove that there are infinitely many e E Q such that cPc has a Q -rational point of exact
period 2.
(c) Prove that there are infinitel y many c E IQi such that cPc has a Q -rational point of exact
period 3.
(d) Prove that there are no e E Q such that cPc has a Q-rational point of exact period 4.
3.10. Let d 2: 2 and let cPd(Z)

Zd. Prove that there is an absolute con stant c such that for
all number fields K / Q of degre e n we have
#PrePer(cPd, jp' I(K )) :::; e[K: Q ]log log ([K : Q J) .

Prove that aside from the constant, this upper bound cannot be improved. (Hint. You will need
the fact that the Euler totient function <.p satisfies <.p( m) :::; em j log log m ; see for example [11,
Theorem 13.14].)
In particular, the uniform boundedness conjecture (Conjecture 3.15) is true for cPd. This
is one of the few maps for which the conj ecture is known . The other s are the Chebyshev
polynomials and Lattes maps; see Theorem 6.65.
Section 3.4. Canonical Heights and Dynamical Systems

3.11. Let cP : jp'N ---> jp'N be a morphism defined over K , let
automorphism oflP'N, and let cP f = I-I 0 cP 0 f. Prove that
E P GLN+l (K) be an
N for all P E lP' (K) .
Thus the canonical height is conjugation-invariant , i.e., it is independent of change of coordinates.
3.12. Let cP,7j; : IP'N ---> IP'N be morph isms of degree at least two that commute with one
another, i.e., cP (7j; (P )) = 7j; (<t>(P) ) for all point s P E IP'N (Q). Prove that
N -
for all P E IP' (Q) .
3.13. Let cP : ]P'N ---> ]P'N be a morphi sm of degree at least two defined over a number field K
and let P E IP'N (k) have the property that
(')<jJ(U(P)) n (')<jJ(p):I= 0 for all rr E Gal(k jK).

Prove that either P is preperiodic for cP or else there is some point in the orbit of P satisfying cPn (P) E IP'N (K). Is this result true if instead KjQp is a p-adic field?
3.14. In the setting of Theorem 3.20, suppose that the set S is a topological space and that the
maps cP : S ---> Sand h : S ---> ~ arc cont inuous maps. Prove that h : S ---> ~ is also a continuous map . (Hint. Show that the functio~s h", (P) = d: " h (cP m(P)) for m = 1,2, 3, .. . are
continuous and converge uniformly to h.)
3.15. Let h</> be the canonical height for cP(z) = Z2 + c. For any given e E Q , there is a
minimum nonzero value for h<jJ (z) as z ranges over nonpreperiodic points in Q . Find that
minimum value for:
(a) e = O.
Exercises
138
(b) c = -2.
(c)c=-1.
(d) ** arbitrary c E Z.
(e) ** arbitrary cEQ.
(Hint. Try to do (a), (b), and (c) directly, but we note that it is easier to do them using the
theory oflocal canonical heights for polynomials; see Exercises 3.24 and 3.28. For (d) and (e)
the goal is to describe the minimum value of h in tenus of c.)
3.16. Let (z) = Z2 - 1 . Analyze the canonical height for points in the following sets.
(a) 8( 00), the attracting basin of 00, where we recall (Exercise 2.1) that the attracting basin
of 00 for a polynomial rjJ is the set
8(00) =
{a E C:
lim rjJn(a) =
n~oo
oo} U [oo}.
(b) F" 8 (00). (Note that all ofthe points in this set are eventually attracted to the attracting 2-cycle 0
..!.-..
-1.)
(c) .:T.
(See also Exercise 3.27.)
3.17. Let rjJ : IP N ---+ IP N be a morphism defined over a number field K, and for any point
P E IP N (K), let D(P) = [K(P) : Q]. Prove that there is a constant C = C() > 0 such
that
11,
(P)
> dC D1( P ) 2
for all P E IPN(K) with P
d
'F
PrePer(A..).
'f/
(Hint. Use the estimate for the number of points of bounded degree and height given in Exercise 3.3.) This is a very weak version of the dynamical Lehmer Conjecture 3.25.
3.18. ** Let cEQ with c # 0, -2 and let rjJ(z) = z2+ c. Prove that there exist K = K(C)
and N = N(c) > 0 such that
K
h(a) 2: [Q(a) : Q1N
>0
for all a E Q with a tf- PrePer( rjJ).
(This is not currently known for any value of c other than c = 0 and c = - 2.)
3.19. Let a E Q* and let
f(x)
= aox d + a1x d- 1 + ... + ad E Z[x]
be the minimal polynomial of a, normalized so that ao

Factor f(x) over Cas f(x) = ao TI(x - ai). Prove that
H(a)d = ao
>
0 and gcd(ao, ... , ad)
1.
II max{ 1, lail} = 11 10glf(e27rio)IdB.

d
i=l
The quantity H(a)d, or equivalently HQ(a)(a), is also known as the Mahler measure ofa and
denoted by M(a). Lehmer's conjecture (Conjecture 3.24) can be stated in tenus of Mahler
measure: There is an absolute constant K > 1 such that if a E Q* is not a root of unity, then
M(a) >
K.
Exercises
139
3.20. Let (z) E Q(z). Write a program to estimate h(a) directly from the definition.
Use your program to compute the following heights to a few decimal places. (See also Exercises 3.30 and 5.31.)
(a) (z)=z2-1anda=~.
(b) (z) = Z2 + 1 and a = ~.
(c) (z) = 3z 2 - 4anda = 1.
1
(d) (z)=z+-anda=1.
(e) (z) =
3z 2
Z2 _
3.21. Let (z) =
1
1 and 00= 1.
Z2 -
+ 1. The -orbit of the point 2 is called Sylvester's sequence [428],
CJ(2) = {2,3, 7,43,1807,3263443,10650056950807,

113423713055421844361000443, ... }.
(a) Prove that Sylvester's sequence satisfies
n+l(2) = 1 + O(2)1(2)2(2)3(2) ... n(2).
(b) A rough approximation gives h(2) ~ 0.468696, so n(2) is approximately equal to
2.
e.468696n
Prove a more accurate statement by showing that
n = 0,1,2, ... ,
is positive, strictly increasing, and converges to ~. (Hint. First conjugate (z) to put it
into the form Z2 + c.)
2
(c) Deduce that there is a real number H such that n(2) is the closest integer to H" for
all n 2 O. Note that this is far stronger than the general height estimate
3.22. Let 8 > 0, let d 2 2 be an integer, and let (xnk:>o be a sequence of positive real
numbers with the property that
Xo
> 1+8
(a) Prove that the sequence

(b) Prove that the limit
and
Xn
is strictly increasing and that

H
lim
x;jd
X n ---. 00
as n ---.
00.
n~oo
exists. (Hint. Take logs and use a telescoping sum to show that the sequence is Cauchy.)
(c) Prove that
n2
I
8
IH - X n ::; d _ 1 for all n 2 O.
3.23. Let d
2 2 and let (z) E Z[z] be a monic polynomial of degree d, say

(z)
zd + az d- 1
+ ...
Z[z].
Prove that for every E > 0 there is a constant C = C(, E) such that for all a E Z satisfying 1001 2 C we have
for all n 2 O.
Exercises
140
Section 3.5. Local Canonical Heights
The general theory oflocal canonical heights is developed in Section 5.9. However, the theory becomes much simpler if 1> is a polynomial, because the local canonical height then has
a simple limit definition similar to the limit used to define the global canonical height. Exercises 3.24-3.30 ask you to develop some of the theory oflocal canonical heights for polynomials.
3.24. Let 1>(z) E K[z] be a polynomial. Prove that the limit
(3.49)
exists and that the resulting function has the following two properties:
(a) For all a E
tc.,
(b) The function
1---+
>-,v(a) -logmax{lalv, I}
is continuous on tc, and has a finite limit as lal v -+ 00.

Hence the function defined by (3.49) is a local canonical height as described in Theorem 3.27.
Prove that the (global) canonical height is equal to the sum of the local heights,
h(a) =
nv>-,v(a).
vEM K
3.25. Let 1>(z) E K[z] be a polynomial and let v be an absolute value on K. Prove that the
local height >-,v as defined by (3.49) has the following properties.
(a) >-,v(a)~OforallaEKv.
(b) >-,v (a) = a if and only if In (a) Iv is bounded, equivalently, if and only if a is in the
v-adic filled Julia set K; (1)) of 1> (see Exercise 2.1).
3.26. Let 1>(z) E qz] be a polynomial with complex coefficients and let B(oo) be the
attracting basin of 00 for 1>. (See Exercises 2.1 and 3.16 for the definition of B (00).) Prove
that the local height
>- : ([ -+ IR
as defined by (3.49) has the following properties:
(a) >- is a real analytic function on B( 00) -, {oo}.
(b) The function >- is harmonic on B (00) -, {00}. In other words, writing z
function >- is a solution to the differential equation
= x + iy, the
on the open set B (00) -, {oo}. It satisfies the boundary conditions that >- vanishes on
the boundary of B (00) and has a logarithmic singularity at z = 00, i.e.,
>-(z) -log Izi
is bounded as z
-+
00.
(c) >- is the unique function that has the properties described in (b).
In classical terminology, the function >- is the Green function for the filled Julia set lC()
jp'1(iC) -, B(oo).
Exercises
141
3.27. Let 4>(z) = Z 2 - 1. Analyze the local canonical height '\ ",.v for points in:
(a) the attracting basin B1> (00) of 00.
(b) F1> " B1' (oo).
(c) :1",.
(See also Exercise 3.16 .)
3.28. Let 4>(z ) E Z[z] be a monic polynomial of degree d ~ 2 and let a

rational number written in lowest terms. Prove that
= alb
E Q be a
with equality if and only if a is in the filled Julia set K:(4 of 4>.
3.29. Let K IQ be a number field and let 4>(z) E K (z ) be a ration al map of degree d ~ 2.
For each finite place v E M~ , write 4>(z) = Fv(z)/Gv(z) as a ratio of polynomials that are
normalized for v, i.e., the coefficients of F; and G are v-adic integers and at least one coefficient is a v-adic unit. Let ,\~~': be the local canonical height, as described in Theorem 3.27,
normalized using G in (3.16).
(a) Prove that ,\~~': is well-defined, independent of the decomposition 4>(z ) as a ratio of vnormalized polynomials. For nonarchimedean places v this serves to pin down a specific
function ,\,': that depend s only on 4> and v (cf. Remark 3.28).
(b) Give an example to show that it may not be possible to write 4>(z )
F (z )/G(z ) such
that F and G are simultaneously normalized for all finite places v E M~ .
(c) More generally, prove that every 4> E K (z ) can be written as F(z )/G (z ) with F and G
simultaneously normalized for all finite places v E M~ if and only if K has class
number 1.
3.30. Suppose that

function
4>( z) E K (z) has good reduction at a finite place v E M K. Prove that the
'\,v(a ) = log max{ lal v , 1}
for a E K;
is a local canonical height by showing that it has the required propertie s,

Section 3.6, Diophantine Approximation
3.31. Prove Dirichlet's Theorem 3.33, which says that for every a E lR" Q there are infinitely
many x] y E Q satisfying
I~ -al ~
y\'
(Hint. Look at the numbers ya - LyaJ for 0 ~ y ~ A. They all lie in the interval [0,1].
Divide the interval into A equal pieces and use the pigeonhole principle.)
3.32. Let B be a nonzero integer.
(a) Prove that every solution (x , y) in integers to the equation
(3.50)
<
satisfies max l jz ], Iyl }

J4B13. (Hint. The polynomial X 3 +Y3 factors in Q[X, Y]. )
(b) Try to find an explicit upper bound for max{ lx l, Iyl } for the similar-looking equation
X 3 + 2y 3 = B. The difficulty you face illustrates the fact, seen during the proof of
Theorem 3.35, that the equation G(X , Y ) = B is relatively easy to solve if G(X , Y )
has distinct factors in Q [X, Y ], but very difficult if it does not.
Exercises
142
(c) Find all solutions in integers x ~ y to the equation (3.50) for the following values of B :
(i) B = 2. (ii) B = 91. (iii) B = 728. (iv) B = 1729.
Section 3.7. Integral Points in Orbits

3.33. Let ( z ) = z + 1/ z and write n (1) = an I bn in lowest terms as in Example 3.50.
(a) Prove by a direct computation that there are constants c, c' > 0 such that
C
log an
<
-- < c
- logb -
for all n
>
2.
-
(b) Try to prove directl y that log an f log bn ---> 1 as n ---> 00.
(c) Prove that n( l) ---> 00 as n ---> 00. (Notice that 00 is a rationally indifferent fixed point,
since ' (00) = 1.)
3.34. Let c E Z be a squarefree integer and let e (z) = z + c] z . Further, let a E Q be a
wandering point for e.
(a) If 1 - 4c is not a perfect square, prove that # (0</>(0') n Z) ~ 2.
(b) Ifl -4c = d2 is a perfect square, prove that # (O</>(O')nZ) ~ 2 unless a
in which case there are three integer points in the orbit.
= (-Id)/2,
3.35. Let (z) E Q(z) be a rational function of degree d ~ 2 such that 2 is not a polynomial. Suppose that has everywhere good reduction and that ( (0) = 00. Let a E Q be a
wandering point for . Prove that
# (O<b(O')nZ) < 2d-1.

Show that this is sharp for d
= 2. Try to improve the bound for larger values of d.
3.36. Let (z) E Q(z) be a rational function of degree d ~ 2, let a E Q be a wandering

point for , and write n (O' ) = an/ bn E Q as a fraction in lowest terms.
(a) Suppose that there is a nonzero integer B such that bnlB for infinitely many n. Prove
that 2( Z) E Q[z]. (Hint . Make a change of variables and apply Theorem 3.43.)
(b) Suppose that there are infinitely many n such that bn Ibn + 1 . Prove that either 00 is a fixed
point of or else 2(Z) E Q[z].
3.37. Let (z) E iC( z) be a rational function of degree d. This exercise gives a quantitative
strengthening of Proposition 3.44.
(a) Let P be a nonperiodic point for . Prove that
for all n
O.
(b) Let P be a fixed point of that is not totally ramified. Prove that
#-n(p) ~ d n -
+2
for all n
2.
(c) Generalize (b) to the case that P is a periodic point for of exact period m under the
assumption that '"' is not totally ramified at P .
Use (a), (b), and (c) to deduce that if is not a polynomial map, then
#- n( p)
if either
n ~ 4
{ n ~ 3
and
d = 2,
and
3.
Exercises
143
3.38. Let K/Q be a number field, let S C MK be a finite set of absolute values on K, and
let Rs be the ring of S-integersof K. Let ( z) E K (z) be a rationalfunction of degree d ~ 2
with 2(Z) .;. K[z], and let 0: E K be a wanderingpoint for . Prove that
01>(0:) n Rs
is a finite set. (This exercise generalizes Theorem 3.43.)
3.39. Let K be a number field, let S C M K be a finite set of absolute values on K that
includes all the archimedean absolute values, and let Rs be the ring of S-integers of K. Let
(z) E K(z) be a rational function of degree d ~ 2 satisfying 2(Z) .;. K[z].
(a) Let n = 4 if d = 2 and let n = 3 if d ~ 3. Prove that the set
{o
K: n(o:) E Rs}
is finite.
(b) Give an examplewith (n, d) = (3,2) and oo nonperiodicfor such that the set in (a) is
infinite.
(c) Same question as in (b) with n = 2 and d arbitrary.
(d) Repeat (b) and (c) with oo a fixedpoint of .
3.40. Let l, ... ,r E Q( z) be rational functions of degree at least 2, and let be the collection of rational functions obtained by composing an arbitrary finite number of l, ... , r.
Note that each i may be used many times. For example,if r = 1, then is simply the collection of iterates {l}. Also note that in general, compositionof functions is not commutative,
so if r ~ 2, then is likely to be a very large set.
(a) A rational map E K(z) is said to be of polynomial type if it has a totally ramified fixed point. Prove that for such a map, there is a linear fractional transformation f E PGL2(K) such that f E K[z]. Further, if is not conjugate to Zd, prove
that one can take f to be in PGL2(K).
(b) Assume that contains no maps of polynomial type. Prove that there are finite subsets 1 and 2 of satisfying
and
(Here denotes the compositionof with every map in .)
(c) Let 0: E Q. The -orbit of 0: is the set 0<1>(0:) = {(o:) : E }. Continuing with
the assumptionthat contains no maps of polynomialtype, prove that the -orbit of 0:
contains only finitely many integers, i.e., prove that
0<1> (0:) n Z is a finite set.
3.41. Definethe (logarithmic) height ofa rational map (z) E Q(z) by writing
(z)
= F(z) = ao + alZ +
G(z)
bo + blz +
+ adzd
+ bdzd
with F(z), G(z) E Q[z] and setting
h()
= h([ao, al, ... , ad, bo, bl, ... , bdl).
Prove the followingquantitative version of Proposition3.46.

For all d ~ 2 there is a constant 0 = Oed) such that for all integers N
rational map ( z) E Q( z) of degree d with the followingproperties:
0 there exists a
Exercises
144
rji (z ) i C[z].
0 is a wandering point for </>.
0, </>(0), </>2(0), </>3(0) , . . . , N (0) E Z.
N
h( ) S; C . d .
Try to do quantitatively better than this, for example, replace the height estimate with one of
the form h( ) S; C fJ N for some s < d.
3.42. Recall that a rational map (z ) E Q(z) is affine minimal ifits resultant Res(</ cannot
be made smaller via conjugation by an affine linear map f (z) = az + b. If </> is affine minimal
and >2 is not a polynomial, we have conjectured (Conjecture 3.47) that the size of O</>(a) n Z
is bounded solely in terms of the degree of . For each integer d ~ 2, let
C (d)
= sup { # (O</> (a) n Z) :
</>(z) E Q(z), 2(Z) i Q[z], }

is affine minimal, and
.
a E ]P'N (Q) " P rePe r()
Thus Conjecture 3.47 says that C(d) is finite.

(a) Prove that for every integer N ~ 0 there exists an affine minimal rational map (z) E
Q(z) such that 2 (z) i Q[z], such that 0 is not a preperiodic point for , and such that
are all integers. In particular, C(d) - t 00 as d - t 00 .

(b) Prove that the function (z) in (a) can be chosen to have degree L(N - 1)j2J. Hence
C(d) ~2d+2 .
(c) Let >(z) be the function

(z ) = 481z
Z5 -
2565z + 9385z
465z 4 + 2185z 3
3
-
14955z + 12094z - 3720 .

6975z 2 + 8254z - 3720
Trace the orbit of O. How many integers do you find?

(d) Find a rational function as in (a) of degree 2 and with the property that i (0) is an integer
for all 0 S; i S; 6. Hence C (2) ~ 7, which improves the bound from (b). Can you find
infinitely many such functions? Can you prove that C(2) ~ 8?
(e) Find a rational function as in (a) of degree 3 and with the property that i(O) is an integer
for all 0 S; i S; 8. Hence C(3) ~ 9, which improves the bound from (b). Can you find
infinitely many such functions? Can you prove that C(3) ~ 1O?
Section 3.8. Integrality Estimates for Points in Orbits
3.43. Let K; be a field complete with respect to the absolute value v, let : ]P'i - t ]P' i be
a rational map of degree d ~ 2 defined over K v , and let p v : ]P'l (K v ) x ]P'l(K v ) - t lR
be the associated chordal metric. (See Sections 1.1 and 2.1 for the definition of the chordal
metric when v is archimedean and nonarchimedean, respectively.) Generalize Lemma 3.51 by
showing that for every Q E ]P'i (K v ) there is a constant C = C v ( , Q) such that
Here e Q() is as defined in Lemma 3.51.
145
Exercises
3.44. Let K be a number field and let 1> : pI --4 IP'I be a rational map of degree d 2:: 2 defined
over K . Prove that there is a finite set of absolute values S C MK such that for all v 1- Sand
all Q E 1P'1 (K), the constant Cv ( 1>, Q) in Exercise 3.43 may be taken equal to l.
3.45. Let 1>(z) E Q(z) be a rational map of degree d 2:: 2 with 1>2(z) 1- Q[z], let a E Q, and
write 1>n(a ) = anlb n E Q as a fraction in lowest terms as usual. Prove that
3.46. Let KIQ be a number field, let v E M K be an absolute value on K , and let
1>( z) E K (z) be a rational function of degree d 2:: 2. Suppose that a E 1P'1 (K) is a wandering point for 1> and that 'Y E 1P'1 (K ) is any point that is not a totally ramified fixed point
of 1>2. Prove that
. -log pv (1)n(a), 'Y)
lim
=0.
n -oo
h( 1>n(a))
Takingfirst 'Y = 00 and then 'Y
to number fields.
= 0, explain how to use this result to generalize Theorem 3.48
Section 3.9. Periodic Points and Galois Groups

3.47. Let P E IP'N(K) be a point in projective space and let K (P ) be its field of definition.
Prove that
K (P ) = fixed field of {u E Gal(KIK ) : u{P ):=: Pl.
In mathematical terminology, this says that the field of moduli of P is a field of definition
for P . Wediscuss fields of moduli and fields of definition for (equivalence classes of) rational
maps in Chapter 4.
Section 3.11. Ramification and Units in Dynatomic Fields

3.48. Let 1>{z) = Z2 + c and let
; (z)
= 1>3(Z) -
z
1>(z) - z
be the polynomial whose roots are periodic points of period 3.

(a) Prove that 3(z) E Z[c, x] is a polynomial in the variables c and z and that it has integer
coefficients.
(b) Let a be a root of <1>;; (z) and assume that the field Q(c, a) is an extension of Q( c) of
degree 6 (i.e., ;;(z) is irreducible in Q(c) [z]). Theorem 2.33 implies that
and
are units. Compute these units explicitly as elements of Q[c, o].
(c) Prove that there is a field automorphism a : Q (c, a) --4 Q(c, a) characterized by the
fact that it fixesQ (c) and satisfies u(a ) = 1>(a) = a 2 +c. (Note that in general, Q( c, a)
will not be a Galois extension of Q (c).) Prove that u 3 is the identity map.
(d) Compute the units a (u 1) and a (U2).
(e) Compute the units u 2(uI) and U2(U2).
(f) Express u(uI), U(U2), u 2(uI), and U2(U2) in the form ui u~ .
Exercises
146
3.49. Let >( z ) = Z2 + c and let q>; (z ) be as in the previous exercise.

(a) Prove that q>;(z) factors into a product of two cubic polynomials in the ring Q(c)[z] if
and only if c has the form c = _(e2 + 7)/4 for some e E Q(c) .
(b) Suppose that c = _ (e2 + 7) /4. Show that there is a polynomial ge(z) E Q[e , z]
such that the factorization q>3(z) has the form ge(Z)g-e(z). Compute the discriminant
of ge(z) and verify that it is a perfect square in Q[e]. Conclude that if ge(Z) is irreducible
over Q( e), then its roots generate a cyclic Galois extension K; ofQ(e).
(c) Let Q be a root of ge(z). Use the results of the previous exercise to construct units
in Q (e) (Q). Analyze these units for some small values of e, say e = 1, 5,7,9. (Note that
we investigated the case e = 3 in Example 3.69.)
3.50. ** Let >( z) be a generic monic polynomial of degree d ~ 2, i.e., >( z) is a polynomial
of the form Z d + al z d- l + ...+ ad , where al , .. . , ad are indeterminates. Let p be a prime
and let Q E Per;*( . Theorem 3.66 says that the elements
U i ,j
>i(Q) _ qJ(Q)
>(Q) _ Q '
0:::; j (z) = Z2 + c?
3.51. ** Let >(z ) be a generic rational function of degree d ~ 2, let p be a prime, and let
p E Per; *(. Theorem 3.67 describes how to construct units K,(p, >p,>ip, qJp). What
is the rank of the group that they generate? Is the answer the same for the rational function >(z) = (Z2 + b)/(bz 2 + I) ?
Chapter 4
Families of Dynamical Systems

Most of our work in previous chapters has focused on a single rational map (z)
and the effect its iterates have on different initial values. We now shift focus and
consider the effect of varying the rational map ( z). In order to do this, we study the
set of all rational maps. This set turns out to have a natural structure as an algebraic
variety, as does the set of rational maps modulo the equivalence relation defined
by PGL 2 conjugation. There are many threads to this story. The specific topics that
we touch upon in this chapter include:
1.
2.
3.
4.
5.
6.
Dynatomic polynomials and fields generated by periodic points.

The space of quadratic polynomials (the simplest nontrivial case).
Rational maps that are PGL 2-equivalent over k, but not over K (twists).
Field of defintion versus field of moduli for rational maps.
Minimal models for rational maps.
Moduli spaces of rational maps (with marked periodic points).
All of these topics have close analogues in the geometric and arithmetic theory
of elliptic curves and abelian varieties. For purposes of comparison, we list the correspondences:
1.
2.
3.
4.
5.
6.
Division polynomials and fields generated by torsion points.

The space of elliptic curves (the simplest abelian varieties).
Abelian varieties isomorphic over K, but not over K (twists).
Field of definition versus field of moduli for an abelian variety.
Minimal Weierstrass equations and Neron models.
Elliptic modular curves and moduli spaces of abelian varieties.
In this chapter, we let K be a perfect field and fix an algebraic closure k of K,

although much of what we do is also valid for nonperfect fields if we use instead a
separable closure of K. We write Gal(k/ K) for the absolute Galois group of K. It
is convenient to use the profinite group Gal(k/ K), but we observe that it generally
suffices to work with finite extensions and finite Galois groups, since the coefficients
of any particular rational map (z) E k (z) lie in a finite extension of K.
147
148
4.1 Dynatomic Polynomials

Let ( z) E K [z] be a polynomial. Then the fixed points of are the roots of ( z) - z
(plus the point at (0), and more generally, the points of period n for are the roots
of n(z) - z. However, the polynomial n(z) - z may have roots of period smaller
than n, since if k(a) = a and kin, then also n(a) = a. It is natural to try to
eliminate these points of strictly smaller period and focus on the points of exact
period n.
Example 4.1. We recall an analogous situation. The roots of the polynomial z" - 1
include all nth roots of unity, not only the primitive ones. The nth cyclotomic polynomial is defined using an inclusion-exclusion product,
nth
cyclotomic polynomial
II(zk -
l)lL(n/k).
(4.1)
kin
It is the polynomial whose roots are the primitive
Mobius function J-l defined by J-l(l) = 1 and
ei
nth
roots of unity. Here J-l is the
ec)_{(-lY ifeI==er=l,
.
a
If any e; 2: 2.
J-l (PI .. P r
(4.2)
See [216, Section 2.2] or [11, Chapter 2] for basic properties of the Mobius function
and the Mobius inversion formula. It is easy to check that the product (4.1) is a
polynomial, using the fact that the (complex) roots of z" - 1 are distinct and the
following basic property of the J-l function (Exercise 4.2):
L J-l (~) = {I ~f n = 1,
a
kin
(4.3)
Ifn> 1.
Taking our cue from the example provided by the cyclotomic polynomials, we
might define the nth dynatomic polynomial by the formula
n(z)
= II(k(z) - zt(n/k).
kin
However, it is not clear that n(z) is a polynomial, since n(z) may have multiple
roots, as shown by the following example.
Example 4.2. Let (z) be the polynomial
(z)
Then
=z
3
4.
4.1. Dynatomic Polynomials
149
(z) - z = z2 - Z -
~ = ( z - ~)
3
2
4
3
(z) - z = z - - z2 - z - - =
2
2(Z) - Z =
(z) - z
16
(z+
~) ,
3
z- - )
2
1
z+ - )
2
'
(Z +~) 2
2
Thus 2(z) - z vanishes with multiplicity 3 at the point z = - ~ , and although it is

true that the ratio ~g/~: is a polynomial, it is somewhat distressing to observe that
its root is a fixed point of , not a point of primitive period 2.
For simplicity, the preceding discussion dealt with polynomial maps (z). We
now tum to general rational maps (z) E K(z) and develop tools that are useful for
studying their periodic points. Let ( z) be a rational function of degree d and write
= [F(X, Y), G(X, Y)] using homogeneous polynomials F and G. Then the roots
of the polynomial
Y F (X ,Y ) - XG (X, Y )
in ]F'l are precisely the fixed points of . If we count each fixed point according to
the multiplicity of the root, then has exactly d + 1 fixed points . More generally,
we can apply the same reasoning to an iterate n of and assign multiplicities to
the n- periodic points.
Definition. Let ( z) E K (z) be a rational function of degree d, and for any n 2: 0,

write
n = [Fn( X ,Y ),Gn(X,Y )]
with homogeneous polynomials Fn , Gn E K [X,Y ] of degree d" , (See Exercise 4.9
for a formal inductive definition of Fn and G n . ) The ti-period polynomial of is the
polynomial
q" n(X, Y ) = YFn(X,Y ) - XGn (X,Y ).
Notice that q"n (P ) = 0 if and only if n(p) = P, which justifies the name assigned to the polynomial q"n.
The n1hdynatomic polynomial of is the polynomial'
 q"* n(X , Y) = II(YFk

(X, Y ) - XG k
(X, y))!"(n/k) =
kin
II q" k"

(X y)!"(n/k)
kin
where JL is the Mobius function . If is fixed, we write n and ~. If (z) E K [z]
is a polynomial, then we generally dehomogenize [X ,Y] = [z,l] and write n (Z)
and ~ ( z ) .
All of the roots P of; ,n(X , Y ) satisfy n(p ) = P , but we saw in Example 4.2
that ; ,n (X, Y ) may have roots whose periods are strictly smaller than n . Following
Milnor [302], we make the following definitions.
I See
Theorem 4.5 for the proof that ep; .n is indeed a polynomi al.
150
Definition. Let cjJ{ z) E K (z) be a rational map and let P E pI be a periodic point
for cjJ .
P has period n if n(P) =
a.
P has primitive (or exact) period n if n(P) =

m< n.
P has formal period n if ~ (P) =
a and m{P ) =I a for all
a.
We set the notation

Pern{cjJ)
= {p E pI: n {P ) = a},
Per~ { cjJ) = {P E pI : ~ {P ) =

Per~*{cjJ)
= {p
a},
pI: n{P ) =
a and m{P) =I a for all 1 ~ m < n}.
Thus P er., (cjJ) is the set of points of period n, Per~ (cjJ) is the set of points of
formal period n, and Per~*( cjJ) is the set of points of primitive (or exact) period n. Sometimes we treat these as sets of points with assigned multiplicities, e.g.,
if P E Per~ (cjJ) , the multiplicity of P is the order of vanishing of ~ at P.
It is clear that
primitive period n
==>
formal period n
==>
period n ,
but neither of the reverse implications is true in general.
Remark 4.3. The polynomial ,n is homogeneous of degree d" + 1, so counted

with multiplicity, the map cjJ has exactly d" + 1 points of period n. And if we let
IId(n ) = deg(; ,n{X, Y)) =
LJL ( ~) (dk + 1),
(4.4)
ki n
then counted with multiplicity, the map cjJ has exactly lid ( n ) points of formal period n. The number IId(n) grows very rapidly as d or n increases . See Exercise 4.3.
The first few period and dynatomic polynomials for cjJ( z ) = z2 + c are listed
in Table 4.1 on page 156. Notice how complicated n and ~ are, even for small
values of n. For example, 6 has degree 54 as a polynomial in z and degree 27 as a
polynomial in c.
Remark 4.4. Rather than using the homogeneous polynomials n and ~, it is sometimes more natural and convenient to consider instead the associated divisors in pI,
especially in generalizing the theory to higher-dimensional situations. This is the
approach taken in [313], where for any (nondegenerate) morphism cjJ : V --+ V of
smooth algebraic varieties, the O-cycle ,n is defined as the pullback of the graph
of cjJn by the diagonal map A : V --+ V x V. See Exercise 4.8.
We now prove the important fact that the dynatomic polynomial ; ,n(X, Y) is
indeed a polynomial.
151
Theorem 4.5. Let ( z) E K (z) be a rationalfunction ofdegree d

jpI
2. For each P E
(K), let
and
or, in terms ofdivisors in Div(lPi ),

div(</>,n) =
L ap(n)(P)
and
div( ; ,n) =
L aj,( n)(P).
p
(a) ;,n E K[X, Y], or equivalently,
aj,(n) ~ 0 for all n ~ 1 and all P E jpI.

(b) Let P be a point ofprimitive period m and let >.( P) = (m)' (P) be the multiplier of P. Then P has formal period n. i.e., aj,(n) > 0, if and only if one of
the following three conditions is true:
(i) n = m.
(ii) n = mr and >.( P) is a primitive r 'h root ofunity.
(iii) n = mrp", >.(P) is a primitive r 'h root of unity, K has characteristic p,
and e ~ 1.
In particular,
ofn.
if K
has characteristic 0, then a j,(n) is nonzero for at most two values
Proof By the definition of~, we have the relation
aj,(n) =
L J.l(n/m)ap(m).
min
We begin with a lemma that describes the value of a p (n) for fixed points.
Lemma 4.6. Let 'ljJ (z) E K (z) be a rational function of degree d ~ 2, let P E
jpI (K) be a fixed point of'ljJ, let>' = >.p( 'ljJ ) = 'ljJ' (P) be the multiplier of'ljJ at P ,
and let
ap(N) = ordp(1jJ,N(X, Y))

be as in Theorem 4.5. Thenfor any N
>.N #
>. # 1 and >.N =
2,
=}
=}
>. = 1 and N # 0 in K
>. = 1 and N = 0 in K
=}
=}
= ap(l) = 1,
(4.5)
ap(N) > ap(l) = 1,

ap(N) = ap(l) ~ 2,
ap(N) > ap(l) ~ 2.
(4.6)
ap(N)
(4.7)
(4.8)
Proof Making a change of variables, we may assume that P = 0, and then the
assumption that P is a fixed point of 'ljJ means that 'ljJ( z) has the form
(4.9)
152
where 0: -I 0, e 2: 2, and O(ze+l) is shorthand for a function that vanishes to order

at least e + 1 at O. Note that
z) =
ap(l) = ord(1P(z) z=o
I
{ e 2: 2
if),
-11,
If A = 1.
Weconsiderfirstthe case that A -11. Using the weaker form 1P(z) = AZ + O(z2)
of (4.9) and iterating gives
so
ap(N) = ord(1P N (z) - z)

z=o N
= ord((A
z=o
-l)z + O(z2))
-{ -1
2: 2
if),N
-11,
if AN = 1.
This completes the proof of the lemma in this case.

Next we consider the case A = 1. Then ap(l) = ord z=o(1P(z) iteration of (4.9) yields
z) = e,
and
(4.10)
Hence
ap(N) = ord('N (z) - z)

z=o
e
= ord(No:z
z=O
+ O(ze+I))
-{ =e=ap(l)
> e = ap(l)
if N -lOin K,
if N
= 0 in K.
D
This completes the proof of Lemma 4.6
Resuming the proof of Theorem 4.5, we observe that if the primitive period m
does not divide n, then ap(n) = 0, and hence also ap(n) = O. We may thus assume
that min. Since we will deal with several different maps, we write ap(</J,n) and
ap(</J, n) to indicate the dependence on the map. Let
and
Using the fact that ap(</J, k)
ap(</J, n) =
N=~.
m
= 0 unless mlk, we find that
L J1 (~) ap(</J, k) = L J1 ( ~:::) ap(</J, km)

kin
kiN
LJL (~) ap(</Jm,k) = ap(1P,N).

kiN
153
We further observe that P is a fixed point of 'ljJ, so Lemma 4.6 applies to 'ljJ and P.
We consider several cases, the first two of which may done simultaneously.
Case I(a). >..(p)N =II.

Case I(b). >..(P) = 1 and N =I 0 in K.
In Case I(a) we have )..(p )k 1= 1 for all kiN, so we can apply (4.5) of Lemma 4.6
to conclude that ap('ljJ , k) = apCljJ , 1) for all kiN. Similarly, in Case I(b) we can
apply (4.7) of Lemma 4.6 to conclude that ap('ljJ ,k ) = ap (ib, 1) for all kiN. Hence
in both cases we find that
ap('ljJ , N) = LtL
(~) ap('ljJ, k) =
(L tL
kiN
( ~) ) ap('ljJ , 1)
kiN
{ap ('ljJ , 1) 2 1 if N = 1,
o
if N > 1.
Using the equality ap('ljJ, 1) = ap(qr, 1) = ap(c/J,m), this shows in Case I(a,b)
that
* ('" ) _ { ap(c/J,n ) 2 1 if n = m ,
ap 'f', n -
if n > m.
Case II. >..(P)

1 and N
0 in K.
Let p be the characteristic of K and write N = peM with p f M . We observe that
if kiM and 0 :::; i:::; e, then k 1= 0 in K and )..p ('ljJpi ) = ).. p('ljJ )pi = 1, so (4.7) of
Lemma 4.6 applied to 'ljJpi tells us that
ap('ljJ ,pik) = ap('ljJpi , k) = ap ('ljJpi , 1) = ap('ljJ,pi).

This allows us to compute
ap('ljJ,N) = LtL
k iN
( ~) ap('ljJ ,k) = L
ttl
kiM i =O
= (LtL
kiM
(pei~) ap (1/J,pi k )
P
(~)) (ttL (pe- i)ap(1/J,pi))

2=0
= {a p(1/J,pe) - ap ('ljJ ,pe- l )
2 1 if M
= 1,
if M
> 1.
The fact that the value is positive when M = 1 follows from applying condition (4.8)
of Lemma 4.6 to the difference ap (1/J pC- l ,p) - ap('ljJpe- l , 1). Hence in Case II, we
have shown that ap(c/J,n) 2 0, and further, ap(c/J, n) 2 1 if and only if n = mp",
Since Case II includes the assumption that )..(P ) = 1, this proves Theorem 4.5 in
this case.
Case III. >..(P) =11 and >..(p)N = I.

Let r be the exact order of )..(P ) in K*, so r lN and r > 1. Then (4.5) of Lemma 4.6
154
4. Families of DynamicalSystems
tells us that if r f k, then ap('ljJ , k)

defining ap('ljJ ,N) as
ap('ljJ ,N ) = (L + L)1l
kiN kiN
rtk rlk
=
= ap('ljJ , 1). This
allows us to write the sum
(~) ap('ljJ,k)
(L Il( ~) ap('ljJ ,l)) + (L Il( ~) ap('ljJ ,k))

kiN
rtk
= (L Il
kiN
= L
kiN
rlk
( ~) ap('ljJ , 1)) + (LIl ( ~) (ap('ljJ,k) kiN

rlk
ap('ljJ ,
1)))
11 ( Nt ) (ap('ljJ , kr) - ap('ljJ, 1))
kl ~
r
=a p( 'ljJr ,N - {a p( 'ljJ, l)
lr)
If N
ifN=r,
if N i= r.
(4.11)
= r, so n = mr, then we have
ap(, n) = ap('ljJ, N ) = ap('ljJr , 1) - ap('ljJ, 1) = ap('ljJ,r) - ap('ljJ, 1) 2: 1

from (4.6) of Lemma 4.6.
We may thus assume that N
ap(,n)
> r, so (4. 11) says that
= ap('ljJ,N) = ap('ljJr ,Nlr) .
We now observe that >"p('ljJr ) = >..p('ljJY = 1. Hence if N i= 0 in K, then we can

apply Case I(b) to ap('ljJr ,Nlr), and if N = 0 in K, then we can apply Case II
to ap('ljJr ,Nlr) . This compl etes the proof of Theorem 4.5.
0
As an easy application of Theorem 4.5, we now prove that a rational map
(z) E K (z) possesses periodic points of infinitely many distinct periods, i.e., the
set of primitive-n periodic points Per~* () is nonempty for infinitely many n .
Corollary 4.7. Let (z ) E K( z) be a rational map of degree d 2: 2. Then fo r
all prim e numbers f except possibly for d + 2 exceptions, the map has a point of
primi tive period f.
Proof We begin by discarding the finitely many primes f satisfying either of the
followin g conditions:
K has characteristic .
There is some Q E Fix() with >"(Q)
i= 1 and >..(Q)i! = 1.
155
4.2. Quadratic Polynomials and Dynatomic Modular Curves
The set Fix () contains at most d + 1 points, so these condit ions eliminate at
most d + 2 primes .
take a point P E Pere( ). If P does not
For any of the remaining primes
have primitive period then it must be a fixed point of , since its period certainly
divides e. Then our assumption s on eimply that either )..(P ) = lor )..(p )e i=- 1, and
further that ei=- 0 in K. It follows from (4.5) and (4.7) of Lemma 4.6 that in both
cases we have ap (e) = ap(I ). Hence
e,
e,
L
PEPere(.p)n F ix(.p)
ap( e) =
ap( I) ::;
P EPer e(4))nFix(4>)
ap (l ) = d + 1.
P EF ix(4))
Thus the total multiplicity of all of the fixed points of in the e-period polynomial
is at most d + 1. However, the degree of <P4>,e is de + 1, so we conclude that <P4>,e

has at least one root that is not fixed by . Hence there exists at least one primitive
periodic point.
0
e-
For many applications , Corollary 4.7 is sufficient, but a more detailed analysis
yields a much stronger result. We state the full theorem in characteristic 0 and refer
the reader to Pezda 's two papers [354, 357] for the more complicated description
required in characteristic p. See also [161, 172, 173, 174] for higher-dimensional
results of a similar nature.
Theorem 4.8. (LN. Baker [19]) Let ( z ) E K (z ) be a rational map ofdegree d :::: 2
defined over afield K ofcharacteristic O. Suppose that has no primitive n -periodic
points. Then (n, d) is one ofthe pairs
(2, 2), (2, 3) , (3, 2), (4, 2).
If is a polynomial, then only (2,2)
is possible.
Proof For the proof, which is function-theoretic in nature, see [19] or [43, 6.8].
o
4.2
Quadratic Polynomials and Dynatomic

Modular Curves
In this section we expand on the material from the previous section in the special
case of the quadratic polynomial
(z ) = c(z ) = z2 + C.
For further material on the iteration of quadratic polynomials, see for example [17,
18,113,115,171,220,221 ,222,305,309,350,361 ,388].
156
<f>1(C, Z) = Z2_ Z+ C
2
4
2
<f>2(C, Z) = Z + 2cz - Z + (C + C)
2
<f> 3(C,Z) = Z8 + 4cz 6 + (6c + 2C)Z4
<f>4(C, Z) =
+ (4c3 + 4c2)Z2 - Z + (C4 + 2c3 + C2 + c)

Z16 + 8CZ 14 + (28c2 + 4C)Z12 + (56c3 + 24c2)ZlO
4
4
+ (70c + 60c3 + 6c2 + 2C) Z8 + (56c5 + 80c + 24c3 + 8c2)Z6
2
6
5
4
3
+ (28c + 60c + 36c + 16c + 4c )Z4
7
6
4
+ (8c + 24c + 24c5 + 16c + 8c3) Z2
4
2
7
6
5
3
8
- Z + (C + 4c + 6c + 6c + 5c + 2c + C + c)
<f>~ (C, Z )= Z2_ Z + C
<f>2 (C , Z) = Z2 + Z + (C + 1)
+ Z5 + (3c + 1)Z4 + (2c + 1)Z3 + (3c2 + 3c + 1)z2

2
2
3
+ (c + 2c + 1)z + (c + 2c + c + 1)
10
<f>~(c, z) = Z12 + 6cz + z 9 + (15c2 + 3C)Z8 + 4cz 7 + (20c3 + 12c2 + 1)Z6
+ (6c2 + 2c)z 5 + (15c4 + 18c3 + 3c2 + 4C) z4 + (4c3 + 4c2 + 1)z3
4
4
2
3
2
3
5
+ (6c + 12c + 6c + 5c + c)z2 + (c + 2c + c + 2c)z
5
4
3
2
6
+ (c + 3c + 3c + 3c + 2c + 1)
<f>~ (c, z ) = Z54 - Z53 + 27cZ52 + (- 26c + 1)z51 + (351c2 + 13c _ 1)Z50
+ (- 325c2 + 12c)Z49 + (2925c3 + 325c2 - 24c + 1)Z48
+ (- 2600c3 - 12c2 + 12c)z47 + ...
+ (_c 26 _ 12c25 _ 66c24 _ 226c23 - ... + 2c3 + c2 + 2c - 1)z
+ (C27 + 13c26 + 78c25 + 293c24 + 792c23 + ... + 3c3 + c2 - C + 1)
<f>;;(c, z ) = Z6
Table 4.1: Period and dynatomic polynomials for (z) =
4.2.1
Z2
+ c.
Dynatomic Curves for Quadratic Polynomials
Note that as long as the field K does not have characteristic 2, then any quadratic
polynomial
can be put into the form z2 + c by a simple change of variables working entirely
within the field K. More precisely, if we let f( z) = (2z - B )/ (2A), then
f( z) =
U- 1 0 o J) (z ) = z2 +
(AC - ~B2 + ~B) .
(4.12)
The roots of the period polynomials n(z) = ~ (z ) - z and associated dynatomic polynomials ~ ( z ) are periodic points of the map c(z ) = Z 2 + c. In order to investigate how the periodic points of c(z) vary as a function of c, we observe that ~ (z) is a polynomial in the two variables z and c. Thus in studying
157
quadratic polynomial maps, it is natural to write ll>~ (c, z) and treat ll> ~ as a polynomial in Z[c, z]. (Table 4.1 lists the first few period and dynatomic polynomials
for c(z).) Treating ll>~ ( c, z) as a polynomial in two variables leads to a natural
association
polynomial ( z) E K [z] of }
degree 2 with a point
{ P E K of formal period n
{ (c,Q) E K x K : ll> ~ (c,Q) =
O}.
Thus given a polynomial (z) E K[z] of degree 2 and a point P of formal period n, we make a change of variables as in (4.12) so that I (z) = z2 + c and
set Q = 1-1(P). Note that this entire procedure takes place within the field K
(which we assume has characteristic different from 2). Thus the solutions to the
equation ll>~(y, z) = 0 parameterize pairs (, P), where is a conjugacy class of
quadraticpolynomials and P is a point offormal period n for . Further, the solution
is K -rational if and only if and Pare K -rational,
Definition. The dynatomic modular curve Y l (n) C A2 is the affine curve defined
by the equation
ll> ~ (y , z )
=0.
The normalization of the projective closure of Yl (n) is denotedby X I (n).

Example 4.9. It is easy to see that X l (1) and X l (2) are rationalcurves. Indeed, the
projective closures ofYl (l ) and YI (2) are smooth conics,
and
Xl (2) : z2
+ ZW + yw + w 2 = O.
It turns out that Xl (3) is also rational, but this is less clear from the equation in
Table 4.1. In order to parameterize X l (3), suppose that (z) = Az 2 + B z + C is
any quadratic polynomial with a periodic point of primitive period 3. Conjugating
by a linear map z ~ Q Z + /3, we may assume that the given 3-cycle has the form
o-> 1 -> t -> 0 for some t. This gives the equations
(1) =A+B+C=t,
(O) = C = 1,
Solving for A, B, C in terms oft yields

(z) =
t2
t+1 2
2
Z
t -t
t3
+1
t2
t-t
+ 1.
Now we apply the linear change of variables (4.12) to put into the form z2 + c.
Thus letting I (z) = (2z - B )/(2A ), we find that
I
(z) = z2
t6
4t 5
+ 9t 4 - 8t3 + 4t 2 -4t 4 + 8t 3 _ 4t 2
2t + 1
Our computation showsthat for every value of t
'
~
{O, I} , the point
158
t 6 - 4t 5
(
+ 9t 4 - 8t 3 + 4t 2 -4t 4 + 8t 3 - 4t 2
2t
1
'
_ t3 + t2 -2t 2 + 2t
1)
is a solution to the equation

; (y , z) = z6 + Z5
+ (3y + l )z4 + (2y + l )z3 + (3y 2 + 3y + l )z2

+ (y2 + 2y + l) z + (y3 + 2y2 + y + 1) = O.
(You may check this directly using a computer algebra system .) We have thus constructed a nonconstant rational map
s--
~g
o ------+
t6 - 4t 5
+ 9t 4
8t 3 + 4t 2
--- 1)2
t 3 --- t 2 + 1 )
.
, 2t (t --- 1)
(4.13)
General principles (Liiroth's theorem [198, IV.2.5.5]) tell us that Xl (3) is birational
to pl.
More concretely, we can prove that the map (4.13) has degree 1 by constructing
its inverse . Thus let (c,b) be a root of ;. We set g(z) = (b 2 + c - b)z + b, so g
sends 0 to band 1 to (b). Thus the 3-cycle b ----t (b) ----t 2(b) ----t 0 becomes the
following 3-cycle for g:
2t
+1
-4t 2(t
~g
------+
b2
+ b+ 1 + c
~g
------+
O.
This gives the map

(c, b) f----t b2 + b + 1 + c,
which is inverse to (4.13) , a fact that can also be checked directly with a computer
algebra system.
4.2.2 Dynatomic Curves as Modular Curves

The curve YI (n ) and its completion X I (n) are modular curves in the sense that their
points are solutions to the moduli problem of describing the isomorphism classes of
pairs (, 0:), where is a polynomial of degree 2 and 0: E A I is a point of formal
period n for . Here two pairs (l , o:d and (2,0:2) are PGL 2-isomorphic if there
is a linear fractional transformation f E PGL 2 satisfying
and
In order to state this more carefully, we define
Formal(n)
. E k[z], deg( ) = 2, 0: E k}
{ (,o:) . 0: has formal period n for
PGL 2-lsomorphism
We have demonstrated that the elements of Formal(n) are in one-to -one correspondence with the points of YI (n). But much more is true: the correspondence is algebraic in an appropriate sense. Before stating this important result, we must define
what it means for a family of maps and points to be algebraic.
159
Definition. Let V be an algebraic variety. An algebraic family ofquadratic polynomials over V with a markedpoint offormal period n consists of a quadratic polynomial
'ijJ(z) = Az2 + Bz
+ C,
A, B, C E K[V],
whose coefficients A, B, C are regular functions on V and such that A does not
vanish on V(K), and a morphism A : V ----t p} such that for all P E V(K), the
point A(P) is a point offormal period n for the quadratic polynonomial
'ijJp(z) = A(p)z2
+ B(P)z + C(P)
K[z].
The family is defined over K if the variety V and morphism A are defined over K
and the functions A, B, C are in K[V].
Example 4.10. The pair
A(t)=t-l
and
is an algebraic family of quadratic polynomials over lP'1 -, {O, oo} with a marked
point of formal period 2.
Theorem 4.11. Let K be a field ofcharacteristic different from 2.

(a) The map
Yl(n)
---+
Formal(n),
(c, CY)
r---+
(z2
+ c, CY),
(4.14)
is a bijection ofsets.
(b) Let V be a variety and suppose that the points ofV algebraically parameterize
a family of quadratic polynomials 'ijJ together with a marked point A offormal
period n. Then there is a unique morphism ofvarieties
with the property that
'f/(P) = ('ijJp(Z),A(P)) E Formal(n)
(c)
for all P E V(K),
(4.15)
where we use (4.14) to identify Formal(n) with Y 1 (n).

is defined over the field K, then the morphism 'f/ is also defined
over K.
If the family
Proof (a) We have shown this earlier in this section.

(b) By definition 'ijJ has the form
'ijJ(z)=Az 2+Bz+C,
A,B,C E K[V],
with A not vanishing on V and A a morphism A : V ----t A l such that for all P E
V(K), the point A(P) is a point offormal period n for the quadratic polynonomial
'ijJp(z)
A(p)z2
+ B(P)z + C(P)
K[z].
160
For any point P E V(K), let Ip(z) be the linear fractional transformation
2z - B(P)
fp(z) =
2A(P)
Note that Ip is well-defined for every P E V(K), since we have assumed that A is
nonvanishing on V. We define a map T/ from V to A,.2 by the formula
T/(P) = (cp,ap)
with
cp
A(P)C(P) - ~B(p)2
A(P)A(P) + ~B(P).
Cx
+ ~B(P),
(4.16)
Note that T/ : V --+ A,.2 is a morphism, Le., it is given by everywhere-defined algebraic

functions on V. We are now going to verify that the image of T/ is the curve Y1 (n).
The computation that we performed in deriving formula (4.12) shows that
'l/;{:(z)
z2 + cpo
To ease notation, we let p(z) = z2 + Cp . We also let n,P, ~,p, \lIn,P, and \lI~,p
be the period and dynatomic polynomials for p and 'l/;p, respectively. Note that the
period polynomials are related by
\lI~~p(z) = Ip1o('l/;p(z)-z)olp = (fp1o'l/;plpt(z)-z = p(z)-z = n,p(z).

Hence the dynatomic polynomials also satisfy
(\lI~,p)fp = n,P.
(4.17)
We are given that A(P) E Per~('l/;p), which is equivalent to saying that A(P) is a
root of \lI~,p. It follows from (4.17) that
I p 1(A(P)) = A(P)A(P) + ~B(P)

is a root of ~ p, and thus is in Per~ ( p ). This proves that the image of the map T/
defined by (4.1'6) is contained in Y1 (n), so T/ is a morphism from V to Y1 (n). Further,
this map T/ respects the identification of Ydn) with Formal(n) from (a), since it
takes P to a pair (cp,ap) that is isomorphic to the pair ('l/;P(Z),A(P)) via the
conjugation Ip E PGL2 (K ).
Finally, it is clear from the construction that the map T/ is uniquely determined as
a map (of sets) from V(K) to Formal(n), so it is the unique morphism V --+ Y1 (n)
satisfying (4.15).
(c) The definition (4.16) of T/ shows immediately that T/ is defined over K, since all
of A, B, C, and A are assumed to be defined over K.
D
Remark 4.12. In the language of algebraic geometry, Theorem 4.11 says that Y1 (n)
is a coarse moduli space. In fact, the curve Y1 (n) is actually a fine moduli space for
all n 2: 1; see Exercise 4.18. The underlying reason is that there are no nontrivial
elements ofPGL 2 that fix a quadratic polynomial and its points of formal period n,
i.e., the moduli problem has no nontrivial automorphisms.
4.2.3
161
The Dynatomic Modular Curves X 1(n) and Xo(n)
The curve YI (n), and by extension X I (n), has the interesting property that the rational map acts on the points of YI (n) via the map
(y, z)
f------7
(y, Z2
+ y) =
(y, y(z)).
(4.18)
By abuse of notation, we will also use to denote the map (4.18). This map is welldefined, since if ex is a point of formal period n for the polynomial y(z), then y (ex)
is also a point offormal period n for Y' Further, the nth iterate n is the identity map
on YI (n) and Xl (n), so Aut(YI (n)) and Aut(X I (n)) contain subgroups of order n
generated by .
In general if V is any algebraic variety and if G c Aut(V) is any finite group of
automorphisms of V, then there exist a quotient variety W = VI G and a projection
map n : V ----t W with the property that n(y) = n(x) if and only if there is agE G
such that y = g(x). (See, for example, [321, II 7].) Further, if V is defined over a
field K and ifG is K-invariant,2 then VIG is defined over K.
The construction of VI G when V is a nonsingular curve is particularly simple.
Each 9 E G induces an automorphism of the function field
g* : K(V)
----t
K(V)
fixing K, so we may view G as a subgroup of Aut(K(v)1K). Then one shows

that the fixed field K (V) G of G has transcendence degree lover K, so there exists
a unique nonsingular projective curve WI K with function field K(W) = K(V)G.
The inclusion K(W) c K(V) defines the projection n : V ----t W making W into
the quotient of V by G. Finally, if G is K -invariant, one shows that W has a model
defined over K.
Remark 4.13. We note that taking the quotient of a variety by an infinite group of
automorphisms, as we will need to do in Section 4.4, is considerably more difficult
than taking the quotient by a finite group of automorphisms. Indeed, in the infinite
case it often happens that the quotient does not exist at all in the category of varieties.
Definition. With notation as above, we let Yo (n) be the quotient of YI (n) by the
finite subgroup of Aut(YI(n)) generated by . Similarly, Xo(n) is the quotient
of XI(n) by the finite subgroup of Aut(XI(n)) generated by .
By construction, the points of Yo (n) classify isomorphism classes ofpairs (, 0),
where is a quadratic polynomial and 0 is the orbit of a point of formal period n.
The moduli-theoretic interpretation of the projection map from YI (n) to Yo (n) is
2The elements in G are morphisms V - t V that are defined over some extension of K. The Galois
group Gal(K/ K) acts on G by acting on the coefficients of the polynomials defining the maps in G. We
say that G is K -invariant if each element of Gal( K / K) maps G to itself.
162
Example 4.14. We have seen in Example 4.9 that X I (2) and X I (3) are rational
curves, i.e., they are isomorphic to pI , so their quotient curves X o(2) and X o(3)
must also be rational curves. However, it is still of interest to make the quotient maps
explicit. We do this for X I (2) and leave X I (3) as Exercise 4.19.
The affine curve YI (2) has equation
YI (2) : z2 + Z + Y + 1 = 0,
where a point (c, 0: ) E YI (2) corresponds to the quadratic map cPc (z ) = z2 + c and
point 0: E P er; (cPc) . The automorphism cP ofYI (2) is given by (y, z) t---; (y, Z2 + y).
From general principles we know that cP maps Y1 (2) to itself, or we can see this
explicitly by the formula
(z2 + y)2 + (Z2
+ y) + y + 1 = (z2 + Z + Y + 1)(z2 - Z + Y + 1).
The affine coordinate ring of YI (2) is
q z,y]
rv C[ ]
(z2 + Z + Y + 1) = z,
since we can express y in terms of z as y = - z2 - Z - 1. In terms of z alone, the
automorphism cP ofYI (2) corresponds to the map on q z] given by
t------>
Z2 + Y = Z2 + (- Z2 - Z - 1) = - z - l.
So the affine coordinate ring of the quotient curve Yo(2) is the subring of C ]] that is
fixed by the automorphism z t---; - z - 1. Since the map YI (2) ~ Yo (2) has degree 2,
we look for an invariant quadratic polynomial in z. Setting
Az 2 + B z + C = A( - z - 1)2 + B ( -z - 1) + C
and equating coefficients, we find that A = B . Hence the invariant subring is
q z2 + z], which is the affine coordinate ring ofYo(2).
Suppose now that (cP, {0:,,8}) is a quadratic polynomial and an orbit consisting
of two points . How does this correspond to a point on Yo(2) whose coordinate ring
is z2 + z]? First, we use a PGL 2 conjugation as in (4.12) to put cP into the standard
form cPc(z) = z2 + c. Then 0: and ,8 are related by
,8 = cPc(O:) =
0:
2 +c
Notice that this implies that

2
0: + 0: = (,8 - c)
and
0:
= cPc ((J) = ,82 + c.
+ (,82 + c) =
,82
+ ,8.
Letting c = -0: 2 - 0: - 1 and using the isomorphisms YI (2) ~ Al and Yo(2 ) ~ Al

given earlier, we have the following commutative diagram:
(c,a).-.a
163
Remark 4.15. Morton [307] describes an alternative method for finding an equation
for the curve Yo(n ) and the map Yi (n) --+ Yo(n ). The roots of ~ ( e, z) = can be
grouped into orbits, say 0'1 , .. . , a r are representatives for the different orbits, so
The points in each orbit all have the same multiplier, and we define a polynomial
r
On(e, x) =
IT (x - A,p(ai ))'
i =l
Then one can show that On (c, X) E Z [e, X] and that the equation
gives a (possibly singular) model for Yo(n). Using this model, the natural map
from Yt{n ) to Yo(n ) is
(y, z)
t-------;
(y, ( ~) /(z) ).
See Morton 's paper [307] and Exercise 4.13.
Remark 4. 16. The dynatomic modular curves Y1 (n) and Yo(n ) defined in this section
are analogous to the modular curves that appear in the classical theory of elliptic
curves. Briefly, the elliptic modular curve y 1ell(n) classifies isomorphism classes of
pairs (E, P), where E is an elliptic curve and PEE is a point of exact order n .
Similarly, the elliptic modular curve y~ll ( n ) classifies pairs (E, C ), where E is an
elliptic curve and C c E is a cyclic subgroup of order n. The group (Z/nZ)* acts
on y 1ell (n ) via
m
* (E , P) =
(E , [m]P)
for
m E (Z /nZ)*,
and the quotient ofy{lI (n ) by this action is y~lI (n ) .

The reader should be aware that standard terminology is to write
for elliptic modular curves. But since in this book we deal exclusively with dynatomic modular curves, there should be no cause for confusion. In situations in
which both kinds of modular curves appear, it might be advisable to use identifying
n
superscripts such as y t (n) and y 1ell(n) to distinguish them.
We showed earlier that X 1 (1), X 1 (2), and Xl (3) are all (irreducible) curves of
genus 0, and similar explicit computations show that Xl (4) has genus 2 and Xl (5)
has genus 14. See [171, 305, 309] and Exercise 4.20. The geometry of X 1 (n)
and Xo(n ) for general n is described in the following theorem, which is an amalgamation of results due to Bousch and Morton.
164
Theorem 4.17. (a) The affine curve YI (n) defined by the equation
is nonsingular.
(b) The dynatomic modular curves Xl (n) and Xo(n) are irreducible.
(c) The projection map
(z, c) - > c,
exhibits X I (n) as a Galois cover of p l. The Galois group is maximal in the
sense that it is the appropriate wreath product, cf Section 3.9.
(d) Let sp denote the Euler totient function (not to be conf used with the rational
map 1 , let f..L be the Mobius function, and let K, be the function
(This is essentially half the degree of 4" n" cf Remark 4.3.) Then the genera
ofX I (n) and X a(n) are given by the formulas
genus X j ln ) = 1 + n ; 3 K,(n) -
mK,(m)<p (:) ,
m in, m < n
genusXo(n)
= 1 + n 2~ K,(n) 3
K,(m)<p (:)
min, m<n
4~ L
f..L ( : )
m 2
/ .
m in , m odd
n / m even
(Ifn is odd, then the final sum in the formula for the genus of Xo(n) is empty.)
Proof The properties of YI (n) and Xl (n) were originally proven by Bousch [83] ,
with subsequent proofs by Lau and Schleicher [261] using analytic methods and
Morton [307] via algebraic arguments. The latter two papers give various generalizations, including results for the dynatomic modular curves associated to maps of
the form zd + c. The formula for the genus of Xo(n) is due to Morton [307].
0
Remark 4.18. The genera of Xl (n) and Xo(n) grow rapidly; see Table 4.2.
n
genus Xj In )
genusXo (n)
I
0
0
2
0
0
3
0
0
4
2
0
5
14
2
6
34
4
7
124
16
8
285
32
9
745
79
10
1690
162
Table 4.2: The genera ofthe dynatomic modular curves X I (n) and Xo(n) for z2 + c.
4.2. Quadratic Polynomials andDynatomic Modular Curves
165
Res(i, ;) = 4e + 3
Res(i, ;) = -16e2 - 4e - 7
Res(i, :) = -16e2 + 8e - 5
Res(i, ;) = -256e4 - 64e3 - 16e2 + 36e - 31
Res( i, ~) = -16e2 + 12e - 3
Res(; , :) = -(4e + 5)2
Res(;, ~) = -(16e2 + 36e + 21)2
Res(; , ~) = -(64e3 + 128e2 + 72e + 81)3
Table 4.3: The first few bifurcation polynomials for z2 + e.
4.2.4
Bifurcation, Misiurewicz Points, and the Mandelbrot Set
When does the polynomial ( z) = Z2 + e have a point of formal period n whose

exact period m is strictly less than n? This will occur if and only if~ (z) and ;'" (z)
have a commonroot, so if and only if e is a root of the resultant equation
Res(~(z),
:r,(z)) = O.
Note that this is a polynomial equation for the parameter e. We list the first few
given in the last section
examples in Table 4.3. Thus the polynomial(z) = Z2 is the only example with a fixed point of formal period 2. Similarly, the polynomial
(z) = z2 - ~ has a point offormal period 4 whose exact period is 2.
One pattern that is apparent from even the small list in Table 4.3 is the fact that
ifmln, then Res(~(z), :r,(z)) is the m th power ofa polynomial in Z[e]. See Exercises 4.7 and 4.12 for a descriptionof the m th root of Res( ~ (z), ;'" (z)).
The roots of Res( ~ (z), :r, (z)) are special points in the Mandelbrot set, which
we recall is the subset of the e-plane given by
M = {e E C : n(o) is bounded as n
-->
oo}.
Alternatively, the Mandelbrot set M is the set of e for which the Julia set J (c) is
connected. See Remark 1.34 and the picture of the Mandelbrot set (Figure 1.2) on
page 27.
The solutions to the equation
Res(~(z),
;',,(z)) (e) = 0
166
are called bifurcation points.' They connect the components of M 's interior (the
bulbs of M). For example,the point e = - ~ connects the main cardioid of M to the
disk to its left. It is clear that the bifurcation points are algebraic numbers. Beyond
that, little is known about their arithmetic properties, although Morton and Vivaldi
conjecture that the bifurcation points of type (m,n) are all Galois conjugate to one
another. (See Exercise 4.12.)
An elementaryproperty of the Mandelbrotset M , which we now prove, is that it
is contained in a disk of radius 2. Note that M is not contained in any smaller disk,
since
0 ~-2 ~2 ~2
showsthat - 2 E M .
Proposition 4.19. The Mandelbrot set is contained in the disk ofradius 2,
Me
Proof. Supposethat
{eE c: lei:::; 2}.
lei > 2 and let z = <p~(0). Then

(4.19)
We have IZl l = lei > 2 by assumption, so (4.19) and induction tell us first that IZnl
is an increasing sequence, and indeed that
Hence IZnl ->
00 ,
so e is not in M .
The set of quadratic maps whose critical points are preperiodic, but not periodic,
defines an important subset of the Mandelbrot set.
Definition. A point e E C is called a Misiurewicz point if 0 is strictly preperiodic
for <Pc(z) = z2 + c. We say that c E C is a Misiurewicz po int oftype (m ,n ) if
m 2:: 1 is the smallest integer such that <p~(0) is periodic, and
n is the primitiveperiod of <p~( 0) .
= - 2 and c = i. Thus
for c = -2 we have 0 -> -2 -+ 2 -> 2, so c = -2 has type (2,1). Similarly
for c = i we have 0 -> i -+ i-I -> -i -> i-I, so c = i has type (2,2).
Example 4.20. Examples of Misiurewicz points include c
Remark 4.21. If c is a Misiurewiczpoint, then the map <Pc is subhyperbolic without

being hyperbolic, <Pc has no neutral cycles, and the orbit 0 4>0<0) is repelling. The
Misiurewicz points are all containedin the boundary 8M ofthe Mandelbrot set, and
they are dense in 8M . For proofs of these analytic properties of Misiurewicz points,
see for example [95, VIII.l,6] or [143].
3Bifurcation point is a general term for a point in moduli space whose polynomial > satisfies Res (cI> ~ . 4J ( z ) , cI>;" .4J (z)) = O. They are points (polynomials) at which periodic points of different
orders merge and break apart. For the quadratic polynomial >(z) = z2 + c, whose moduli space is the cplane. the bifurcation points are also known as the roots ofthe hyperbolic compo nents ofthe Mandelbrot
set M .
167
It is clear that every Misiurewicz point is contained in the Mandelbrot set M ,

since preperiodicpoints certainlyhave bounded orbit. This sufficesto prove an arithmetic result.
Proposition 4.22. The set ofMisiurewicz points is a set ofbounded (absolute) height
in Q. More precisely, the height ofa Misiurewicz point 1 satisfies H (,) :S 2. Hence
there are only finitely many Misiurewicz points defined over any given numberfield.
Proof A Misiurewicz point C = 1 is the root of a polynomial of the form
for some m ~ 1 and n ~ 1. These are monic polynomials with coefficients in Z,

so not only is 1 an algebraic number, it is an algebraic integer. Further, the minimal
polynomialof 1 is a factor of Mm,n(c). On the other hand, every root of Mm,n(c) is
in the Mandelbrotset M, since if c is a root of Mm,n(c), then 0 is preperiodicfor e,
so it certainly has bounded orbit. It follows from Proposition4.19 that every Galois
conjugateof 1 has absolute value at most 2. Let K = Q( I) and let 11, ... Lr: be the
full set of Galois conjugates of I ' Then
i
II
HK(r ) =
max{1,lll vr" =
vEM K
II max{l, lril} :S 2
i= l
Takingthe r 1h root yields H (r ) :S 2.
We now describe an analytic characterization of Misiurewicz points. It depends

on the following deep result giving an analytic uniformization of the complementof
the Mandelbrot set.
Theorem4.23. (Douady-Hubbard) There is a conformal isomorphismfrom the exterior of the unit disk to the complement ofthe Mandelbrot set,
e: {w E C : Iwl >
I} ~ C " M .
Proof It is not hard to show that for all sufficiently large z (dependingon c) there is
a consistent way to choose square roots so that the limit
We(z) = lim 2\/~(Z)

n -> oo
converges and defines a holomorphic function We on some region Izi > R e . (See
ehas an analytic continuation
Exercise 4.15.) If c ~ M, then one can prove that W
to C <, M. The isomorphism in the theorem is the inverseof the map
C" M
-t
{w E C : Iwl > I} ,
See [142. 143, 141], [43, 9.1O], or [95, VIII 3,4] for details.
Remark 4.24. An immediateconsequenceof Theorem4.23 is the connectivityof the

Mandelbrot set, since the theorem implies that lP'I (C) <, M is simply connected.
168
The unifonnization map () from Theorem 4.23 can be used to give an analytic
description of the Misiurewicz points.
{w E C : Iwl > I} ~ C "M described

in Theorem 4.23. Consider the doubling map x I-t 2x on Q/7l... Let t E Q/7l.. be
preperiodic, but not periodic, for the doubling map. Let m and n be the smallest
positive integers for which we can write t in the form
Theorem 4.25. Let () be the isomorphism
(The fraction need not be in lowest terms. See Exercise 4.16.)

Then the limit
21ri t
Ct = lim ()(re
)
r-tl+
exists and is a Misiurewicz point of type (m, n) in M, although distinct values of

t E Q/7l.. may yield the same Misiurewicz point.
Remark 4.26. For a given t E Q/7l.., the "spider algorithm" [213] can be used to compute Ct numerically. The spider algorithm is mainly topological and combinatorial in
nature, although the limiting process that yields Ct E C is analytic.
4.3
The Space Rat, of Rational Functions
The set of quadratic polynomials {A z 2 + Bz + C} has dimension three, since it may

be identified with the set of triples (A, B, C) with A =I- O. In fancier language, the
space of quadratic polynomials is equal to the algebraic variety
{(A,B,C) E A3 : A =I-
o].
We have seen in Section 4.2.1 that every quadratic polynomial can be conjugated
to a polynomial of the form z2 + C, and that polynomials with different C values
are not conjugate to one another. Thus the space of conjugacy classes of quadratic
polynomials has dimension 1. It may be identified with the variety A I.
In the next few sections we study analogous parameter spaces for more general
rational maps and their conjugacy classes. We begin in this section by explaining
how the set Ratd of rational maps of degree d has a natural structure as an algebraic
variety and how the natural action of the algebraic group PGL 2 on Rat., is an algebraic action. Then in Section 4.4 we discuss (mostly without proof) how to take the
quotient of Rat, to construct the moduli space Md of conjugacy classes of rational
maps of degree d. We continue in Section 4.5 by describing a natural collection of
algebraic functions on Md that are created using symmetric functions of multipliers
of periodic points. These functions can be used to map Md into affine space. Finally,
in Section 4.6 we use these functions to prove that M 2 is isomorphic to A 2 .
A rational map : pI ~ pI of degree d is specified by two homogeneous
polynomials
4.3. The Space Rat, of Rational Functions
169
such that F and G have no common factors, or equivalently from Proposition 2.13 ,
such that the resultant Res( F, G ) does not vanish. Thu s a rational map of degree d
is determined by the 2d + 2 paramet ers aD, a 1, ... , ad, bo, b1, . . . , bd. However, if u
is any nonzero number, then [uF,uG] = [F, G], so the 2d + 2 parameters that determine are really well-defined only up to homogeneity. This allows us to identify in
a natural way the set of ration al maps of degree d with a subset of projecti ve space .
, ad), let
To ease notation, for any (d + l l-tuple a = (aD,
Fa(X , Y) = aoX d + a1Xd - 1y
+ ady d
be the associated homogeneous polynomial. Similarly, if a and bare (d + 1)-tuples,

we write [a, b] E JP'2d+ l for the point in projective space whose homogeneous coordinates are [aD, ... , ad, bo, , bdl.
Definition. The set of rational functions : JP'1 ---+ JP'1 of degree d is denoted
by R atd. It is naturally identified with an open subset ofJP'2d+l via the map
{[a, b ] E JP'2d+l : Res(Fa ,Fh )
-# a} .z;
Ra t d,
[a, b] 1-----' [Fa, Fh].

The collection of rational maps Rat d' which a priori is merely a set, thus has the
structure of a quasiprojective variety. In fact, Rat., is an affine variety, since it is the
complement of the hypersurface Res(Fa , F h ) = ain the proje ctive space JP'2d+ l .
Proposition 4.27. The variety Rat., is an affine variety defined over Q. The ring of
regularfun ctions Q [Ratd] ofRat d is given explicitly by
Equivalently, Q[Ratd l is the ring ofrationalfunctions ofdegree a in the localization

ofQ [ao, al, . . . ,ad , bo, bi , .. . , bd]at the multiplicatively closed set consisting ofthe
nonnegativepowers ofRes(Fa , Fh ) .
Proof We remind the reader that in general, if F E K[Xo, . . . , X r ] is a homogeneous polynomial of degree ti , then the complement of the zero set of F ,
is an affine variety of dimension

nal function
7'.
(See [198, Exercise 1.3.5].) Explicitl y, each ratio-
with i o + i 1 + ...+ i r = n
is a regular (i.e., everywhere well-d efined) function on V. There are ( r ~n) such
functions , and together they define an embedding
170
of V into affine space. The affine coordinate ring of V is the ring of polynomials in
these lio ... i r ,
K[V] = K [f..
.].'to +.'1,1 +"'+Zr=n
.
.
"0"'1'''1'
In the language of commutative algebra,
K[V] = K[Xo, ... ,Xn , 1/F](O)

is the set of rational functions of degree 0 in the localization of K[Xo, ... , X n ] at
the multiplicatively closed set (Fik~_o. Applying this general construction to
gives the results stated in the proposition.
Remark 4.28. The geometry of Ratd (C), especially near its boundary, presents many
interesting problems. See [121, 122,369,370].
Example 4.29. Let
be the resultant of aoX 2 + alXY + a2y2 and bOX 2 + b1XY + b2y 2. Then the
collection of 84 functions
gives an embedding of Rat2 into A84. Of course, this is not the smallest affine
space into which Rat2 can be embedded. Projecting onto appropriately chosen hyperplanes, there is certainly an affine embedding of the 5-dimensional space Rat2
into A 11; see [198, Exercise IV.3.11].
Example 4.30. The set of rational functions of degree 1 is exactly the set of linear
fractional transformations,
Rat,
= PGL 2 = {[aX + (3Y, "IX + 8Y] : a8 -
(3"1
f- o} C
1P'3.
We note that PGL 2 is not merely a variety, it is a group variety, which means that
the maps
PGL 2 X PGL 2 -------; PGL 2,
(fI, h)
1-----+
and
fIh
defining the group structure are morphisms.
PGL 2
-------;
PGL 2 ,
1-----+
1-1,
4.3. The Space Rat., of Rational Functions
171
Each point of Rat., determines a rational map jp'l ---> jp'l. Further, as we vary
the chosen point in Ratd, the rational maps "vary algebraically." We can make this
vague statement precise by saying that the natural map
: jp'l X Ratd
([X,Y],[a,bJ)
Ratd,
------t
jp'l X
f-----*
([Fa(X,Y),Fb(X,Y)],[a,bJ),
(4.20)
is a morphism of varieties. The following definition is useful for describing families

that vary algebraically.
Definition. Let V be an algebraic variety. The projective line over V is the product
A morphism 'l/J : jp'~ ---> jp'~ over V is a morphism that respects the projection to V,
i.e., the following diagram commutes, where the diagonal arrows are projection onto
the second factor:
./
'\.
V
Then 'l/J can be written in the form
'l/J = [F(X, Y), G(X, Y)],

where F, G E K(V)[X, Y] are homogeneous polynomials with coefficients that are
rational functions on V. The degree of'l/J is the degree of the homogeneous polynomials F and G.4
Any morphism .\ : V ---> W of varieties induces a natural morphism jp'~ ---> jp'tv,
which, by abuse of notation, we also denote by .\. Thus
.\(P, t)
for (P, t) E jp'~ .
= (p, .\(t))
With this notation, the map (4.20) says that there is a natural morphism
over Ratd. The next proposition says that this is a universal family ofrational maps
of degree d.
Proposition 4.31. Let V be an algebraic variety and let

'l/J : jp'~
------t
jp'~
be a morphism over V ofdegree d. Then there is a unique morphism

4More generally, if'lj! : 1I'~
is the degree of 'Ij!.
-+
1I'~ is a morphism of S-schemes, then 'Ij!*OpN (1) ~ OpN (d) and d
172
such that the inducedmap ,\ : p~
-->
Phatdfits into the commutative diagram

,p
pI
-------t
pI
lA
lA
Phatd
<J>
-------t
(4.21 )
pI
Ra t .,
Remark 4.32. The commutative diagram (4.21) in Proposition 4.31 says that any
algebraic family of degree d rational maps W : JIl'~ --> p~ factors through the Ratd
family. Thus : Phatd --> Phatd is a universal family of rational maps of degree d.
It is an example of afine moduli space. See [322, 323, 335] for further information
about moduli spaces.
Proof Let U c V be an affine open subset and write K[U] for its affine coordinate ring. The fact that 'IjJ is a morphism over V implies that it restricts to give a
morphism e : JIl'h --> ph over U. This restriction of 'IjJ to ph has the form
'IjJ = [o:oX d + O:IX d- Iy
+ ... + O:d y d, f3oX d + f3 IX d- I y +

with 0:0 , .. . , O:d, f30,
+ f3dy d],
,f3d E K[U].
In other words, the coefficients of the polynomials defining 'IjJ are regular functions
on the affineopen set U . In particular, if there is a map ,\ : V --> Ratd making(4.21)
commute, then it must be given by ,\ = [0:0"" , O:d, {3o, . . . , (3d] at any points of V
at which the O:i and f3i are defined and the homogeneous polynomials in (4.21) have
no common roots.
Now given any point in V , we can find a neighborhood U of that point and
O:i , f3i E K[U] as above such that 'l/J : ph --> ph is given by
'l/J ([x , y], t)
[o:o(t )x d + ...+ O:d(t)yd, f3o( t)x d + ...+ f3d(t )yd]

for
([x, y], t) E ph. (4.22)
Using a natural notation, we abbreviate this by writing
W(P, t ) =
[Fo: (t ) (P), F,6(t ) (P)]
In order to make the diagram(4.21) commuteon p h c P~ , we are forced to define,\

on Uby
'\(t ) = [0:0(t),0:1(t), .. " O:d(t ),f30(t ), f3I(t )' ... ,f3d(t )] E p 2d + l .
(4.23)
Further, this ,\ will have the desired properties provided that its image lies in Rat d.
However, the fact that 'IjJ is given by (4.22) for every point in Ph implies that for
every t E U, the homogeneous polynomials Fo: (t ) and F,6(t ) have no common root
in pl. It follows from Proposition 2.13(a) that their resultant
4.3. The Space Ratd of Rational Functions
173
Res(Fn , F(3 ) E K[U]

is nonzero at every point in U. Hence the image of the map>. = [a, b] defined
by (4.23) is in Ratd .
We have now proven that every point in V has a neighborhood U for which
there is a map>. : U ----t Ratd making (4.21) commute. Further, the maps on different U must agree on the intersection by the uniqueness discussed earlier. Fitting
them together, we find that there is a unique map>. : V ----t Ratd making (4.21)
commute .
0
An ongoing theme of this text has been the observation that a pair of rational
maps l , 2 E Rat., determine (arithmetically) equivalent dynamical systems if they
are PGL 2-conjugate, i.e., if there is a linear fractional transformation f E PGL 2
such that 2 = { = f -l f. The conjugation action ofPGL 2 on Rat., is algebraic
in the following sense.
Proposition 4.33. The map

(4.24)
is an algebraic group action ofPGL 2 on Rat., and is defined over Q. This means
that the map (4.24) is both a morphism defined over Q and a group action.
Proof The proof is mostly a matter of unsorting the definitions. Let
f = [aX + {3Y" X + bY]
E PGL 2 C
jp'3
and
= [Fa, Fb] E Ratd C
jp'2d+l .
Then
+ (3Y, I'X + oY) - {3Fb(a X + (3Y, I'X + OY),

,Fa(aX + (3Y ,I'X + oY ) + a Fb(aX + (3Y, I'X + OY)] .
I ([X , YJ) = [oFa (aX

-
(4.25)
The homogeneity of Fa and Fb shows that (4.24) at least gives a well-defined rational
map
jp'3 X
jp'2d+ 1
---t
jp'2 d+l ,
(J,) ~ / .
Further, an elementary resultant calculation (Exercise 2.7) shows that the resultant
of the two polynomials appearing in the righthand side of (4.25) is equal to
It follows that if f E PGL 2 and E R atd, then I is a well-defined point in Ratd.

This proves that the map (4.24) is a morphism. The fact that it is a group action is
then a straightforward, albeit tedious, calculation.
0
174
4. Families of DynamicalSystems
Example 4.34. Inprinciple it is possible to explicitly write down the action ofPGL 2
on Ratd, but in practice the expressions become hopelessly unwieldy for even moderate values of d. As illustration, we describe the action for d = 2. Let
j
= [aX + (3Y, 'YX + oY]
and
and set
Multiplying out both sides of (4.25) and equating the coefficients of X 2, XY, and y 2
yields the following formulas for the coefficients of Fal and Fbi:
a~ = a 20ao
+ a'Y0al + loa2 - a 2{3bo - a{3'Ybl - {3'Y2b2,

a~ = 2a{3oao + (ao + {3'Y)oal + 2'Y02a2 - 2a{32bo - (ao + {3'Y){3b l - 2{3'Yob2,
a~ = {32 0ao + {302 al + 03a2 - {33b o - {32 0bl - {302b 2,
b~ = -a2'Yao - a'Y2al - 'Y3a2 + a 3bo + a2'Ybl + a'Y2b2,
b~ = - 2a{3'Yao - ({3'Y + aohal - 2'Y20a2 + 2a 2{3b o + (ao + {3'Y )ab l + 2a'Yob2,
b~ = _{32'YaO - {3'Y0al - 'Y02a2 + a{32b o + a{3ob l + a0 2b2.
4.4
The Moduli Space M d of Dynamical Systems
The intrinsic properties of the dynamical system associated to a rational map depend only on the PGL 2-conjugacy class of , so it is natural to take the quotient of
the space Rat., by the conjugation action ofPGL 2 .
Definition. The moduli space of rational maps of degree d on pI is the quotient

space
M d = Ratd / PGL 2 ,
where PGL 2 acts on Rat., via conjugation f = j-Ij as described in Proposition 4.33. For the moment, the quotient space Md is merely a set, in the sense that
for any algebraically closed field R,
We denote the natural map from Rat., to Md by
In order to endow Md with the structure of a variety, we observe that the action
ofPGL 2 on Rat., induces in the usual wayan action ofPGL 2 on the ring of regular
functions Q[RatdJ on Ratd. Thus an element R E Q[Ratd] is a function whose
domain is the set { : pI ----+ pI} of rational functions on pI, and for j E PGL 2 we
define Rf E Q[RatdJ by the formula
Rf ()
= R(f).
4.4. The Moduli Space
Md of Dynamical Systems
175
In this way we obtain a map
so it makes sense to talk about functions in Q[RatdJ that are invariant under the
action ofPGL 2 . We write
for the ring ofPGL 2-invariant functions on Ratd.

Remark 4.35. For technical reasons, it is sometimes advantageous to replace PGL 2
by a slightly different group. The special linear group is the subgroup of GL 2 defined
by
8L 2 = {
(~ ~)
aJ -
~1 =
1} ,
and the projective special linear group P8L 2 is the image of 8L 2 in PGL 2 . The
groups 8L 2 and P8L 2 act on Rat., via conjugation in the usual way. Geometrically,
the actions ofPSL 2 and PGL 2 on Rat., are identical, since it is easy to see that the
natural inclusion 8L 2 C GL 2 induces an isomorphism
However, if K is not an algebraically closed field, then the map
need not be an isomorphism; see Exercise 4.22.

The following theorem provides the abstract quotient Ratd / PSL 2 with the
structure of an algebraic variety.
Theorem 4.36. There is an algebraic variety Md defined over Q and a morphism
(4.26)
defined over Q with the following properties:
(a) The map (4.26) is P8L 2-invariant, i.e., the following diagram is commutative:
P8L 2 x Ratd
fit
Ratd
(f,e/> )--->1/
) Ratd
l(i
C)
Md
In terms ofelements, (<Ii) = (</J) for all </J E Ratd and all
E PGL 2 .
176
(b) The map on complex points
is surjective and each fiber is the full PSL 2 (C) -orbit ofa single rational map.
Thus there is a bijection ofsets
(c) The variety M d is a connected, integral (i.e., reduced and irreducible), affine
variety ofdimension 2d - 2 whose ring ofregularfunctions is the ring ofPSL 2 invariant functions on R at d'
(d) Let VIC be a variety and let T : Rat., - t V be a morphism with the property
that T(tfyf) = T(tfy) for all tfy E Ratd(C) and all f E PGL 2(C). Then there is
a unique morphism t : M d - t V satisfying t( (tfy) ) = T( tfy ).
ProofSketch. A full proof of Theorem 4.36 (see [416]) uses the machinery of geometric invariant theory [322] and is thus unfortunately beyond the scope ofthis book.
Geometric invariant theory tells us that there is a certain subset OfJP2d+ 1 , called the
stable locus , on which the conjugation action of PSL 2 is well behaved. The main
part of the proof is to use the P SL 2-invariance of the resultant to verify that
is a PSL 2-invariant subset of the stable locus of JP2d+ l . Then the existence of the
quotient variety Md with affine coordinate ring equal to the ring of invariant functions in Q[Ratd] follows from general theorems of geometric invariant theory [322,
Chapter 1]. Further, the fact that M d is connected, integral , and affine follows immediately from the corresponding property of Rat., [322, Section 2, Remark 2]. The
dimension of Md is computed as
dim M, = dim R atd - dim PSL 2 = (2d
+ 1) -
3 = 2d - 2.
This proves (a), (b), and (c). Finally, (d) follows directly from the description of Md
and Q[Md] in (c), since the morphism T induces a map T* : Ov - t qRatd], and
the assumption that T satisfies T( tfyf) = T(tfy) implies that the image ofT* lies in
the ring qRatd]PGL2 (C) = qM d] '
0
Remark 4.37. Theorem 4.36 says that the quotient Rat d I PSL 2 is an algebraic variety. Milnor [301,302] shows that Ratd (C)1 PGL 2(C) has a natural structure as a
complex orbifold, which roughly means that locally it looks like the quotient of a
complex manifold by the action of a finite group . Thus its singularities are of a fairly
moderate type, although they can still be quite complicated. However, for rational
maps of degree 2, we will see in Section 4.6 that not only is M 2 nonsingular, it has
a particularly simple structure.
4.4. The Moduli Space Md of DynamicalSystems
177
Remark 4.38. According to Theorem 4.36(c), the affine coordinate ring of Md is the
ring ofPSL 2-invariant functions Q[RatdjPSL2. However, this is the same as the ring
of PGL 2-invariant functions, since it suffices to check for invariance by the action
ofPGL 2(C) = PSL 2(C) on an element ofQ[Ratd]'
Remark 4.39. The moduli space Md is the quotient of Rat., by the conjugation action of the group PSL 2 . In particular, if K is any algebraically closed field, then the
set of points Md(K) is exactly the collection of cosets of Ratd(K) by the conjugation action ofPSL 2(K) = PGL 2(K). However, if K is not algebraically closed,
then the natural map
is generally neither injective nor surjective. The correct description of Md(K), at

least if K is a perfect field, is
M (K) - {()
d
M (K)' for every T E _Gal(K/ K) there is an

d iT E PGL2(K) such that T() = f
}
T
The field of moduli of a rational map E Ratd(K) is the smallest field L such
that () E Md (L). Fields of moduli and related questions are studied in detail in
Section 4.10. In particular, see Example 4.85 for a map whose field of moduli is Q,
yet is not PGL 2(C)-conjugate to any map in Ratd(Q).
The moduli space Md classifies rational maps up to conjugation equivalence,
just as we want, but it has the defect that it is an affine variety. It is well known that if
possible, it is generally preferable to work with projective varieties. How might we
naturally complete Md by filling in extra points "at infinity"? Note that we should
not do this in an arbitrary fashion. Instead, we would like these extra points to correspond naturally to degenerate maps of degree d.
One possibility is simply to start with all of ]p2d+l and take the quotient by the
conjugation action of PSL z. Unfortunately, there is no natural way to give the quotient ]p2d+l / PSL 2 any kind of reasonable structure. For example, it is not a variety.
So ]p2d+l is too large. Ideally, we would like to find a subset S c ]p2d+l with the
following properties:
1. S contains Ratd.
2. PSL 2 acts on S via conjugation.
3. There is a variety T and a morphism S
----+
T that induces a bijection
4. The quotient variety T is projective.

Geometric invariant theory gives us two candidates for S. The smaller candidate
is the largest variety satisfying (3), but its quotient T may fail to be projective. The
larger candidate has a projective quotient, but the map S(C)/ PSL 2(C) ----+ T(C)
in (4) may fail to be injective. The following somewhat lengthy theorem describes the
application of geometric invariant theory to our situation, that is, to the conjugation
action of PSL 2 on ]p2d+ 1 .
178
Theorem 4.40. There are algebraic sets
Ratd C Rat d C Rat dS c jp'2d+l

(a) The conjugation action ofPSL 2 on Ra t., extends to an action ofPSL 2 on Rat d
and Rat ds .
(b) There are varieties M S and M SS and morphisms
( . ) : Rat d ---+ M d
(4.27)
and
that are invariant for the action ofPSL2 on Rat d and Rat ds . The varieties M S
and M SS and morphisms (4.27) are defined over iQ.
(c) Twopoints [a, b] and [a' , b'] in Ratd(C) have the same image in Md(C) if and
only if there is an f E PSL 2 (C) satisfying
[a',b'] = [a, b]f.

Thus as a set, M;i(c) is equal to the quotient ofRatd(C) by PSL 2 (C).
(d) Two points [a, b] and [a', b'] in RatdS(C) have the same image in M;iS(C) if
and only if the Zariski closures oftheir PSL 2 (C)-orbits have a point in common,
{[a, bJI : f
E PSL 2(C)}
n {[a', b/]I : f
Equivalently, they have the same image if and only

map f : {t E C : 0 < It I < I} ---+ SL2 (C) such that
lim
t-O
E PSL 2(C)}
if there
=I 0.
is a holomorphic
[a, b ]f t = [a', b/].
(e) M;i is a quasiprojective variety and M;is is a projective variety.

(f) (Numerical Criterion) A point [a, b] E jp'2d+I (C) is not in RatdS if and only
there is an f E PSL 2 (C) such that [a', b'] = [a, bj! satisfies
ai
= 0 for all z :S
d-l
-2-
and
bi
Similarly, [a, b) is not in Rat dif and only

[a', b'] = [a, bj! satisfies
ai
= 0 for all i <
d-l
-2-
(g) M;i is isomorphic to M;is
and
= 0 for all z :S
d+l
-2-'
if
(4.28)
if there is an f E PSL 2(C) such that
b, = 0 for all i
d+l
< -2-'
(4.29)
if and only if d is even.
Proof The proofofthis theorem is beyond the scope of this book. However, we note
that half of (g), namely M d ~ M':t for even d, follows directly from the numerical
criterion in (f), since for even d the criteria (4.28) and (4.29) are the same. See [416]
for a proof of a general version of Theorem 4.40 over Z. See also [30 I, 302] for a
similar construction over Co
D
4.5. Periodic Points,Multipliers, and Multiplier Spectra
179
Remark 4.41. In Theorem 4.40, the set denoted by Ratd is called the set of stable
rational maps, and the set denoted by Ratd8 is called the set of semis table rational
maps. Note that points in these sets need not represent actual rational maps of degree d on pl. The intuition is that points in Rat d and Ratd8 that are not in Ratd
correspond to maps that want to be of degree d but have degenerated in some reasonably nice way into maps of lower degree.
Remark 4.42. Theorem 4.40(c) says that the stable quotient Md(C) has the natural quotient property, since its points correspond exactly to the PSL 2(C)-orbits of
points in Ratd(C). Quotient varieties with this agreeable property are calledgeometric quotients. The semistable quotient M d8 (C) has a much subtler quotient property.
According to Theorem 4.40(d), points in Ratd8(C) with distinct PSL 2(C)-orbits
give the same point in M d8 (C) if their orbits approach one another in the limit.
Quotients of this kind are called categorical quotients. As compensation for the lessintuitive notion of categorical quotient, Theorem 4.40(e) tells us that M d8 is projective, so M d8 (C) is compact. Finally, Theorem 4.40(g) says that if d is even, then M d
and M d8 coincide, so in this case, the moduli space Md has a projective closure with
a natural (geometric) quotient structure.
Remark 4.43. Applying the full machinery ofgeometric invariant theory to the action
of PSL 2 /Z on pid+l, it is possible to prove versions of Theorems 4.36 and 4.40
over Z. In other words, there is a filtration of schemes over Z,
such that the group scheme PSL 2 /Z acts on each of these schemes and such that
the quotient schemes Md C M d C M 8 8 exist in a suitable sense. In particular,
Theorems 4.36 and 4.40 are true with Q replaced by the finite field JF p- The proof
is similar to the proof over Q, but requires Sheshadri's theorem that reductive group
schemes are geometricallly reductive. See [416] for details.
4.5
Periodic Points, Multipliers, and Multiplier

Spectra
The moduli space Md of rational functions modulo PSL 2-equivalence is an affine

variety whose ring of regular functions
consists of all regular functions on Rat., that are invariant under the action of PSL 2 ,
or equivalently under the action ofPGL 2(C); see Remark 4.38. Abstract invariant
theory, as described in the proof sketch of Theorem 4.36, says that there are many
such functions. In this section we use periodic points to explicitly construct a large
class of regular functions on Md-
180
Example 4.44. Let E Ratd(C) be a rational function of degree d defined over

the complex numbers. Associated to each fixed point P E Fix( ) is its multiplier Ap () E <C*. A simple calculation (Proposition 1.9) shows that Ap()
is PGL 2 -invariant in the sense that if f E PGL 2 (C), then
and
Thus in some sense the function f---+ A(P) is a function on Md, where P is a fixed
point of . Unfortunately, this is not quite correct, since there is no way to pick out a
particular fixed point P for a given map .
Recall that a rational map of degree d has d + 1 fixed points counted with
appropriate multiplicities, say
The points in Fix( ) do not come in any particular order, so the set of multipliers for
the fixed points,
is an unordered set of numbers, but as a set, it depends only on {), the PGL 2 equivalence class of . Hence if we take any symmetric function of the elements in
this set of multipliers, we get a number that depends only on {).
The elementary symmetric polynomials generate the ring of all symmetric functions, so we define numbers
by the formula
IT
PEFix(l
d+l
(T + Ap()) = I~>i()Td+l-i.
i=O
In other words, the quantity (Ji () is the i th elementary symmetric polynomial of the
multipliers ApI (), ... ,APd+1 ().
From this construction, it is clear that a, (f) = (J i ( ) for all f E PG L 2 Further,
if we treat the coefficients of = [Fa, Pb ] as indeterminates, then the fixed points Pi
and the multipliers APi ( ) of are algebraic over Q(ao,... , bd) and form a complete set of Galois conjugates, from which it follows that symmetric expressions in
the Api (), for example the functions a, (), are in the field Q( ao, ... ,bd)' With a
bit more work, which we describe in greater generality later in this section, one can
show that the multipliers Api () are integral over the ring
and hence that (Ji() E Q[Md]' Thus symmetric polynomials in the multipliers of
the fixed points of are regular functions on the moduli space Md.
4.5. Periodic Points,Multipliers, and Multiplier Spectra
181
Example 4.45. We illustrate the construction of Example 4.44 for rational maps of
degree 2. As usual, we write
The map rP has three fixed points P1 , P2 , P2 , and after much algebraic manipulation
one finds that the first elementary symmetric function of the multipliers,
is given explicitly by the horrendous-looking formula
Notice that the denominator of al (rP) is Res(Fa , F b ) , so al (rP) is in iQ[Ratd]. It is far

less obvious that this expression for al (rP) is PGL 2-invariant. One can verify directly
that al (rP) = al (rP f ) by checking that al (rP) does not change when ao, ... .bz are
replaced by the expressions a~, ... ,b; described in Example 4.34. We leave this
task to the interested reader who has, we hope, access to a suitably robust computer
algebra system.
We have used the set of multipliers of the fixed points of a rational map rP to
create PGL 2-invariant functions on Ratd' More generally, we can use the multipliers
associated to periodic points of any order to create such functions.
Recall from Section 4.1 (page 149) that for any rP E Rat, we write
with homogeneous polynomials F,n, G,n E K[X, Y] ofdegree d", (See also Exercise 4.9.) Then the set Per., (rP) of n-periodic points of rP are the roots of the n-period
polynomial
,n(X, Y)
= YF,n(X, Y)
- XG,n(X, Y),
and the set Per~ (rP) of formal n-periodic points of rP are the roots ofthe nthdynatomic
polynomial of rP,
 ,n
* (X , Y) = II(YF,k,
(X Y)-XG ,k,
(X y))Jl(n/k) =
kin
II ,k,
(X y)Jl(n/k) ,
kin
where we proved in Theorem 4.5 that ;;',n is a polynomial.

The polynomial ,n is homogeneous of degree d" + 1. For the purposes of this
section, it is convenient to let Per n ( rP) be a "set with multiplicity" in the sense that
a point appears in Per n ( rP) according to its multiplicity as a root of , rr- Similarly,
we denote the degree of ;;',n by Vd( n) (see Remark 4.3) and we assume that points
appear in Per~ (rP) according to their multiplicity as roots of ;;',n'
182
Definition. Let E Rat d. The n-multiplier spectrum of is the collection of values
The formal n-multiplierspectrum of is the analogous set of values

A~( ) = {>. p() : P E Per~ ( )}.
In both sets, the multipliers are taken with the appropriate multiplicity.
Example 4.46. Let (z) = zd with d ~ 2. Then Pern ( ) = {O, oo} U JLdn-l
consists of the points 0, 00, and the (dn - 1) lh roots of unity. It is easy to check
that >'o() = >'oo() = 0, and for ( E JLdn-l we have
dn_l copies
An () = {O ,O,dn ,dn , .. . , dn }.
Hence
And if n ~ 2, then A~ () consists of <p( d" - 1) copies of d"; where <p( m ) is the
Euler totient function (not to be confused with the rational function ( z)).
Example 4.47. Let (z) = z2 + bz. Then

Perl () = {O,l - b,oo}
and
A1 () = {b, 2 - b, O}.
Next we compute
*
2(z) - Z
2
<1>4>,2= (z) -z =z + (b+l )z+b +1.
The two points of formal period 2 are the roots of <1>;;,2'
Letting
0:
and (3 denote these two values, we substitute them into
to compute their multipliers, which tum out to be identical ,
Thus
A; () = {4 + 2b -
b2 , 4 + 2b - b2 }
The multiplier spectra A n () and A~ ( ) depend only on the PGL 2-equivalence

class of , so we can use them to define functions on M d.
4.5. PeriodicPoints, Multipliers, and Multiplier Spectra
183
n)
Definition. Let E Ratd and n 2:: 1. Define quantities O"i () for 0 :S i :S d"
by the relation
dn+l
dn+ l-i.
n)
(T +.\) =
O"i ()T
+1
II
AEAn(q,)
i=O
Similarly, define quantities ;~n) () for 0 :S i :S Vd(n) by

Vd(n)
II
(T +.\) =
AEA;;(q,)
;~n)()Tdn+1-i.
i=O
Example 4.48. Continuingwith Example 4.46, let (z) = zd. Then
II
(T +.\) = T 2(T + dn)dn-l
and
AEAn(q,)
II
(T +.\) = (T + dn)'PW).
AEA;;(q,)
Example 4.49. Continuing with Example 4.47, let (z) = z2 + bz. We computed
Al () = {b,2 - b,O}, so
II
(T +.\)
(T + b)(T + 2 - b)T = T 3 + 2T 2 + (2b - b2)T,
AEAt{ q,)
which gives
l)
O"i
O"~l)
= 2,
= 2b-
b2,
O"~l)
= O.
Similarly, using the set A2() computed in (4.30), we find that
II
(T + .\) = (T + 4 + 2b - b2)2,
AEA;(q,)
so
(;-i2 ) =
2b2 - 4b - 8
and
(;-~2) = (4 + 2b _ b2)2.
Theorem 4.50. For E Ratd, n 2:: 1, and i in the appropriate range, let
0"; n) ()
and (;- ~ n) () be the symmetric polynomials ofthe n-multiplier spectra of .

(a) Thefunctions
and
(4.31 )
are in Q[Ratd], i.e., they are rational functions in the coefficients ao,... , bd of
the map = [Fa, Fb ] with denominators that are a power ofRes(Fa , F b ) .
(b) The functions (4.31) are PGL 2-invariant, and hence are in the ring of regular
functions Q[Md] ofthe dynamical moduli space Md.
Proof We sketch the proof for O";n)() and leave ;~n\) as an exercise for the
reader (Exercise 4.26).

(a) We write
184
using homogeneous polynomials of degree d", Formal properties of the resultant and
an easy induction imply that
(See Exercise 4.9.) Thus the rings
oP)
()
are equal. This allows us to replace by n and consider the quantities
associated to the fixed points of . To ease notation, for the remainder of this proof
we write a, () instead of O"?) ().
Let L denote the field Q(ao, ... , bd), where we treat ao, ... ,bd as indeterminates. The fixed points of = [Fa, F b ] are the roots of a polynomial with coefficients in L, so they are defined over an algebraic extension of L. It follows that the
fixed points Fix( ) and their set of multipliers Al () are Gal(L j L )-invariant sets,
so the symmetric polynomials O"i( ) of the fixed points of are Gal(Lj L )-invariant
elements of L. This proves that each a, () is in L. Further, it is clear from the construction that a, () is homogeneous in a and b, in the sense that a, () gives the
same value for [Fea, Feb] for any nonzero constant c. Thus the a, () are in L(O),
where the 0 denotes rational functions of ao, ... ,bd whose numerator and denominator are homogeneous of the same degree.
Our next task is to prove that they are regular functions on Ratd, i.e., that they
are well-defined at every point of Ratd. In order to do this, we must show that their
only poles occur when Res(Fa , F b ) = O. Let
be the ring of polynomials in the indeterminates ao, ... ,bd , and to simplify notation,
let
r = Res(Fa , Fb ) E A
denote the resultant of Fa and Fb. With this notation, Theorem 4.27 says that the
coordinate ring of Rat., is Q[Ratd], which equals A[r- 1 ](0), where again the 0 indicates that we take rational functions of degree O. We also note that the polynomial r
is irreducible in A. 5
We are first going to prove that O"i() is in the ring A[bdl, r- 1 j. We dehomogenize by setting [X, Y] = [z, 1] and write (z) = Fa(z)j Fb(z). The fixed points of
are the roots of the polynomial ( z) - z, or equivalently, the roots of the polynomial
zFb(z)-Fa(z) = bdZd+l+(bd_l-ad)zd+(bd_2-ad_dzd-l+. +(bo-adz+ao.

(4.32)
5 Indeed, the resultant polynomial is geometrically irreducible, which means that it is irreducible
in K[aa, ... , bd ] for any field K, see [436, 5.9].
4.5. Periodic Points, Multipliers, and Multiplier Spectra
185
The roots a 1, . . . , adH ofthis polynomial in L are integral over the ring A [bd1]. For
any such root a, the corresponding multiplier is
'(a) = Fb(a )Fa (a ) - F~ (a)Fb (a) .

Fb (a )2
Let B be the integral closure of A[bdI ] in the field L (a ). It is clear that the numerator
of ' (a) is in B. We claim that its denominator is a unit in B [r- I ] . Suppose not. Then
we can find a maximal ideallfJ C B[r- I ] with Fb(a ) E 1fJ. But a is a root of (4.32) ,
so
Thus z = a is a simultaneous root of
so a standard property of resultants (Proposition 2.13(a)) implies that
But this is a contradiction, since r is a unit in B[r- 1 ] , so it cannot be an element of a

maximal ideal. Hence Fb(a ) is a unit in B[r- I ] , and therefore the multiplier ' (a )
is in B [r- I ] .
We have now shown that each of the multipliers ' (a 1), ... , ' (ad+ 1) E L is
integral over the ring A [b d1 , r - 1 ]. Hence the symmetric polynomial s in these quantities, i.e., (JI ()"" , (Jd+1( ), are in L CO) and are integral over A [b d1, r - I ]. It follows that they are in A [b d!, r - 1j CO) , since the ring A [b d1, r - 1] is integrally closed
in its fraction field L.
A similar argument dehomogenizing [X, Y] = [1, w] shows that the a, are in the
ring A[ad1 , r - I ]CO). Therefore
(b) Our earlier calculation (Propos ition 1.9) showed that for every complex point
jF2d+I (C) with Res(Pa , Pb) i- 0, the set of multipliers of = [Fa, Pb]
is P GL 2(C)-invariant. Hence the same is true for the quantities a, () for all i. This
invariance says the following : Let f (z) = (az + (3) / (ry z + J) be a linear fractional
transformation with indeterminate coefficients a, (3, " J and consider the difference
[a, b] E
(4.33)
Clearly (4.33) is a rational function in Q(ao, . .. , bd , a , (3" , J) , and the PGL 2 (C)invariance of Si() says that (4.33) vanishes for all choices of ( ~
E GL 2 (C). It
follows that (4.33) is identically zero.
Finally, Theorem 4.36(c) says that Q[Md ] is the subring ofPGLrinvariant functions in Q[RatdJ (see also Remark 4.38), so in particular the function s (4.3 1) are
in Q[M d]'
186
Remark 4.51. As noted earlier in Remark 4.43, the moduli space M d exists as a
scheme over Z. Theorem 4.50 is also valid over Z, so in particular the affine coordinate ring Z[Md] is the ring of PSL 2-invariant functions in Z[Ratd]' See [416,
Theorems 4.2 and 4.5].
The functions O";n) and ~~n) constructed in Theorem 4.50 are regular functions
on Md' so they can be used to map Md to affine space. For example, in the next
section we show that
* (I ) * (I ) ) ' M
.(>2
.
2--+&
( 0"1,0"2
is an isomorphism. In general, Md is not isomorphic to A,2d-2, but we might ask

whether using a sufficient number of the O";n) or ~~n) gives an embedding of Md
into affine space.
In particular, do the values of all O";n) or ~~n)() determine the PGL 2 (C)conjugacy class of ? The answer is no. The Lanes maps that we studied in Section 1.6.3 provide nontrivial families of rational maps whose multiplier spectra, and
hence whose O";n) and ~~n) values, are all the same.
-I -
Example 4.52. For each t E C* with t
x4
t(x) =
2;,consider the rational map
2tx 2 - Stx + t 2
4x3 + 4tx + 4t
-
It is the Lattes map associated to multiplication-by-2 on the elliptic curve
E t : y2 = x 3 + tx + t;
see Section 1.6.3. Following standard notation, we write Edm] for the points of E;
of order m. Then the n-periodic points of are given by
and it is not hard to compute the multipliers at these points,

if a E x(Ed2n - 1]) and a
if a E x(Ed2n
if a
+ 1]) and a
-I 00,
-I 00,
= 00.
(For proofs of these statements, see Proposition 6.52 in Section 6.5.)

For any m, the set E[m] of m-torsion points has order m 2, and for odd m the
map x : E[m] --+ ]p'1 is exactly 2-to-l except at x- 1 ( 00 ) , so we can use the listed
values of >'0: (t) to compute
II
(T + >.)
(T
+ 2n)22n-l_2n (T - 2n)22n-l+2n (T + 22n).
).,EAn(<!>t)
In particular, we see that every map t has the same set ofmultipliers, so 0"; n) (t)
does not depend on t. (A similar statement holds for ~~n) (t).) Hence no matter how
4.5. Periodic Points, Multipliers, and Multiplier Spectra
ai
187
k
) we use, the resulting map M 4 -+ A always compresses all of
many functions
the maps t down to a single point. On the other hand, we will later prove that the t
are not PGL 2-conjugate to one another (see Theorem 6.46). Hence the image ofthe
map
C*" {_2J} ~ M 4,
t r-----t (t),
is a curve in M 4 that is compressed to a single point in A k. An important theorem

n
says that aside from Lattes examples of this kind, the map on Md defined by the
)
is finite-to-one.
ai
Theorem 4.53. (McMullen [294, 2]) Fix d 2: 2, andfor each N 2: 1 let

(4.34)
ai
be the map defined using all ofthe functions n) with 1 ~ ~ N. If N is sufficiently

large, then the map U d,N is finite-to-one on Md(C) except for certain families of
Lanes maps that it compresses down to a single point. In particular, it isfinite-to-one
if d is not a perfect square.
Further, the same statement is true for the map
U
*d,N .. M d
Ai
~ fl
defined using all ofthe functions ;;-~n) with 1 ~ n ~ N. (The flexible Lattes mapsfor
which U d,N and U d,N' are not finite-to-one are discussed in detail in Section 6.5.)
McMullen's theorem says that aside from the flexible Lattes maps, the maps U d,N
and U d,N' are finite-to-one onto their image. One might hope that they are actually
injective ifwe avoid the flexible Lattes maps, but it turns out that this is far from true.
Theorem 4.54. Define the degree of U d,N to be the number ofpoints in U d,~ (P) for
a generic point P in the image U d,N(Md)' One can show that the degree of U d,N
stabilizes as N -+ 00. We write deg(u d)for this value. Thenfor every E > 0 there is
a constant CE such that
for all d.
In particular, the multipliers of a rational function E Rat., determine the conjugacy class of only up to DE (d~ -E) possibilities.
Proof We will prove this in Chapter 6 using Lanes maps associated to elliptic curves
with complex multiplication; see Theorem 6.62.
0
Definition. Following Milnor [300], we define the multiplier spectrum of a rational

map to be the function A () that to each positive integer ti assigns the set An().
In other words, A( ) is the set-valued function
A( ) : N
Sets with Multiplicities,
188
Two rational maps are said to be isospectral if they have the same multiplier spectrum. Then another way to state McMullen's Theorem 4.53 is to say that aside from
the flexible Lattes maps, the multiplier spectrum determines the rational map </J up
to finitely many possibilities. The fact that the flexible Lattes maps form nontrivial
isospectral families is proven in Section 6.5.
Remark 4.55. We show in the next section that the map
is an injection, and in fact it maps M 2 isomorphically to the plane z = x - 2,

so M 2 S:' A2 . On the other hand, the existence of the Lattes maps described in
Example 4.52 shows that a 4,N cannot be finite-to-one on M 4 . The degree of the
map
does not appear to be known.
4.6
The Moduli Space M

Degree 2
of Dynamical Systems of
Theorem 4.50 tells us that symmetric combinations of the numbers in the multiplier
spectra give well-defined functions on the moduli space Md of degree d dynamical
systems on pl. In this section we describe Milnor's explicit identification of M 2
with A 2 using two of these functions.
Theorem 4.56. (Milnor [301], see also [416]) Let (Jl, (J2, (J3 E Q[Rat2J be the three
functions constructedfrom the fixed points ofa rational map ofdegree 2, i.e.,
II
(T
+ Ap(</J))
PEFix(l
L (Ji(</J)T3- i.
i=O
(In the notation from page 183, we have a,

(a) (Jl = (J3 + 2.
(b) The morphism
a
= (J?l for 0 ~ i ~
3.)
= (Jl, (J2) : Rat2 -----t A 2
has the following three properties:
t7(</J) for all </J E Rat2(C) and all f E PGL 2(C).

(ii) Let </Jl, </J2 E Rat2(C)' If t7(</Jd = t7(</J2), then there exists a Mobius
transformation f E PGL 2(C) such that </J 2 = </Jf.
(iii) Let (81, 82) E A 2(C). Then there exists a rational map </J E Rat2(C) such
that t7(</J) = (81,82),
(i) t7(</Jf)
Hence a induces a bijection a : M 2 (C) ~ A 2 (C).
4.6. The Moduli Space
M 2 of Dynamical Systems of Degree 2
189
(c) Thefunctions iTl and iT2 are in Ql[M2 ] and the map
(T
= (iTl' iT2) :
M 2 ---7 A 2
is an isomorphism of algebraic varieties defined over Ql. Equivalently, the inducedmap
is an isomorphism ofrings.
(d) All ofthe functions iTi ) and (;.In) can be expressed as polynomials in iTl and iT2
with rational coefficients.
(e) For any field extension K/Ql, the map (T : M2 -> A2 in (c) induces a bijection
M 2(K) +--+ A2(K). (Note that Md(K) is not the same as Ratd(K)/ PSL 2(K );
see Remark 4.39 and Section 4.10.)
Remark 4.57. For some applications it is useful to have an explicit description of the
map
2
(T = (iTl' iT2) : Rat2 ---7 A
described in Theorem 4.56(b). Let
p(a, b)
= ab6 - ala2bObl + aoa2br + arbOb2 - 2aOa2bob2 - aoa1b1b2 + a6b
denote the resultant of Fa and Fb . Then, after some algebraic manipulation, one
finds that iTl and iT2 are given by the expressions
= a{bo - 4aOa1a2bo - 6ab6 - aOarbl + 4a6a2bl + 4a 1a2bob1
p(a, b)iTl(</
+ a 2b{ - 2arbob2 + 4aOa2bOb2 - 4a2bObl b2

- a1brb2 + 2a6b + 4a 1bob,
p(a, b)o-2(</ = -a6ar + 4a~a2 - 2a{bo + 10aOa1a2bo + 12ab6 - 4a6a2bl
- 7a1a2bob1 - arbr + 5aOa2br - 2a2b{ + 2a6alb2 + 5arbob2
- 4aOa2bob2 - aOa1, b2 + 10a2bob1b2 - 4a 1bob + 2aob1b
- brb + 4bob~.
- 2aOa2br
Remark 4.58. According to Theorem 4.56(c), every function (;.In) E Ql[M2 ] is a

polynomial in iTl and iT2. In practice, it can be quite challenging to find explicit
expressions. Milnor [301] gives the examples
* (2)
iT 1
= 2iTl + iT2,
(;.i ) = iTl (2iTl + iT2) + 3iTl + 3,

3
(;.~3)
= ( iTl
+ iT2)2(2iTl + iT2) -
iTl(iTl
+ 2iT2) + 12iTl + 28.
Notice that these expressions are in Z[iTl'iT2], rather than merely in Ql[iTl, iT2]' This
reflects the fact that the map (T : M 2 -> A 2 is actually an isomorphism of schemes
over Z as described in Remarks 4.43 and 4.51. The functions (;.In) are regular functions on the scheme M 2 /Z, so they are in Z[iTl'iT2]' See [416] for details.
190
ProofofTheorem 4.56. (a) Let E Rat2(iC) and let AI, A2' A3 be the multipliers of
the fixed points of . If we assume that none of AI, A2' A3 is equal to 1, then we can
apply Theorem 1.14 to deduce that
111
1 - Al
1 - A2
1 - A3
--+--+--=1.
After some algebraic manipulation this becomes
which completes the proof that 0"1 () = 0"3 () + 2 for all E Rat-, (iC) whose
multipliers are not equal to 1. It is not hard to see that such are dense in Rat2 (C)
(see Exercise 4.21), from which it follows that the function
is identically zero.
(b) The first property O'(f) = O'() is a special case of Theorem 4.50, or more
directly it is an immediate consequence of our earlier calculation (Proposition 1.9)
showing that the multipliers of a rational map are PGL 2 -invariant.
In order to prove the second property, it is convenient to show that every rational
map of degree 2 is PGL 2 -equivalent to a map of a particular shape.
Lemma 4.59. (Normal Forms Lemma) Let E Rat2(iC) be a rational map of
degree 2 and let AI, A2' A3 be the multipliers ofits fixed points.
(a) If>'1>"2 -I- 1, then there is an f E PGL 2 (C) such that
f (z) = z2 + A1 Z .
A2Z + 1
Further, Res(z2 + A1Z, >"2Z + 1) = 1 - A1A2.
(b) If A1A2 = 1, then Al = A2 = 1 and there is an
(4.35)
f E PGL 2(iC) such that
f (z) = z + ~ + ~.
(4.36)
Proof We recall that if a E Fix( ) has multiplier An, then the Taylor expansion
of around a looks like
(z)
= (a) + '(a)(z - a) + O(z - a)2 = a + An(Z - a) + O(z - a)2.
Hence
= (z) - z = (An - 1)(z - a) + O(z - a)2,

so has multiplicity 1 at the fixed point a if and only if An i- 1.
<1></>,l(Z)
We also note the formal identity
(X _1)2 - (XY -1)(XZ -1)
= X(X + Y + Z
- 2 - XYZ)
4.6. The Moduli Space M 2 of Dynamical Systems of Degree 2
191
and apply it using the relation
from (a). This yields the useful formulas
(AI - 1)2 = (AIA2 - 1)(AIA3 - 1),
(A2 - 1)2 = (A2AI - 1)(A2A3 - 1),
(4.37)
(A3 - 1)2 = (A3AI - 1)(A3A2 - 1).

We now start with a rational map
(Z)
aoz + alz + a2
boz2 + bIZ + bz
and change coordinates in order to put into the desired form.

(a) For this part we assume that AIA2 f- 1, so (4.37) tells us that Al f- 1 and
A2 f- 1. Thus the fixed points associated to Al and A2 have multiplicity I, so in
particular they are distinct and we can find an element of PGL 2 (q that moves them
to 0 and 00, respectively. After this change of variables has been made, the rational
map satisfies (O) = 0 and ( 00) = 00, so it has the form
with
Since ao f- 0, we can dehomogenize by setting ao = 1, and then a simple calculation
yields
'(O) = al = Al
b2
Thus
and
has the form
(z) = z2 + b2AIZ
A2Z + b2
with
Finally, replacing (z) by b:;I(b2z) yields the desired form (4.35), and we calculate
1 Al 0
Res(z2 + AIZ, A2Z + 1) = det A2 1 0
o A2 1
= 1-
AIA2,
which completes the proof of (a).

(b) The proof of this part is similar. We begin by moving the fixed point associated
to Al to 00, so the map has the form
with
The assumption that AIA2 = 1 combined with (4.37) tells us that Al
we have bl = ao. Dehomogenizing ao = 1 puts into the form
= A2 = 1, so
192
Next we replace (z) by (z - b2 )
+ b2 , so now (z)
(z) = Z2 +a1 z+ a2
z
looks like
with
(Of course, the values of a1 and a2 have changed.) Finally, replacing (z) by
(;a2 z)/ ;a2 gives (z) the desired form
,1,( ) _ Z2 + a1Z + 1 _
z - z + a1
z
'f/
1
+ -.
z
(4.38)
We can compute the value of a1 by observing that has a double fixed point
at 00 and that its other fixed point is at -all. (If a1 = 0, then there is a triple fixed
point at 00.) Thus the third multiplier is
so we find that a1 = ~. (This is also correct if a1

of a1 into (4.38) completes the proof of (b).
= 0.) Substituting this value

0
We resume the proof of Theorem 4.56(b,ii). Let 1 and 2 be rational maps of

degree 2 satisfying a (1) = a (2). Thus
and
and then the relation (73 = (71 - 2 from (a) implies that also (73(d = (73(2). It
follows that the set of multipliers of the fixed points of 1 and 2 are the same,
say {>'1, >'2, >'3}, since they are the three roots (counted with multiplicity) of the
polynomial
T 3 - (71 T 2 + (72 T - (73.
We consider two cases. Suppose first that >'1>'2 -# 1. Then Lemma 4.59(a) says
that 1 and 2 are 2-equivalent to the function (Z2 + >, 1z)/ (>'2 Z + 1), so they are
PGL 2-equivalent to each other, and similarly if >'1>'3 -# lor if >'2>'3 -# 1.
Weare left to consider the case >'1>'2 = >'1>'3 = >'2>'3 = 1. Then Lemma4.59(b)
tells us that >'1 = >'2 = >'3 = 1 and that 1 and 2 are both PGL 2-equivalent to the
rational map z + z-l.
This completes the proof of (b,ii), so we turn to (b,iii), the surjectivity of a . Given
(81,82) E A 2(C), we set 83 = 81 - 2 and factor the polynomial
Notice that the condition 83
= 81 - 2 gives the familiar relation

(4.39)
4.6. The Moduli Space M 2 of Dynamical Systems of Degree 2

which in tum implies the usual formal identities (4.37) for A1'A2'A3.
Suppose first that some Ai is not equal to 1, say A1 =I=- 1. Then A1A2
from (4.37), so we can set
193
=I=-
(Z)=Z2+ A1Z,
A2Z + 1
since Res(z2 + A1Z, A2Z + 1) = 1 - A1A2 from Lemma 4.59(a). The fixed points
of are 0:1 = 0, 0:2 = 00, and 0:3 = i=~~. Its multipliers at 0:1 and 0:2 are easily
computed,
and
and the multiplier at
0:3
is
where we use (4.39) for the middle equality. Hence a1 () = 81 and a2 () = 82.
We are left with the case A1 = A2 = A3 = 1, which corresponds to the values 81 = 82 = 3. It is easy to check that the rational map (z) = Z + z~l
has a triple-order fixed point at 00 and that all three multipliers are equal to 1,
so O"() = (3,3).
(c) We briefly sketch the proof, which uses basic methods from algebraic geometry.
We refer the reader to [416, 5] for further details.
The first step is to verify that the map 0" : M 2 ----t A,2 is proper. This follows
easily from the valuative criterion [198, 11.4.7] using the fact proven in (b) that every
fiber O"~ 1 (t) consists of a single point. (Roughly speaking, a morphism of varieties
over C is proper if its fibers are complete.) Next one checks that 0" is finite, which
can be proven using the fact that both M 2 and A,2 are affine varieties (cf. [416,
Lemma 5.6]). Alternatively, one can show in general that a proper quasifinite map
is finite ([299, I, Proposition 1.10]). Then one uses the fact that ft,2 is nonsingular
and the bijectivity of 0" on complex points to prove that 0" is an isomorphism (cf.
[416, Lemma 5.7]). Finally, it is clear from the explicit formulas for a1 and a2 in
Remark 4.57 that 0" is defined over Q.
(d) This is immediate from (c), which says that Q[M 2 J = Q[a1,a2], since we
already know from Theorem 4.50(b) that a;n) and ;~n) are in Q[M 2 ].
(e) This is a consequence of the fact that the isomorphism 0" : M 2 ----t A 2 in (c) is
defined over Q.
0
Remark 4.60. Regarding the proof sketch of Theorem 4.56(c), we observe that a
morphism of irreducible varieties V ----t W may be bijective on complex points, yet
not be an isomorphism. A simple example of this phenomenon is the cuspidal cubic
map
Thus in the proof that 0" : M 2 ----t A 2 is an isomorphism, it is crucial that 0"
maps M 2 onto the nonsingular variety A 2 . It does not appear to be known in general
whether Md is nonsingular.
194
The content of Theorem 4.56 is that the moduli space M 2 of dynamical systems
of degree 2 is isomorphic to A 2 and an explicit isomorphism is provided by the pair
of functions (0"1, 0"2) created from the multipliers of the fixed points of a rational
map. From our general theory (Theorem 4.40), the space M 2 sits naturally inside
two larger spaces M~ and M~8, but since d = 2 is even, these two spaces coincide
and will be denoted by M 2 . We conclude this section with a description of M 2
Theorem 4.61. Let M2 = M~ = M~8 be the completion ofM 2 constructed using

geometric invariant theory in Theorem 4.40. Then the isomorphism
extends to an isomorphism ir : M
mutes:
2 -+ jp'2
such that the following diagram com-
M2~A2
1
M2 ~
(x,y)
[x,t,l]
jp'2
The points in M 2 (C) that are not in M 2 (C) correspond to degenerate maps of
degree 2 that may be informally described as maps ofthe form
(4.40)
The point [A, BJ is uniquely determined up to reversing A and B.
Proof See [302] and [416, Theorem 6.1 and Lemmas 6.2 and 6.3].
Remark 4.62. We expand briefly on what it means to say that the points in the
set (M 2 "M 2)(C) correspond to the maps cPA,B given by (4.40). Let U C Al
be a neighborhood of and let
be a rational map that is a morphism away from 0. We denote the image of t E U

by cPt to help remind the reader that cPt is itself a map, i.e., cPt : jp'l -+ jp'l.
Consider the composition
which by abuse of notation we again denote by cP. It is a rational map, and since
U CA l and M 2 is complete, we see that it is a morphism from U to M 2 . In particular, the point cPo is a well-defined point in M 2(C) . If cPo E M 2(C) , there is nothing
to say, so we suppose that cPo ~ M 2(C) .
Then the second part of Theorem 4.61 means that possibly after choosing a
smaller neighborhood of 0, there exists a morphism
195
4.7. Automorphisms and Twists
1 : U -----+ PGL 2
such that the conjugate map
4/
has the form
with ao, .. . , b2 regular functions on U and satisfying

and
a1(0) , b2(0) not both O.
In other words, the degeneration of / at t = 0 has the form [AXY, XY + By 2 ] .

Further, the map </> determines the point [A, B] = [a1(0) , b2(0)] E JlI'l (C) up to
switching the two coordinates. In this way we identify
[A, B]
f---l
[AXY, XY
+ By 2 ],
where the symmetric group on two letters 5 2 acts on JlI'l by interchanging the coordinates . (It is an exercise to show that JlI'l /52 is isomorphic to JlI'l.)
4.7 Automorphisms and Twists

As we have repeatedly seen, from a dynamical perspective the geometric properties
ofa rational map </>(z) and its conjugates </>1 = 1- 1 </>1 are the same, since conjugation by 1 E PGL 2 (C) is simply an invertible change of variables. However, matters
become more complicated if we restrict the coefficients of 1 to lie in a field that is
not algebraically closed. This leads to a notion of conjugation equivalence relative to
a particular field, as in the following definitions.
Definition. Two rational maps </>(z) , 'ljJ(z ) E K (z) are PGL 2-equivalent if there is
a linear fractional transformation 1 E PGL 2 (k ) such that 'ljJ = </> I . More generally,
we say that </> and 1/J are PGL 2 (K) -equivalent if there is a linear fractional transformation 1 E PGL 2 (K ) such that 1/J = </>I. When PGL 2 is clear from context,
we refer more simply to ic-equivalence and K -equivalence. We leave as an exercise
(Exercise 4.31) the proof that these are equivalence relations .
We denote the set of rational maps that are k -equivalent to </> by
and similarly the set of rational maps that are K -equivalent by
Remark 4.63. In some sense we already have a notation (</ for the PGL 2 (k ) equivalence class of </>. However, we generally view ( . ) as a map Rat., --t M d and (</ as
a point in the moduli space Md, while we think of [</>] as a set of rational maps. This
is the reason for the notational distinction.
196
Not all conjugates
qi
of need be distinct. For example , the rational map
(z ) = az
b
z
+-
- ( - z ) = (z ),
satisfies
so I = for the linear fractional transformation f (z ) = - z. The set of transformations f E PGL 2 (K ) that fix is an interesting group whose properties play an
important role both geometrically and arithmetically.
Definition. Let (z ) E K (z ) be a rational map. Theautomorphismgroupof is the
group
Aut( ) = {f E PGL 2 (K) : I (z) = (z )}.
(Another common name for Aut ( ) is the group ofselfsimilarities of .)
Remark 4.64. It is easy to check that Aut() is a subgroup ofPGL 2(K) and that
for any n PGL 2(K) the map
Aut()
----t
Aut(h),
f------+
h - I fh ,
is an isomorphism (see Exercise 4.32). Thus as an abstract group, Aut( ) depends only on the PGL 2-conjugacy equivalence class of ; more precisely, the Kequivalence class of determines Aut ( ) in PGL 2 up to conjugation.
Proposition 4.65. Let (z ) E K (z ) be a rational map ofdegree d ~ 2. Then Aut( )
is afinite subgroup ofPGL 2 (K), and its order is bounded by a function ofd.
Proof Let
E Aut () . Then for any point
P E pI (K) and any n ~ 1 we have
n( p) = ( / )n (p ) = (j-I n J) (P ),
and hence
f ( n (p ))
= n (j( p)).
In particular, if P is a periodic point of (primitive) period n, then f (P) is also a

periodic point of (primitive) period n. Thus each f E Aut( ) induces a permutation
of each of the sets Per n () and Per~* ( ).
Choose three distinct integers n l, n2, n3 such that contains primitive n periodic
points for each value of n. Corollary 4.7 says that we can find such values, and further
that their magnitude can be bounded solely in terms of d. More precisely, they may
be chosen from among the first d + 5 primes. Letting
fori
1,2,3,
the action of on the sets of primitive periodic points yields a homomorphism

(4.41)
from Aut () into a product of three symmetric groups.
We claim that the homomorphism (4.41) is injective. To see this, we observe that
any f in the kernel of (4.41) fixes each Per~* ( ); hence f fixes at least three points
in pI (K) ; hence f is the identity map. Thus'the homomorphism (4.41) is injective,
which clearly implies that Au t () is finite.
D
197
4.7. Automorphisms and Twists
Remark 4.66. Propo sition 4.65 tells us that the automorphism group Aut() of a
rational map is a finite subgroup of PGL 2 (K ). For K = C, or more generall y for
any field of characteristic 0, the classical description offinite subgroup s ofPGL 2 (C)
says that every such subgroup is conjug ate to either a cyclic group, a dihedral group ,
or the symmetry group of a regular three-dimensional solid (i.e., the tetrahedral,
octahedral, and icosohedral groups) . Sec, e.g., [414].
tc
Example 4.67. Let ( be an n th root of unity, let 'ljJ( z ) E (z) be any rational map,
and let (z ) = z'ljJ(zn). Then Aut() contains a cyclic subgroup of order n generated by the map f (z ) = ( z.
Example 4.68. The map (z ) = (Z 2 - 2z )/ (-2z + 1) has an automorphism group
Au t ( ) that is isomorphic to the symmetric group S3 on three letters. More precisely
(see Exercise 4.36), the automorphi sm group of consists of the following six linear
fractional transformations:
1 z -1
1
z
}
Aut( ) = { z , -, - - , - - , - - ,1- z ~ S3'
Z
z
1- z z-1
Example 4.69. Consider the rational map
b(Z) =
b
z
+-,
whose automorphism group Aut( b) = {z, - z} has order 2. These maps are
all PGL 2-equivalent, since the linear fractional transformation f (z ) = z/bfC gives
c = { . Thus the geometric dynamical properties of b are the same for all b. However, the arithmetic properties of b may change quite substantially depending on the
value of b, since the change of variable involves a square root. So although b and c
are always PGL 2 (K)-equi valent, they are not P GL 2 (K )-equivalent unless b] is a
perfec t square in K . The underlying reason for the existence of these "twists" is the
fact that Aut ( l) is nontrivial.
Definition. Let ( z) E K (z) be a rational map. The set oftwists of over K is the
set
Twist (/K ) = {K-eqUiValen~e ~Iasse~ of maps 'ljJ SUCh } .
that 'ljJ IS K -equivalent to
Remark 4.70. As noted earlier, the geometric dynamical properties of the maps
in Twist ( / K ) are identical , but their arithmetic properties may be significantly
different. For example , if two rational maps are K -isomorphic, then the field extensions of K generated by their periodi c points are the same. This is clear from the fact
that
Pern( f ) = U -1 (P ) : P E P er n ( )} ,
so if f E PGL 2 (K), the fields generated by Per n ( ) and Pern( f ) are identical.
However, if and 'ljJ are only K -isomorphic, these fields may well be different. This
often provides a convenient method for proving that two maps are not K -isomorphic,
as in the following example.
198
Example 4.71. Continuing with Example 4.69, for each b E K * we let
b(Z)
= Z + -.
Z
We saw that these maps are all tc -isomorphic , which gives a map of sets
K*
---+
T wist (dK ),
(4.42)
Note that if b/ c is a square in K , say b/ c = a 2, then b and c are K -isomorphic ,

since c =
for the map f (z) = az E PGL2 (K ). Thus (4.42) induces a welldefined map
K* / K *2 ---+ Twist(d K) ,
(4.43)
We can use Remark 4.70 to prove that the map (4.43) is injective. (We assume that K does not have characteristic 2.) A quick computation shows that
iI> ~b ,2(X, Y) = 2X 2 + by 2, so the primitive 2-periodic points of b are
-b/2.
J
J
Hence if b and c are K-isomorphic, then the fields K ( -b/2 ) and K( -c/2)
are the same, so b/c must be a square" in K. Notice that we could not use Perl (b)
to prove this result, since the only fixed point of b is 00 .
These quadratic twists of l (z) are analogous to quadratic twists of elliptic
curves (cf. [410, X.5]). Thus fix A, B E K and, for each D E K *, let ED be
the elliptic curve ED : Dy2 = X 3 + AX + B. Then all of the ED are isomorphic
over
but E D 1 and E D 2 are isomorphic over K if and only if the ratio D, / D2 is a
square in K. This gives a natural map K * / (K * )2 --+ Twi st(E d K ).
x,
Remark 4.72. How does the theory of twists fit in with the moduli spaces Md constructed in Section 4.4? The answer is that if and 'l/J are twists of one another, then
their corresponding points () and ('l/J) in the moduli space M d are equal. This is
true because points in M d(f< ) classify rational maps of degree d modulo PGL 2 (f<)
conjugation, so points in M d(f<) do not detect whether the conjugat ion is defined
over K . In other words, there is a natural map
(4.44)
but this map is not one-to-one. It fails to be injective precisely for those maps
in Ratd(K) that have nontrivial twists; cf. Remark 4.39. On the other hand, the
next proposition and Exercise 4.38 imply that the map (4.44) is injective on a Zariski
open subset of Ratd.
We now prove that a rational map with no automorphisms has no nontrivial
twists. Later, in Theorem 4.79, we prove a much stronger result.
Proposition 4.73. Let ( z) E K (z) be a rational map ofdegree d 2: 2 and assume
that its automorphism group Aut() is trivial. Then has no nontrivial twists, i.e.,
Twist (/ K ) has only one element. the K -equivalence class of itself
6It is an easy exercise to prove that K ( VA) and K (..;B) are isomorphic if and only if AlB is a
square in K, assuming that K does not have characterist ic 2.
4.8. General Theory of Twists
199
Proof Suppose that 't/J E K (z ) is a twist of </>, so there is an j E PGL2(k ) such

that 't/J = </>/. We let an element a E Gal (k/ K ) act on j (z) and </>(z) in the natural
way by applying a to each of the coefficients. Notice that a(</ = </> and a('t/J ) = 't/J,
since the coefficients of </> and 't/J are in K. Hence
</>/
= 't/J = a('t/J ) = a(</> / )

= a(J</>j-l ) = a(J )a(</a(J-l) = a(J )</>a(J)-I = </><1(1).
Hence a(J )j-l E Aut(</. But Au t (</ is trivial by assumption, so a(J) = f. This
is true for all a E Gal (k/ K ), so we conclude? that j E PGL2 (K ). Hence 't/J = </>/
is K -isomorphic to </>, so it represents the trivial twist.
0
Remark 4.74. As we have seen in Section 4.3, the set Rat., of all rational maps of
degree d is a Zariski open subset of]P'2dH. It is the complement of the hypersurface
described by the vanishing of the resultant Res (Fa , F b ) = O. One can show that the
set of rational maps </> E Ratd having nontrivial automorphism group forms a proper
Zariski closed subset of Ratd; see Exercise 4.38. Thus most rational maps have no
nontrivial automorphisms, and those that do, fall into finitely many irreducible algebraic families . Further, since for all j E PGL 2 the automorphism groups of </> and </>/
are isomorphic as abstract groups, there is a proper Zariski closed subset of Md determined by the conjugacy classes of rational maps with nontrivial automorphisms.
It is an interesting geometric problem to describe the irreducible subvarieties making up this set and an interesting arithmetic question to describe their rational and
integral points . See Exercises 4.28 and 4.41.
4.8 General Theory of Twists

In this section we develop the basic theory of Galois twists in an abstract setting.
Although we apply this material only to rational maps, in Section 4.9, and to ]P'I ,
in Section 4.10, we develop the theory in some generality in order to clarify the
underlying principles.
Let X and Y be objects defined over the field K. For example , X and Y might be
curves or algebraic varieties or rational maps.f We consider X and Y to be equivalent
if they are isomorphic over K . However, it may happen that they are isomorphic
over tc, but not over K. This leads us to consider the following set.
Definition. Let X be an object defined over the field K .The set of twists of X / K is
the set
7The proof that PGL2(K ) is the subgroup ofPGL2 (K ) fixed by Gal(K / K ) is not hard, although
it does use Hilbert 's Theorem 90.
8Formally, X and Y should be objects in a category on which the Galois group Gal(K / K ) acts in
an appropriate way. We do not concern ourselves with such formalism and leave it to the reader either
to formulate the correct abstract concepts or to restrict attention to those situations, namely algebraic
varieties and rational maps, in which the Galois action is clear.
200
Twist(Xf K)
K -isomorphism classes of objects Y}

such that Y is defined over K ~nd
.
{
Y is isomorphic to X over K
In other words, an element of Twist (X f K) is an object Y that is defined over K

such that there is an isomorphism i : X ----+ Y, but the isomorphism i might be
defined only over an extension of K. Two elements Y and Y' in Twist(Xf K) are
considered to be equivalent if there is an isomorphism j : Y ----+ Y' that is defined
over K. The following examples should help to clarify this definition.
Example 4.75. Our first example deals with twists ofrational maps. Let <p(z) E K(z)
be an odd rational map, i.e., a rational map satisfying <p( - z) = -<p(z). Then for
each b E K* we can define a new rational map <Pb by the formula
1
<Pb(Z) = /b<p(Vbz).
The odd parity of <p(z) implies that <p has the form <p(z) = z'ljJ(z2) for some rational
map 'ljJ(z) E K(z), so <Pb(Z) = z'ljJ(bz 2) is in K(z). Further, if bE K*2, say b = e2,
then <Pb is PGL 2(K)-conjugate to <p via <Pb = <pI with f(z) = ez. In this way we
obtain a map
K*fK*2----+Twist(/K),
bf------+[<Pb]K.
(4.45)
If Aut(<p) = {z, -z}, then it is not hard to show that (4.45) is an isomorphism.
Notice how this example generalizes Example 4.71.
Example 4.76. Our second example deals with twists of the variety lP'1. For any
nonzero a E K*, let C be the plane curve
C a : x 2 + y2
All of these curves are isomorphic over
a.
K via the explicit isomorphism
i(x, y) =
(x~, y~) .
(4.46)
Further, if bfa is a square in K, say bfa = e2 , then C a and Cb are isomorphic over K
via the isomorphism i(x, y) = (ex, ey). Thus exactly as in Example 4.75, we obtain
a natural map
K* f K*2
----+
Twist( C 1 f K),
where [CalK denotes the K-isomorphism class of Ca.

Notice that iftwo curves C and C' are K-isomorphic, then the K-isomorphism
i : C ----+ C' identifies their K-rational points i : C(K) ----+ C'(K). This suffices to
prove that the curves C 1 and C- 1 are not isomorphic over Q, since
and
C- 1 (Q) = 0.
Hence C -1 represents a nontrivial element of Twist (C 1 f Q), and indeed a nontrivial

element of Twist ( CdlR.). More generally, a famous theorem of Fermat says that ifp
is an odd prime number, then
201
4.8. General Theory of Twists
if and only if
== 1 (mod 4).
Hence ifp == 3 (mod 4), then Cp represents a nontrivial element ofTwist(CdQ).

It is not hard to show that different primes p == 3 (mod 4) yield distinct elements
of Twist (Cd Q); see Exercise 4.44.
Returning to the general situation, let X be an object defined over K and let Y
represent an element of Twist( XI K ). This means that there is a K -isomorphism
i : Y --+ X.
We wish to determine whether X and Yare K -isomorphic. If i is itself a K -isomorphism, then we are done; but even if i is not a K -isomorphism, it may be possible to
modify i and tum it into a K -isornorphism.
In order to measure the extent to which i fails to be a K -isomorphism, it is natural
to make use of Galois theory, since i is defined over K if and only O'(i) = i for
every 0' E Gal(KIK) . Thus for each element 0' E Gal(KI K), we consider the
composition of maps
9a : X
a(i-I) Y
------+
------+
The map 9a = iO' (i- l ) is a K -automorphism of X, i.e., it is an isomorphism from X

to itself defined over K. If i is already defined over K, then 9a (X) = x is the identity
map, but in general 9a will be a nontrivial automorphism.
Proposition 4.77. Let X be an object defined over K , let Y be a twist of X I I{,
choose a K -isomorphism i : Y --7 X , and define a map
9: Gal(K I K )
--+
A ut (X ),
(a) The map
Gal(K / K ) ~ A ut (X ),
satisfies
for all 0' , T E Gal(K I K ).
9ar = 9 aO' (9r )
Maps satis fying 9ar = 9aO' (9r ) are called l -cocycles.

(b) Y is the trivial twist of X if and only if there is an f E Aut (X ) satisfying
fo r all a E Gal(K I K ).
Maps ofthe fo rm f O'(j -l ) are called l -coboundaries.
Proof (a) We have gar = i 0 (O'T)(i- l) = i

commutative diagram of maps:
a(r (i)- I)
)
a(i)
O' (T(i )- I ). Consider the following
------+
il
~Y
202
The top row is gun but if we travel around the diagram the long way, we get
i
a(C 1) 0 a(i ) 0 a(T(i )-l ) = goo 0 a(gT)'
(b) Suppose first that 9 is a coboundary, say goo = la(f- l ) for some IE Aut (X ).
We verify that the isomorphism I-I i : Y --; X is defined over K. For any
a E Gal (K/ K ) we have
a(f-l i ) = a(f -l )a(i ) = 1-1 gua(i ) = 1-1 ia(i-1 )a(i) = I -I i.

This proves that 1-1 i is defined over K, so Y is K -isomorphic to X.
Next suppose that Y is K -isomorphic to X, say j : Y --; X is a K -isomorphism.
Then u(j ) = j for every a E Gal (K/ K), so we have
900
= i 0 u(i- 1) = i 0 rI o aU) 0 u(C 1) = (i 0 r 1) 0 u((i 0 r1)-1).
Thus if we let I = i r 1 E Aut(X) , then goo = lu(f -l), which proves that 9 is a
D
coboundary and completes the proof of the proposition.
As the terminology suggests, there is a cohomology theory underlying Proposition 4.77.
Definition. Let
is a map
9 :r
r be a group that acts on another group A . A l -cocycle (from r to A)

---. A
satisfying
gUT = gUU (gT)
for all a , T E I',
and a l-coboundary (from r to A ) is a map of the form
I' ---. A ,
f--->
lu(f-l ) for some I E A.
The cohomology set H1(r, A) is defined to be the collection of l-cocycles r --; A

modulo the equivalence relation that two l-cocycles gl and 92 are cohomologous if
the map gl"lg2 is a l-coboundary.
Remark 4.78. If the group A is abelian, then H1(r, A) is itself an abelian group, and
in this situation it is possible to define cohomology groups Hn(r , A) for all n ~ O.
For the general theory of group (and Galois) cohomology, with many important applications to class field theory, Diophantine equations, and arithmetic geometry, see
for example [97, 396, 410].
A slight elaboration of the proof of Proposition 4.77 shows that if Au t (X) is
abelian, then there is a well-defined one-to-one map
i y u(i y1)) ,
(4.47)
where iy : Y --; X is a K-isomorphism; see Exercise 4.42. In some cases, for
example when X is an algebraic variety, the map (4.47) is an isomorphism.
Twist (X /K ) ---. HI (Gal(K/K ), Aut (X)) ,
[Y] K
f--->
(u
f->
4.9. Twists of RationalMaps
203
4.9 Twists of Rational Maps

According to Proposition 4.77, every twist corresponds to a l-cocycle, and a twist
is trivial if and only if its l-cocycle is a l-eoboundary. The natural question that
arises is whether every l-cocycle comes from a twist. It turns out that the answer
depends on the category from which the objects are being chosen. For example, in
the category of algebraic varieties, every l-cocycle does come from a twist. We will
not prove this general result, but in the next section we treat the case of twists of pI .
In this section we describe what happens for rational maps.
Definition. We define an action of the Galois group Gal(K I K) on the group of

linear fractional transformations PGL2(K) in the natural way, thus
a(f) = a (az + b) = a(a)z + a(b)

cz + d
a(c)z + a(d)
az + b
for f = - - E PGL 2(K) and a
cz+d
E Gal(K
I K).
The automorphism group Aut( </J) of a rational map </J is a subgroup of the full
group PGL 2 of linear fractional transformations. Thus if we have a l-cocycle
g: Gal(KIK)
----7
Aut(</J)
with values in Aut(</J), we can compose it with the inclusion of Aut(</J) into PGL 2
to obtain a l-cocycle
Gal(KIK) ~ Aut(</J)
'--*
PGL2(K)
(4.48)
with values in PGL2(K). This way of extending g provides the key to describing
which l-cocycles correspond to actual twists of </J.
Theorem 4.79. Let </J(z) E K(z) be a nonzero rational map and let
g: Gal(KIK)
-+
Aut(</J)
be a Y-cocyde with values in Aut( </J). Then thefol/owing are equivalent:

(a) There is twist of <PI K whose I-cocycle is g.
(b) The I-cocycle g becomes a I-co boundary when it is extended to a I-cocycle
with values in PGL2(K).
Hence in cohomological terms, the set oftwists of <PI K is given by
TWist(<PIK) =
{~E
HI (Gal(KIK), Aut(</J)) :
~ becomes trivial in HI (Gal(K I K), PGL2(K)) }.

Proof Suppose first that there is a twist </Ji of </JIK whose l-cocycle is g. Then by
the definition given in Proposition 4.77, the l-cocycle g is given by ga = fa(f-I).
204
Hence 9 is the PGL 2 (K) l-coboundary associated to the element f E PGL 2 (R ).

This proves that (a) implies (b).
Next suppose that 9 is an Aut ( l-cocycle that is a PGL 2 (K) l-coboundary.
This means that there is an f E PGL 2 (K) with the property that 917 = fO"(f-l ) for
all 0" E Gal ( K j K ). We claim that >f is a twist of > j K with l-cocycle 9. What we
need to check is that >f is defined over K , i.e., that >f E K (z ), since once we know
that , it is clear from the definitions that 9 is its associated I-cocycle.
Let 0" E Gal(KjK ). Then
= >
>9a = 9a>
since we are given that 917 E Aut(,
>9"
by definition of >9" ,
> f O"(f - l ) = fO"(f -l) >
since 917
rl>f = O"(f-l) >O"(I)

>f = >a(f)
>f
= fO"(f-l ) by assumption,
multiplying by
since O"(f-l)
= O"(>)"(f ) = O" (>f )
i:' and by 0" (f) ,
= 0"(1)-1,
since >(z) E K (z), so O"( = cPo
We have proven that >f = 0"(> f) for all 0" E Gal( K j K ), which shows that > f (z) E
K (z) and thus completes the proof that (b) implies (a).
In order to prove the cohomological description of Twist (>j K ), we first use
Proposition 4.77 , which says that there is a natural embedding of Twist (>j K )
into the cohomology set Hi (Gal (K j K ), Aut () (cf. also Remark 4.78). Then the
(Gal (K j K ), Aut () comes
equivalence of (a) and (b) tells us that an element of
from an element of T wis t (> j J() if and only if it becomes trivial when mapped to
(G al (Kj K ), PGL 2 (K)).
0
u:
u:
Remark 4.80. A formal argument with commutative diagrams shows that
where Br(K ) is the Brauer group of K. The Brauer group plays an important role
in class field theory and many other areas of number theory and arithmetic geometry. For example, Br(iQp) = iQjZ, so Br(iQp)[2] has only two elements, and the
same is true for finite extensions of iQp. The Brauer group of a number field is more
complicated.
Example 4.81. Let K be a field of characteristic not dividing n, and let >(z ) E K(z)
be a rational map whose automorphism group is
Aut (
where we recall that JLn C
isomorphism
K *jK*n
= {( z : (
E JLn},
K denotes the set of nth roots of unity. Then there is an
~Twist ( >jK ) ,
(4.49)
4.9. Twists of Rational Maps
205
Note that by assumption we have (z) = (-l((Z) for all ( E J.t n . In particular, the function Z-l(Z) is invariant under the substitution z ----+ (z, so it has the
form (z) = z'lj;(zn) for some 'lj;(z) E K(z) (Exercise 4.37). Thus the twist of (z)
given in (4.49) is equal to z'lj;(bz n), so it is indeed in K(z).
Since we are assuming that the automorphism group of is isomorphic to J.t n ,
not merely as an abstract group, but also in terms of the way in which Gal( R / K)
acts on Aut() and on J.t n , a standard result in Galois cohomology? says that there
is an isomorphism
b I-------t
(CTf---+ 0-( V'b))
V'b
(4.50)
This allows us to identify Twist ( / K) with a subset of K*/ K* n. In order to show

that they are isomorphic, Theorem 4.79 says that we must show that every cocycle in (4.50) becomes a coboundary when we consider it as a cocycle with values
in PGL 2(R). But this is clear, since with our identification of J.t n with Aut(), the
cocycle in (4.50) is equal to
V'b
with j(z) =
E PGL 2 (K ).
Note that this example generalizes Example 4.75, which dealt with the case n = 2.
Example 4.82. Let (z) E K(z) be a rational map with automorphism group
Aut( ) = {z, Z-l}. (See Exercise 4.35.) The Galois group Gal(R/ K) acts trivially on Aut( ), so we have
The isomorphism is given explicitly by associating to any b E K* / K* 2 the cocycle
0-
I-------t
if 0-( Vb) =
z-l
if 0-( Vb) =
Vb,
-Vb,
(4.51)
To ease notation, we let (3 = Vb and let 9 be the cocycle described by (4.51).

Then Theorem 4.79 says that 9 comes from a twist of if and only if there is
some j E PGL 2(R) satisfying ga = jo-(1-1). Using thefact that ga(z) E {z, Z-l },
we are looking for an j E PGL 2(R) satisfying
9This statement is equivalent to H 1 (Gal( K / K), K*) = 0, which is a version of Hilbert's Theorem 90. Using this and taking Galois invariants of the Kummer sequence
1 ------+ J-t n ------+ K

yields the cohomology long exact sequence
Q:t---+Q:n
-------+
------+
206
if a({3) = (3,
f (Z)
a(f)(z ) = { l/f(z ) ifa({3) = - (3.
It is not hard to construct such an
f , for example
f( z ) = {3z + 1
- {3z + 1
Note that det( ! {3 ~) = 2{3
:I
0, so
is in PGL 2 (k ). Hence every 9 gives a twist
of >, and indeed we can write the twist associated to b =

using f ,
{32
E K */ K * 2 explicitly
1
{3> ( ~) + {3
> (z) = _J... ( {3z+1 ) + 1 .
If'
-{3z+1
For example, let Md(z) = zd be the ilh-power map. Then a judicious use of the
b)
binomial theorem yields a formula for the b-twist Md of Md'
Mdb )(z) =
I: (2~)bkz2k /I:
k
(2k
~ 1)bkz2k+
1
.
In particular, the first few b-twists of M d are
1 + bz
2
M (b)(Z) _ 1 + 3bz
3
3
- 3z + bz '
M 2(b) ( Z )
_
-
4.10
Fields of Definition and the Field of Moduli
2z
'
If >(z) is a rational map whose coefficients lie in a field K , then it is interesting to

study the orbits of points whose coord inates lie in K or in finite extensions of K .
The smallest field K containing the coefficients of > can generally be determined
by inspection. For example, the map >(z ) = Z3 + 1 is clearly in Q(z) and the
map >(z) = Z3 + i is just as clearly in Q(i)(z ). However, if we make a change of
variables f (z) = iz in the latter map >(z ) = z3 + i, we find that
= r 1 (>(f (z ))) = - i>(iz) = -i( -iz 3 + i) = _ z3 + 1 E Q(z).

map >(z) = z3 + i is really a Q(z) map that has been altered by
>1 (z)
Thus the
injudicious change of variables.
an
Definition. Let K be a field of characteristic 0, let >( z) E k (z) be a rational map

with coefficients in an algebraic closure of K, and let K' / K be an extension field.
We say that K' is afield 0/definition/or > ifthere is a linear fractional transformation
f (z) E PGL2 (k ) such that
In other words, K' is a field of definition for > (or an FOD for short) if, after a change
of variables, > has coefficients in K'.
4.10. Fields of Definition and the Field of Moduli
207
As in Section 4.9, we can use Galois theory to investigate the possible fields of
definition of a given rational function ( z) E K (z). We let Gal( K j K) act on K (z)
in the natural way by applying (J E Gal (K j K) to the coefficients of E K (z),
+ adzd) (J(ao) + (J(a1)z +

+ bdzd = (J(b o) + (J(bdz +
()
(a o + a1Z +
(J = (J bo + b1z +
+ (J(ad)zd
+ (J(bd)zd .
Then Galois theory (and Hilbert's Theorem 90) tell us that
K' = (fixed field of{ (J
K' (z) for the field
E Gal(K j K)
: (J( ) = } ).
Suppose instead that is merely equivalent to a map whose coefficients are

in some field K'. That is, suppose that there is a linear fractional transformation
f E PGL2(K) such that e/ E K'(z). Then (J(f) = f for all (J E Gal(KjK'),so
f-1f = f = (J(f) = (J(r1J) = (J(J-1)(J()(J(J) = (J(J)-1(J()(J(J).

Solving for (J( ) yields
(J() = (J(J)f-1f(J(J-1) = (J(J(J-1)f1(J(J(J-1)) = fa(J-l).

Thus (J() is equal to conjugated by the map f(J(J-1) E PGL2(K), so in particular (J( ) and are equivalent. We have proven that
K ' is a field Of)

( definition for
===}
(for every (J E ~al(K j K') there exists )

a ga E PGL 2 (K) such that (J () = gu .
(4.52)
Turning this around, we start with an arbitrary rational map (z) E K(z) and
study the automorphisms (J E Gal( K j K) for which d ) is equivalent to .
Definition. Let rjJ(z) E K(z) be a rational map. We associate to rjJ a subgroup G

of Gal(K j K) and a field K defined by
G = {(J E Gal(KjK): d) = gu for some ga E PGL 2(Kn,
K = fixed field ofC = {o
K: (J(O:) = 0: for all (J
G}.
The field K is called the field ofmoduli (FOM) of .
Remark 4.83. The group PGL2(K) acts on the space of rational maps via the usual
conjugation action, f =
f. If we consider as usual the equivalence class
r:'
consisting of all maps that are conjugate to a particular map , then C is the subgroup of Gal(K j K) consisting of elements that map the set [J to itself. Equivalently, if has degree d, let () be the image of in the moduli space Md =
Rat., j PSL 2 that we defined and studied in Section 4.4. The space Md is defined
over Q (Theorem 4.36) and the field of moduli of is exactly equal to the field
generated by the coordinates of the point () E Md.
208
Webeginby provingsome elementarypropertiesofFOM and FOD, in particular,

the important fact that the field of moduli is contained in every field of definition.
Proposition 4.84. Let (z) E K (z ).
(a) The set Gel> is a subgroup ofGal(K / K ).
(b) Let K' be afield of definition for . Then K eI>
FOM ~ FOD.
K'. Informally, we say that
Proof The proof of this proposition is simply a matter of unsorting definitions. Thus
let (J,T E Gel> . Then
Thus ((JT) () is equivalentto , so (JT E Gel>. Similarly,
which shows that (J-l() is equivalent to , and hence that (J-l E Gel>. This proves
that Gel> is a subgroup of Gal(K/ K ).
Next let K' be a field of definition for . Under this assumption, we proved
earlier (4.52) that for every (J E Gal(K/ K' ) there is a g(7 E PGL 2 (K ) such that
(J () = 9" . In other words, (J() is equivalent to , so (J E Gel> = Gal(K / K eI by
definition. This provesthat Gal(K/ K' ) c Gal(K/ KeI, and henceby Galoistheory,
that KeI> c K'. (Weare also using the fact that K eI> is a finite extension of K .)
0
It follows from Proposition 4.84 that the smallestpossiblefield of definition for
is the field of moduli of , but it is not clear whether the field of moduli is always a
field of definition. The following example shows that we can have FOM i=- FOD.
Example 4.85. Let
(Z) =i (: ~ ~ r
Clearly Q(i) is a field of definition for . Let (J be complex conjugation, so
Gal(Q(i)/Q) = {I, (J}, and let g(z) = -1/ z. Then we obtain
1
(-I/z)
=i
i(-I / Z-I)3
-I / z + 1
(- 1/z _ 1)3= - i (z + 1)3= (J ()(z).

- I/z + I
z - I
This shows that (J E Gel> . so Gel> = {I , (J} and K eI> = Q. In other words,Q is the field
of moduli of .
Now suppose that Q is actually a field of definition for . This means that we
can find some f E PGL 2 (Q) such that ! E Q(z). In particular, letting (J denote
complex conjugation, we have
209
It is not hard to verify (see Exercise 4.39) that Aut() = 1, so we deduce that
f = ga(f). Using the fact that g(z) = -1/ z, this equation says that
az+b
cz +d
where we use an overscore to denote complex conjugation. The fact that these two
linear fractional transformations are equal means that there is a A E Q* such that
a=-AC,
b=-Ad,
c=Aa,
d=Ab.
Multiplying the first and third equations gives
This is a contradiction, since A -I- 0 and we cannot have a = C = O. Hence Q is not

a field of definition for , so we have an example of a map with FOM -I- FOD.
In order to investigate more closely the question of when the field of moduli of a
rational map is a field of definition, we make the simplifying assumption that
Aut() = 1.
(4.53)
Replacing K by K p, we may assume that K is the field of moduli of . This means

that for every a E Gal(K/ K) there exists a ga E PGL 2(K) satisfying
Note that the assumption (4.53) that Aut() = 1 implies that ga is uniquely determined by a. The next proposition describes some of the properties of the map
a ~ gao
Proposition 4.86. Let E K (z) be a rational map of degree d 2: 2 with field of
moduli K and satisfying Aut() = 1, andfor each a E Gal( K / K) write a( ) =
9rr as above.
(a) The map
is a l-cocycle, i.e., it satisfies

for all a, T E Gal(K/ K).
(b) K is a field ofdefinition for if and only
if there is an f E PGL 2(K) such that
if g is a l-coboundary,
for all a E Gal(K/ K).
i.e., if and only
210
Proof (a) Let a, r E Gal (K j K ). Then

9u r
= a (r ( )) = a (9r ) = a (t
(9r ) = 9uU(9r) .
Since Au t ( ) = 1, we conclude that gUT = gua (gT)'

(b) Suppose first that K is a field of definition for . This means that there is an
f E PGL2(K ) such that f E K (z ). Hence for any a E Gal(K j K ) we have
f
= a ( f ) = a ( t(f ) = 9u u (f) .
Again using the fact that Au t ( ) = 1, we find that f = gua(J), and hence gu =
fa (J-1 ).
Conversely, suppose that there is an 1 E PGL2(K ) such that gu
Then
a( f) = a( t(f) = 9uu (f ) = f.
= la(J-1 ).
This is true for every a E Gal( K j K), so f E K (z). Hence K is a field of definition
for .
0
The criterion for FOM = FOD given in Proposition 4.86 may seem complicated,
but it represents a tremendous simplification. lfwe try to use the definition ofFOD
directly, we need to search for an 1 E PGL2 (K ) that makes the coefficients of f
lie in K. The substitution
f (z) =
(az+b) - b
cz+d
,
- c (a
z+b)
+
a
cz+d
d
even for a rational function (z) of small degree , has coefficients that are very complicated expressions in the quantities a, b, c, d. It is thus difficult to determine whether
there is some choice of a, b, c, d that makes the coefficients lie in K. On the other
hand, the cocycle--eoboundary criterion
FOM
= FOD
{:::=:}
gu has the form la (r 1)
in Proposition 4.86 involves only linear functions, i.e., elements of PGL2(K), so it

is often considerably easier to apply.
The 1-cocycles that arise in the FOD = FOM question have the form
g : Gal (K j K ) -+
PGL2(K ).
The group PGL2 (K ) is the automorphism group of the projective line p1 , so these
cocycles should be associated to twists of p l. We saw in Section 4.8 that every twist
gives rise to a 1-cocycle , but in general it is a delicate question to determine whether
every 1-cocycle comes from a twist. It turns out that this is true for algebraic varieties ,
but since we do not need the most general result , we are content to construct the
twists of p 1 that are needed to answer our question about FOD = FOM . (See also
Example 4.87.)
211

g: Gal(K/K)
--+
PGL 2 (K )
be a 1-cocycle, and assume that g has the property that there is a finite extension
L / K such that grr = 1 for all IJ E Gal( K / L). 10 Then there is an algebraic curve C
defined over K and an isomorphism i : C -+ ]p>1 defined over K such that the 1cocycle
Gal(K/K) --+ PGL 2 (K ),
IJ f--------' iIJ(i- I ) ,
is equal to the 1-cocycle g. Hence C is a twist of]p>1 / K, and
C is the trivial twist of]p>1 / K
if and only if
g is a I-co boundary.
Proof We construct the curve C by describing its field of rational functions. Note
that the field of rational functions for the curve ]p>1 is the field K (z) and that the
Galois group Gal( K / K) acts naturally on K (z) by acting on K and leaving z fixed.
Now consider another field of rational functions in one variable K(w), but this
time with a "twisted action" of Gal(K/ K). We define this twisted action by letting Gal(K/ K) act on K as usual, but setting
IJ(w) = g;;I(W).
In other words, if gl7(z) = (az + b)/(cz + d), then
IJ(w) = g;;I(W) =
dw -b
,
-cw+a
and for any rational function
we have
IJ(F)(w) = IJ(ao) + IJ(at}g;;l(w)

IJ(bo) + IJ(bt}g;;I(W)
+ IJ(a2)g;;l(w)2 +
+ IJ(b2)g;;I(W)2 +
+ IJ(ad)g;;l(w)d.
+ IJ(bd)g;;l(w)d
It is clear that IJ(F + G) = IJ(F) + IJ( G) and that IJ(FG) = IJ(F)IJ(G). However,
to be an action, we must also have (IJr)(F) = IJ(r(F)). We use the cocycle relation
to verify this condition,
IJ(r(w)) = IJ(g;lw) = IJ(g;I)a(w) = IJ(g;l)g;;I(W) = g;;;(w) = (IJr)(w).

We now look at the subfield of K (w) that is fixed by the twisted action,
K = {F E K(w) : IJ(F) = F for all IJ E Gal(K/ K)}.

We prove that the field K has the following properties:
lOOne says that 9 is a continuous l-cocyc1e for the profinite topology on Gal( K / K) and the discrete
topology on PGLz(K).
212
(i) K n K
= K.
(ii) K has transcendence degree lover K.
(iii) KK = K (z).
To verify (i), let a E K n ic. Then a E K, so the action of Gal(K j K ) on a is the
usual Galois action. On the other hand, the fact that a E K means that the Galois
action is trivial. Hence a E K. This shows that K n K c K , and the opposite
inclusion is obvious.
Next let L j K be a finite Galois extensionwith the property that gT = 1 for every
T E Gal(K j L). This implies that the action of an element <J E Gal(K j K ) on W
depends only on the image of <J in the quotient group
Gal(L jK ) = Gal(KjK)jGal(K jL) ,
since if r E Gal(KjL), then
(<JT)(W) = <J (gT(W)) = <J (w).

It follows that the polynomial
P (T ) =
II
II
(T - ..\(w )) =
>'EGa l(L/ K )
(T - g>: l (W)) E K (w )[T]
(4.54)
>'EG al (L/ K )
is well-defined. Further,we claim that the coefficients of P (T ) are in K. To see this,

for any <J E Gal( K j K ) we note that
<J(P )(T ) =
II
(T - <J..\(w)) = P (T ),
>'E Gal(L/K )
since the effect of replacing ..\ with <J..\ is simply to permute the order of the factors
in the product.
Wehavenow constructeda polynomial P(T) E K[TJ, and we observethat W is a
root of P(T). Hence by definition, the extension K(w)j K is an algebraic extension.
Since the element W is transcendental over K, this proves that K has transcendence
degree at least lover K. On the other hand, K is contained in the field K (w), and
it is clear that K (w)j K has transcendence degree lover K . Therefore K has transcendence degree exactly lover K , which proves (ii).
Finally, consider the splitting field I:- over K of the polynomial P (T). As already
noted, we have wE I:-. The definition of P (T ) showsthat there is a naturalsurjection
Gal(L j K ) ~ Gal(l:- j q , which implies in particularthat I:- = LK. Hence w E L K,
which proves that K (z) c KK . This gives (iii), since the other inclusion is true from
the definitionof K.
We now have the tools needed to complete the proof of Proposition 4.87, but we
pause briefly for an example illustratingthe general construction.
213
Example 4.88. Define a map g by the rule
ga(z)
II Z
ifcr(i)=i,
f (.) .
1 cr Z --to
It is easy to check that g is a l-cocyc1e, and indeed it is the l-cocycle described in

Example 4.85. Fix an embedding ofQl into C and let p E Gal(Ql/Q) denote complex
conjugation. The twisted action on Ql(w) is given by
p(a) =
for a E Ql
p(w) = -l/w.
and
The field K. is the subfield of Ql(w) consisting of elements that are fixed by the
twisted action. The coefficients of the polynomial P(T) defined by equation (4.54)
give us elements in K;
This yields one interesting element in K; namely u = w - w- I , and we observe that

the quantity v = i( w + w- I ) gives another element in K. It is not hard to show that u
and v generate K,
x=
K(u, v) = K ( w -
~,i ( w + ~) ) .
(See Exercise 4.45.) Of course, u and v are not independent, since
u2
+ v2
= (
W _
) 2
(i ( + ~ ) )
w
= -4.
The field K. is the function field of the curve C : u 2 + v 2 = -4. Notice that C is
defined over Q, and C is Ql-isomorphic to ]pI, but C is not Q-isomorphic to ]pI, since
C(Q) = 0. From our general theory, the fact that C is a nontrivial twist of ]pIIQ
is equivalent to the fact (proven by a direct calculation in Example 4.85) that the
l-cocyc1e g is not a I-coboundary.
Resuming the proof of Proposition 4.87, we have constructed a field K that is the
function field of a curve C I K, and we have an isomorphism
KlC = K(w) ~ K(z),
f------+
Z,
that induces a K-isomorphism i : C ---+ ]pl. In other words, the functions w on C

and z on]pI are related by the formula w = z 0 i. The curve C is a twist of ]pII K,
and its associated cocyc1e is given by a ---+ icr(i- I). We compute
214
4. Familiesof Dynamical Systems
z 0 a (i ) = a(z 0 i)
= a(w)
since a (z ) = z,
since w
= g;;I (W)
= z 0 i,
by definition of the twisted action on
dw - b
- cw +a
dz 0 i - b
- cz 0 i + a
- 1
.
= Z 0 ga 02 .
az
since w =
+b
= --d
where ga(z )
cz+
R (w),
E PGL 2(K ),
z 0 i,
s:'
I
Thus a (i) =
0 i, which proves that ga = ia(i- ) is the l-cocycle associated to
the R -isomorphism i : C --> pl .
This completes the proof that the algebraic curve C is a twist of pI / K whose
associated l-cocycle is g. Finally, Proposition 4.77 tells us that C is the trivial twist
if and only if its associated l-cocycle is a l-coboundary.
0
Returning to the question ofFOD = FOM, let (z) E R( z) be a rational function with field of moduli K and trivial automorphism group. We have constructed a
I-cocycle
g : Gal(R/ K)
----t
PGL 2 (R)
that is associated to (Proposition 4.86) and a twist C'" of p I/ K that is associated

to the l-cocycle 9 (Proposition 4.87). We have also proven the following chain of
equivalences:
K is a field of definition for
{::=}
9 is a l-coboundary
(Proposition 4.86),
{::=}
C'" is K -isomorphic to p I
(Proposition 4.87).
It remains to find a way of determining whether a twist of pi is K -isomorphic

to pl . We will use the Riemann-Roch theorem to provide two sufficient conditions
for resolving this problem. For the convenience of the reader, we recall the general
statement of the Riemann-Roch theorem, although we will need it only for curves of
genus O.
Theorem 4.89. (Riemann-Roch Theorem) Let C / K be a smooth projective curve

ofgenus 9 defined over K.
(a) There is a divisor on C ofdegree 2g - 2 that is defined over K.
(b) Let D be a divisor on C that is defined over K and assume that the degree ofD
satisfies deg ( D ) ~ 29 - 1. Then there is a function
div(J) + D
E K (C) satisfying
o.
Corollary 4.90. (Riemann-Roch in Genus 0) Let C / K be a smooth projective

curve ofgenus 0 defined over K.
(a) There is a K -rational divisor ofdegree 2 on C .
215
(b) Let D E Div(C) be a divisor defined over K and satisfying deg(D) 2 1. Then
there is afunction f E K(C) with div(f) + D 2 o.
Proof The proof of the Riemann-Roch theorem over an algebraically closed field
is given in most introductory texts on algebraic geometry, such as [198, IV.1.3], or
see [255, Chapter I] for an elementary proof due to Weil and [410, II, 5] for an
overview. The divisor of degree 2g - 2 in (a) is a canonical divisor, i.e., the divisor of
any K -rational differential form such as df for any nonzero f E K (C). In particular,
for curves of genus 0 we get a K -rational divisor D of degree - 2, so - D is a Krational divisor of degree 2.
0
Proposition 4.91. Let C be a twist of pI / K. The following are equivalent:

(a) C is the trivial twist of pI / K, i.e., Cis K -isomorphic to pl.
(b) C(K) is nonempty, i.e., C has a point with coordinates in K.
(c) There is a divisor D = 2:= n;(Pi) on pI (K) ofodd degree such that D is defined
over K, i.e.i for all a E Gal(K/K) we have 2:=ni(a(Pi)) = 2:=ni(Pi) as a
formal sum ofpoints.
Proof If C is the trivial twist of pI / K, then there is a K -isomorphism j : C --t pl.
In particular, j : C (K) --t pI (K) is a bijection, so C (K) is certainly nonempty.
This proves that (a) implies (b).
Next, it is clear that (b) implies (c), since if P E C(K), then the divisor D = (P)
has odd degree (one is an odd number!) and is clearly defined over K.
Finally, suppose that the degree n = deg(D) = 2:= ni of D = 2:= ni(Pi) is odd
and that D is defined over K. We also use the fact that C and pI are K -isomorphic,
so in particular C is a curve of genus zero. It follows from the Riemann-Roch theorem (Corollary 4.90(a)) that there is a K-rational divisor on C having degree -2,
say
Consider the divisor
E=D
n-1
n-1
+ -2- D' = (Pd + (P2) + ... + (Pn) - -2-((Qd + (Q2))'
The divisor E is defined over K and has degree 1, so the Riemann-Roch theorem
(Corollary 4.90(b)) tells us that there is a rational function 'l/J on C such that 'l/J is
defined over K and 'l/J has degree 1. In other words, 'l/J is a map 'l/J : C --t pI of
degree 1 defined over K, and hence C is K-isomorphic to pl. This shows that (c)
implies (a) and completes the proof of the theorem.
0
We have now assembled all of the tools that we need to prove the main theorem
of this section. We state the theorem in full generality, but give the proof only for
rational maps with trivial automorphism groups. The general case is proven similarly,
but there are many additional technical complications.
Theorem 4.92. Let ( z) E K (z) be a rational map ofdegree d 2 2. Then the field
ofmoduli of is a field ofdefinition for in the following two situations:
216
(a) (z) has even degree.
(b) ( z) is a polynomial.
Proof We prove the theorem under the assumption that Aut() = 1. See [414] for
a proof in the general case.
Without loss of generality, we may assume that K is the field of moduli of . Let
g : Gal( K / K) --+ PGL 2 (K) be the l-cocycle associated to (Proposition 4.86) and
let C</> be the twist of pI / K associated to the l-cocycle g (Proposition 4.87). This
means that there is a K -isomorphism
such that
Using many of the results proven in this chapter, we have the following chain of
equivalences:
K is a field of definition for

{=::} g is a l-coboundary
(Proposition 4.86),
{=::}
C</> is K -isomorphic to pI
(Proposition 4.87),
{=::}
C</>(K) is not empty
(Proposition 4.91),
(There is a divisor on C</>(K) Of)

odd degree and defined over K
(Proposition 4.91).
{=::}
We are going to produce divisors and points on the curve C</> using the map
--+ C</> defined by the composition
'ljJ : C</>
We begin by checking that the map 'ljJ = i- 1i is defined over K. To verify this, we
let a E Gal(K/ K) and compute
a('ljJ)
= a(i- 1i) = a(C 1)a()a(i) = a(i- 1)g"a(i)

1)a(i)
= a(i- 1)g;;Igaa(i) = a(i- 1)(ia(C 1))-Iia(i= C 1i = 'ljJ.
Hence e : C</> --+ C</> is defined over K. We also note that and 'ljJ have the same
degree, since i is an isomorphism.
(a) Let D'lj; be the divisor of fixed points of'ljJ, that is, the collection of fixed points
of'ljJ counted with appropriate multiplicities. In the language of algebraic geometry,
D'lj; is the pullback by the diagonal map
Pf------t(P,P),
of the graph {(x,'ljJ(x)): x E C</>} of'ljJ.
A map of degree d has exactly d + 1 fixed points (counted with multiplicities),
and if the map is defined over K, then the divisor of fixed points is defined over K,
i.e., it is fixed by the Galois group. Thus D'lj; is a divisor of degree d + 1 on C</>
217
and D'ljJ is defined over K. By assumption, d is even, so D'ljJ has odd degree. Hence
by the chain of equivalences derived earlier, the field K is a field of definition for .
(b) The map : pI ----t pI is a polynomial by assumption, so it has a totally ramified
fixed point P. In other words, ( P) = P and the ramification index of at P satisfies
e p ( ) = d. The map i : C<jJ ----t pI is an isomorphism, so the point
is a totally ramified fixed point of 7/J. Suppose first that P is the only fixed point of
in pI (K) with ramification index d. Then Q is the only fixed point of 7/J in C<jJ (K)
with ramification index d. However, for any 0" E Gal(K/ K) and any point R E
C<jJ(K) we have
since 7/J is defined over K. In particular, taking R = Q to be the given fixed point of
ramification index d, we see that 7/J(O"(Q)) = O"(Q) and d = eQ(7/J) = ef7(Q)(7/J),
so 0" ( Q) is also a fixed point of 7/J of ramification index d. Hence 0" ( Q) = Q,
and since this holds for every 0" E Gal(K/ K), we conclude that Q E C<jJ(K).
Hence C<jJ(K) is not empty, so we again conclude that K is a field of definition
for .
We are left to consider the case that has a second fixed point of ramification
index d, say ( PI) = P' and e pi () = d. (Note that the Riemann-Hurwitz formula,
Theorem 1.1, precludes more than two such points.) Choose some linear fractional
transformation h E PGL 2(K) satisfying h(oo) = P and h(O) = Pl. Then h
satisfies
SO
h must have the form

h (z)
= czd
for some c E K*.
But any rational map of this form has a nontrivial automorphism group. Indeed, its
automorphism group is a dihedral group of order 2(d - 1) generated by the maps
Z
f----+
(z
and
f----+
a/z,
where (d-I = 1 and a d-I = 1/c. In any case, we have ruled out this case by our
assumption that Aut( ) = 1, which completes the proof of Theorem 4.92.
D
Remark 4.93. The distinction between the field of moduli and fields of definition is important in the study of abelian varieties; see for example the work of
Shimura [398]. More recently, the FOM = FOD question has been investigated for
the collection of of covering maps : X ----t B up to automorphism of the base B. In
particular, this is much studied for B = pI (cf. Grothendieck's "dessins d'enfant").
If also X = B = pI, then one studies the set of rational maps (z) E K (z) under the left composition equivalence relation rv f for f E PGL 2(K). This bears
218
considerable resemblance to the material in this section, where we use instead the
equivalence relation rv j -l j, but there are significant differences. For example,
Couveignes [111] shows that using the relation equivalence rv j , there are polynomials in Q[z] with FOM =I FaD, in direct contrast to Theorem 4.92. For further
results, see for example work of Debes and Douai [117, 118, 119] and Debes and
Harbater [120].
4.11
Minimal Resultants and Minimal Models
Let P (X ,Y ) = l: aij X iy j E K[X, Y] be a polynomial and let p be a prime of K .

We define the order of P at p to be
ord, (P)
= min ord, (aij ).

t,)
Notice that ord, (P) = 0 if and only if all of the coefficients of are p-integral and
at least one coefficient is a p-unit.
In Section 2.4 we defined the resultant of a rational map (with respect to p)
by writing = [F, G] using homogeneous polynomials F, G E K [X , Y] satisfying
min {ord, (F), ord, (G)} = aand setting
Res p () = Res(F, G).
The resultant Res, () is well-defined up to multiplication by the 2lf h power of a

p-adic unit, so in particular ord, (R esp ()) depends only on and p. We also recall
that has good reduction at p if and only if its resultant is a p-adic unit.
Example 4.94. Even if has bad reduction at p, it may be possible to change coordinates and achieve good reduction. In other words, there may be some j E PG L2 (K)
such that Res(/ ) is a p-unit, For example, the map (z ) = z + p2z - 1 has bad reduction at p, since
However, ifwelet j(z) = pz, then I (z) = z + z-l, which has good reduction at p.
Our aim in this section is to study this phenomenon. In particular, we study the
extent to which we can eliminate, or at least ameliorate, bad reduction in by conjugating with a linear fractional transformation in PGL2 (K ).
Definition. Let = [F, G] be a rational map given by homogeneous polynomials F, G E K[X, Y], let j E PGL2 (K ), and choose a matrix
A=
(~ ~)
GL2 (K )
representing f. We define polynomials FA,GA E K[X ,Y ] by the formulas
4.11. Minimal Resultants and Minimal Models
219
FA(X , Y ) = e5F(aX + (3Y" X + e5Y ) - (3G(a X + (3Y, , X + e5Y) ,

G A(X , Y) = - ,F(aX + (3Y, , X + e5Y ) + aG(aX + (3Y, , X + e5Y).
(4.55)
(4.56)
It is often convenient to write this in matrix notation as
[~~]
where
Aadj = (
1- 10 0 I
Aadj
[~ :~] ,
!-y -!) is the adjoint matrix to A. Note that the conjugate t
of by I is equal to
Proposition 4.95. Let = [F, G] be a rational map ofdegree d described by homogeneous polynomials F, G E K[X,Y] and let p be a prime ideal.
(a) The valuation ofthe minimal resultant of is given by the formula
ordp(Res p ()) = ord p(Res( F , G)) - 2dmin{ord p (F), ord p(G)}.
(4.57)
Note that there is no requirement that the coefficients ofF and G be p-integral
or that some coefficient be a p-adic unit.
(b) Let A E GL 2 (K ). Then with FA and G A defined by (4.55) and (4.56),
ord, (Res(FA, G A)) = ord, (Res(F, G)) + (d2
+ d) ord, (de t A ),
min{ordp (FA ),ordp (G A )} ~ min{ ordp (F), ordp (G )}
+ (d+ l )ord p (A ),
where ord, (A) denot es the minimum ofthe order ofthe coordinates ofthe matrix A.
(c) In particular, ifU E GL2 (Rp ), then
ord p( Res(Fu, G u ))
= ordp(Res(F, G )) ,
min{ ordp (Fu ), ord p( Gu )} = min{ ord, (F) , ord, (G) }.

Proof (a) Choose a constant c E K * satisfying
ord, (c) = min{ ord; (F), ord p( G)}.

Then
where we have made use of the homogeneity property of the resultant (Proposition 2.13(d)). This gives the desired result (4.57) .
(b) An elementary calculation (see Exercise 2.7(c)) shows that
2+d
Res(FA,G A) = (det A)d
Res(F,G) ,
so taking ord; gives the first part of (b). For the second part , we observe that every
coefficient of FA and G A is a sum of terms of the form
220
coefficient ) x ( homogeneous polynomial of )

( of For G
degree d + 1 in Z[a, (3, 'I, 8]
.
Hence
min{ ord, (FA), ord, (G A)} 2: min{ ord, (F), ord, (G)}
(c) The assumption that U
+ (d + 1) ord, (A).
E GL 2 (R p ) is equivalent to the two conditions
ordp(U) 2: 0
and
ord, (det U)
= 0,
i.e., the coefficients of U are p-adic integers and the determinant is a p-adic unit.
Applying (b) with A = U gives
ord, (Res(Fu, Gu) = ord, (Res(F, G),

min{ ordp(Fu), ordp(Gu)} 2: min{ ordp(F), ordp(G)}.
(4.58)
This almost completes (c). We next apply (b) to the polynomials Fu and Gu and to
the matrix A = U- 1 E GL 2(R p ) . Using the fact that (Fu )u-1 = F and similarly
for G, we find from (b) that
min{ ord, (F), ord; (G)} = min{ ord, ((Fu )u-1), ord, (( Gu )u-1)}
2: min{ ord, (Fu ), ord, (Gu )}.

This gives the opposite inequality to (4.58), which completes the proof of (c).
Definition. Let K be a number field and let (z) E K(z) be a rational map. For
each prime p of K, define a nonnegative integer by
Ep() =
min
!EPGL 2(K)
ord, Res p(!).
In other words, Ep () is the exponent of the power of p dividing the resultant of the
conjugate ! that is closest to having good reduction at p. Then the (global) minimal
resultant of is the integral ideal
(4.59)
We say that (F, G) is a minimal model for at p if = [F, G], the coefficients of F
and G are p-integral and
ord, Res(F, G) = ord, 9t.p.

(See Section 6.3.5 for the analogous definition of mimimal models of an elliptic
curve.)
Remark 4.96. The product (4.59) defining 9t.p makes sense, since Ep() = 0 for
all but finitely primes p. To see this, write = [F, G] for any F and G having
coefficients in the ring of integers of K. Then there are only finitely many primes p
with ord; Res( F, G) > 0, and it is clear that Ep() = 0 for all other primes.
221
The minimal resultant of a rational map is clearly invariant under PGL 2(K)conjugation. It measures the extent to which the conjugates of cj; have bad reduction,
so provides a convenient measure of the arithmetic complexity ofthe conjugacy class
of cj;. A coarser way to measure arithmetic complexity is simply to take the product
of the primes with bad reduction, which we denote by
(4.60)
It is clear that !)1 divides 9l, and it is tempting to conjecture an inequality in the
opposite direction that would be a dynamical analogue of Szpiro's conjecture [205,
FJ.2] for elliptic curves.
Conjecture 4.97. Let KjQ be a number field and d ~ 2. There is a constant c =

c(K, d) such that for all rational maps cj;(z) E K (z) ofdegree d,
N K / Q 9l < (N K / Q !)1t
The minimal resultant gives one way to measure the arithmetic complexity of a
rational map, but note that there are infinitely many PGL 2(K)-inequivalent rational
maps of a given degree whose minimal resultants are the same. For example, the
minimal resultants of the polynomials
are the same as u ranges over all units in the ring of integers of K.
The moduli space Md provides an alternative way to measure the arithmetic
complexity of the conjugacy class of a rational map. If we fix a projective embedding M d '---7 lPN, then cj; E K(z) determines a point (cj;) E Md(K) and we can
take the height of the corresponding point in JP'N (K). However, this way of measuring arithmetic complexity is also not entirely satisfactory, since twists of a rational
map give the same point in Md, yet are arithmetically quite different. Note that the
same situation arises in the theory of elliptic curves, where curves with the same jinvariant need not be arithmetically identical.
This suggests combining the primes of bad reduction with the height coming
from moduli space. We do this and formulate a dynamical version of a conjecture of
Lang (cf. [202], [254, page 92], or [410, VIII.9.9]). Recall that the canonical height
ofa point P satisfies h(P) = 0 if and only if Pis preperiodic for cj; (Theorem 3.22).
The following conjecture says that the height of nonpreperiodic points grows as cj;
becomes more arithmetically complicated.
Conjecture4.98. Fix an embedding ofthe moduli space Md in projective space and

let h M d denote the associated heightfunction. Let K be a numberfield and d ~ 2 an
integer. Then there is a positive constant c = c(K, d) such that for all rational maps
cj; E K(z) ofdegree d and all wandering (i.e.. non-preperiodic) points P E JP'I (K),
222
In the theory of elliptic curves , the notion of global miminal Weierstrass equation
is extremely useful; see the discussion in Section 6.3.5 and [410, VIII, 8] for further
details. We briefly discuss a dynamical analogue.
Definition. Let K be a number field and let (z) E K (z ) be a rational map .
Then has a global minimal model if there is a linear fractional transformation f E PGL 2 (K ) and homogeneous polynomials F and G satisfying f = [F , G]
with the property that the coefficients of F and G are in the ring of integers of K and
ord; (Res( F,G)) = ord; (rytc/
for every prime p.
In other words, the pair (F, G ) is simultaneously a minimal model for <p at every
prime p of K.
In the remainder of this section we develop some tools that help to determine
whether a given rational map has a global minimal model.
Proposition 4.99. Let K be a number fi eld, let (z) E K( z ) be a rational map of
degree d, and write =
Res (F , G )Q G
'
{ Res(F, G)a'j;.,G
if d is odd,
(4.61)
if d is even.
If d is odd,
then the ideal class of QF ,G depends only on , independent of the

choice ofF and G.
(c) If d is even, then QF ,G depends only on up to multiplication by the square ofa
principal ideal.
(b)
Proof For any f E PGL 2 (K) with corresponding A E GL 2(K) , we use Proposi tion 4.95(a,b) to compute
ord, (Resp(f)) = ord, (Res( F A, G A)) - 2dmin{ ord, (FA) , ord; (G A)}
= ord, (Res(F, G)) + (d2
+ d) ordp(det A)
- 2dmin{ ordp(FA), ordp(GA)} .
(4.62)
For each prime ideal p we choose a linear fractional transformation fp E PGL 2(K)
and corresponding matrix A p so as to minimize the resultant of f p. In other words,
(4.63)
ord, (rytc/ - ord, (Res(F , G))
= d [(d + 1) ordp (d et A p )
2min{ordp (FAp) ,ordp (G Ap)}] '
(4.64)
Hence if we define an ideal
UF ,G
223
by the rule
dodd,
d even,
then (4.64) says that UF ,G satisfies the desired formula (4.61). It remains to determine
the extent to which the ideal UF ,G depends on the choice of F and G.
Let = [F, G] = [F ' , G'l be two lifts of . Then there is a constant c E K * satisfying F' = c F and G ' = c G. Suppose first that d is odd. We use (4.61) to compute
c
2d
Res(F, G)u~i,cG
= Res(cF, cG) u~i,cG = 9'-tcl> = Res(F, G) u~G '
This is an equality of ideals, so by unique factorization of ideals we conclude

that COcF ,cG = OF,G. Hence the ideals 0 cF ,cG and OF,G differ by a principal ideal.
Next suppose that d is even. Then by a similar calculation we find that
c
Hence
ideal.
2d
Res(F, G)U~F,cG
2)
(C OcF ,cG
OF,G ,
= Res(cF, cG) O~F,cG = 9'-tcl> = Res(F, G)oi,G'

so
OcF ,cG
and
OF,G
differ by the square of a principal

0
Definition. Let K be a number field, let (z) E K (z) be a rational map of degree d,
and write = [F,G] with polynomials F and G as usual. If d is odd, we write o.cI> / K
for the ideal class of OF ,G in the ideal class group of K. If d is even, we write aN K
for the image of OF,G in the group of fractional ideals modulo squares of principal
ideals . In both cases, by analogy with the theory of minimal equations of elliptic
curves (cf. [410, VIII 8]), we call acl> / K the Weierstrass class of over thefield K.
By Proposition 4.99 the Weierstrass class acl> / K depends only on , independent of
the chosen lift [F,G].
The triviality of the Weierstrass class gives a necessary condition for the existence of a global minimal model.
Proposition 4.100. Let K be a number field and ( z) E K (z ) a rational map
of degree d ~ 2. If has a global minimal model over K. then its Weierstrass
class acl>/ K is trivial.
Proof Replacing by f for an appropriate choice of f E PGL 2(K), we may

assume that = [F, G] with polynomials F and G having coefficients in the ring of
integers of K and satisfying
for every prime p.
It follows from the defining equation (4.61) of OF,G that

for every prime p,
Hence OF,G = (1), so its image in the ideal class group (if d is odd) or in the group
of ideals modulo squares of principal ideals (if d is even) is also trivial.
0
Exercises
224
Exercises
Section 4.1. Dynatomic Polynomials
4.1. Let(z) = z + liz, or inhomogeneous form, ([X, YJ) = [X 2 + y 2 , X Y J.
(a) Compute the first few dynatomic polynomials iI>;,n (X, Y) for , say for n = 1,2,3,4.
(b) Prove that for all n 2:: 2, the dynatomic polynomial iI>;,n satisfies iI>;,n(X, Y) =
2
2
iI>;,n(X, Y). Deduce that iI>;,n(X, Y) E Z[X , y ].
(c) Prove that the field 1Ql2, generated by the points of exact period 2 is the field IQl ( A).
(d) Prove that the field 1Ql3, generated by the points of exact period 3 is an 53 extension oflQl.
(Hint. Show that the roots of iI>,3 (1, VW,) E Z[w] generate a cyclic cubic extension
oflQl.)
(e) Prove that iI>;,4(X, Y) factors into a polynomial of degree 4 and a polynomial of degree 8. (See Exercise 4.40 for a more general result.) Describe the fields generated by
the roots of each factor.
4.2. Prove the following elementary properties of the Mobius function. (See (4.2) on page 148
for the definition of the Mobius function.)
(a) Let n 2:: 1 be an integer. Then
ifn
= 1,
ifn 2:: 2.
(b) Let g(n) be a function whose domain is the positive integers, and define a new function f(n) by f(n) = Ldln g(d). Prove that
g(n)
f(d)J1
G) .
din
This is called the Mobius inversion formula.

(c) Prove that the nth cyclotomic polynomial
~(Zk
_ l)~(n/k)
kin
is indeed a polynomial. (Hint. Use (b) and the fact Zk - 1 has distinct complex roots.)
4.3. Let l/d(n) = deg(iI>;,n) be the number offormal n-periodic points ofa rational map of
degree d, counted with multiplicity (see Remark 4.3).
(a) Prove that l/d(l) = d + 1 and
z:= J1 (iD dk
for n 2:: 2.
kin
(b) Make a table of values ofl/d(n) for some small values ofn and d.
(c) Prove that
l/d(n) =
formally as power series. For what range of x
> 0 do the series converge?
225
Exercises
I Type of Point
I Char K I a;'(n) values
Multiplier
a;'(n) = 0 for all n
Wandering
a;'(n) > o for exactly one n
Periodic
not root of unity
Periodic
root of unity
Periodic
root of unity
p>O
a;'(n) > ofor exactly two n's

a;' (n) > 0 for n = ip",
exactly two t's and all k ::0: 0
Table4.4: Values of ap(n).
4.4. Let (z) E K(z) be a rational function of degree d ::0: 2 and suppose that z = 0 is a
fixed point of with multiplier A = 1. Write (z) = z + ze'ljJ(z) with e ::0: 2 and'ljJ(O) =1= 0,
where e = ao(, 1) in the notation of Theorem 4.5.
(a) Prove that
n(z)
Z + nze'ljJ(z)
(b) Assume further that K has characteristic p
+ O(z2e-l).
> O. Prove that

for all k ::0: 1.
4.5. Verify that the description of the values of a;'(n) given in Table 4.4 is correct.
4.6. Let ( z) be a rational function, let n ::0: 1, let p be a prime with p t n, and let P E pl.
(a) Prove that
a;'(n, P) = a;'(n, ) + a;' (np, ).

(b) Deduce that the nth dynatomic polynomial for P factors as
(c) More generally, ifgcd(n,k) = 1, prove that
*nk, -- Il(*n,J. )p(kfj) .

jlk
4.7.
* Let
(z) = Zd
+ ad_lzd-1 + ... + a2z 2 + alZ + ao
be a monic polynomial of degree d and let ~,(z) be its nth dynatomic polynomial. Each
root a of ~,(z) has an associated multiplier A(a) = (n)' (a).
(a) Prove that there is a (unique) monic polynomial
whose nth power satisfies
<In,(xt=
IT
(x-A(a))=Resz(~,(z),x-(n),(z)),
<1>;"". (a) =O
where Res, means to take the resultant with respect to the z variable. (Hint. All n of the
points in the orbit 0 (C,lC) have the same multiplier.)
226
Exercises
(b) Let Ck(X) E Z[x] denote the kth cyclotomic polynomial, and for integers min with
m < n , define
b.n,m = Res(Cn/ m,8 m,) E Z [ao ,a l, ... ,ad- d

Prove that the discriminantof ~ , ( x ) is given by the formula
Disc ~,
= 8n ,(1t
II b.;;"r;:, .
min
m -e -a
(c) Let min with m
< n. Provethat the resultant of ~ ,q, and ;'",q, is given by the formula
= b. ~: m '
Res (~ , , ;'",)
Conclude that 1> has a point of formal period n whose exact period m is strictly smaller
than n if and only if there is a point of formal period m whose multiplier is a primitive (n/m)lh root of unity.
4.8. This exercise describes an analogue of Theorem 4.5 for automorphisms of projective
space. Let 1> : lP'N -> lP'N be an automorphism defined over a field K, i.e., 1> E PGL N+I (K).
We say that 1> is nondegenerate if the equation 1>(P ) = P has only finitely many solutions
in lP'N(K ).
(a) Let A E GL N+I (K) be an invertible matrix with coefficients in K representing the
map 1>. Prove that 1> is nondegenerate if and only if every eigenspace of A has dimension 1.
(b) Assume that 1>n is nondegenerate, let r q,n C lP'N X lP'N be the graph of 1>n , and denote
the diagonalmap by b. : lP'N -> lP'N X lP'N . Following Remark4.4, we definethe O-cycle
of n-periodic points of 1> to be the pullback
,n = b.' (r q, ) =
ap (1), n)(P )
P EpN
and the O-cycle of formal n-periodic points to be

; ,n =
Lit (~) ,n = L

k in
ap(1) , n)( P).
PE p N
Let P E lP'N be a point of primitive period m for 1>. Prove that
ap(n) = {ap(m)
if mln,
ifmfn,
* (n ) -_ {ap(m)
ap
and
ifm=n,
ifm =I- n.
In particular, ; ,n is an effective (i.e., positive) cycle.

4.9. Let F, G E K[X, Y] be homogeneous polynomials of degree d :::: 2 with no common
factors and let 1> = IF,G] : lP'1 -> lP'1 be the associated rational map. Define two sequences
of polynomials inductively starting with Fo(X, Y ) = X and Go(X , Y ) = Y and then for
n:::: 0,
Fn+1 = Fn(F(X,Y),G(X ,Y))
and
Gn + 1
(a) Prove that F n and G have no common factors.
= Gn (F (X , Y ),G(X , Y).
227
Exercises
(b) More precisely, prove that the resultant of F n and G n is given by
Res(Fn , G n )
= Res(F, G) C2n-l)dn~1 .
(Hint. Use Exercise 2.12.)

(c) Prove that >n = [Fn, G n].
(d) For all n, m ~ 0, prove that
Fn+m(X, Y)
Gn+m(X, Y)
= Fn(Fm(X, Y),Gm(X, Y)),

= Gn(Fm(X, Y),Gm(X, Y)).
4.10. With notation as in Exercise 4.9, we define the (generalized) (m, n )-periodpolynomial
of> to be the polynomial
= n(Fm(X, Y),Gm(X, y)),
m,n(X, Y)
where n(X, Y)
(a) Prove that
= YFn -
m,n(X, Y)
XG n is the usual n-periodpolynomial of>.
= Gm(X, Y)Fn+m(X, Y)
- Fm(X, Y)Gn+m(X, Y).
(b) LetPElP'l(K).Provethat
m,n(P)
=0
if and only if >m+n(p)
= >m(p).
Thus P is a root of m,n if and only if P is a preperiodic point with "tail" oflength at
most m and with period dividing n.
(c) Prove that for all m, n ~ 1, the quotient
m,n
m-l,n
is a polynomial.
4.11. We continue with the notation from Exercises 4.9 and4.10. Let ~(X, Y) be the nth dynatomic polynomial of >. Then for m, n ~ 1 we define the (generalized) (m, n)-dynatomic
"polynomial" of to be
*
~(Fm(X, Y),Gm(X, Y))
m n(X, Y) =
(
).
,
;; Fm-1(X,Y),Gm-1(X,Y)
(a) Prove that ::",n(P) = 0 if and only if >m(p) has formal period n. Points satisfying ::",n (P) = 0 are called preperiodic points with formal preperiod (m, n).
(b) ** Prove (or disprove) that ::",n(X, Y) is a polynomial.
Section 4.2. Quadratic Polynomials and Dynatomic Modular Curves
4.12. We continue with the notation from Exercise 4.7. Thus for any monic polynomial>(z),
we define a monic polynomialon,(x) by
On,(xt=
II
(x-A(a))=
4>n,<t>C a)=o
and for min with m
II
(x-(>n)'(a)),
(4.65)
4>n,<t>Ca)=O
< n we set
~n,m
= Res(Cn/m(X),Om,(X)),
where Ck(X) is the k th cyclotomic polynomial. We now specialize to >c(z)

write on(e,x) = on,c (x) and ~n,m (c) to indicate the dependence on e.
= z2 + e and
228
Exercises
(a) Prove that bn(c,x) E Z[c,x] and that ~n,m(c) E Z[c]. Then use Exercise 4.7(c) to
explain the powers that appear in Table 4.3.
(b) Prove that
8n (c, x) = T deg , ot>;'bn(C, 2nx) is in Z[c, x].
(This eliminates many powers of 2 from the coefficients of bn (c,x).) Compute
8n (c,x)
forn = 1,2,3,4.
(c)
** Prove that there is a monic polynomial Wn,m(X)
E Z[x] such that
~n,m(c) = Wn ,m(4c),
and deduce that the set

{c E
Q: ~n,m(C) = 0 for some m < n with min}
is a set of bounded height. Conclude that the set of bifurcation points in the Mandelbrot
set M is a set of bounded height. (Hint. The formula ~n,m(C) = wn ,m(4c) bounds the
denominator of c, then mimic the proof of Proposition 4.22.)
(d) Prove that ~n,l (c) and ~2n,2 (c) are irreducible in lQi[c] for all n 2 1.
(e) ** Prove the following conjecture of Morton-Vivaldi [314]: The polynomial ~n,m( c) is
irreducible in lQi[c] for all min with m < n.
4.13. Let cPe(Z) = Z2 + c and write ~ (c, z) for the nth dynatomic polynomial of cPe. Continuing with the notation from Exercise 4.12, we let bn(c,x) E Z[c,x] be the polynomial
defined by (4.65) and 8n (c, x) = T degot>;'bn(C, 2n x) the normalized polynomial in Exercise 4.l2(b).
(a) Recall that the dynatomic curve Y1 (n) C A2 attached to the polynomial <Pe(z) is defined
by the equation ~ (y, z) = O. Let Z (n) C A2 be similarly defined by the equation
Z(n):
8n (y, x ) = o.
Prove that there is a morphism
(b) Define an action of i E Z j nZ on Y1 (n) by
(y,Z) = (y,cP~(z)).
(See Section 4.2.3.) Prove that the map F in (b) is invariant for this action, i.e., prove
that
F(y,cP~(z)) = F(y,z) for all i E ZjnZ.
Deduce that there is a unique morphism Yo(n)
--->
Z(n) such that the composition
is the map F.
(c) Prove that the map Yo(n) ---> Z (n) in (b) has degree 1, so the equation 8n (y, x) = 0
gives a (possibly singular) model for Yo(n).
(d) Prove that Z(l) and Z(2) are nonsingular and that Z(3) and Z(4) are singular. Resolve
the singularities of Z (3) and Z (4) and check directly that Yo(3) and Yo (4) are curves of
genus O.
229
Exercises
4.14. Let c(z) = Z2 + c and let ;'",n be the generalized dynatomic polynomial defined in
Exercise 4.11.
(a) Use a computer algebra system to compute the first few generalized dynatomic polynomials ;'",n for c, say for (m , n ) in the list
{ (I, 1), (2, 1), (3, 1), (4, 1), (1,2 ), (2, 2), (3,2) , (4, 2), (1,3), (2, 3), (1, 4) } .
(b) From your list, it should be apparent that many of the leading terms of ip;;' , 1 and <1>;'",2
coincide . Prove that
for all m
~ 1.
(Note that this is a special property of the generalized dynatomic polynomi als for c .)
4.15. Let c E C and let c(z )
holomorphic function
= z2 + c. Prove
that there is a number R c
'l/Jc : {z E C : Izl > R c }
----t
>
0 and a
satisfying
log I'l/Jc (z) I rv log
and
[z]
as
(Hint. Show that there is a consistent way to choose square roots so that
Izi ...... 00 .
'l/Jc can be defined as
limn ~ oo 2\!6' (Z) .)

4.16. Consider the doubl ing map
D : Q/ 'l. ----t Q/ 'l.,
D(t ) = 2t mod Z.
Fix t E Q/Z and let m ~ 0 and n ~ 1 be the smallest integers such that the denom inator of t
divides 2m (2n - 1).
(a) Prove that t is periodi c for D if m = 0 and that t is strictly preperiodic for D if m ~ 1.
(b) Prove that m ~ 0 and n ~ 1 are the smallest positive integers such that t can be written
as a (not necessarily reduced ) fraction of the form
(c) If t is preperiodic for D , prove that the preperiod of t is equal to m and that D'" (t ) is
periodic with exact period n.
(d) For t as above, we say that t is of type (m , n) for the doubling map D . For a given pair
of positive integers (m, n) , how many t E Q/ 'l. are of type (m, n)?
The map D is used in the analytic characterization of Misiurewicz points; see Theorem 4.25.
However, note that (d) does not count the exaet number of Misiurewicz points of type (m, n) ,
because distinct t may give the same Misiur ewicz point.
4.17. ** Let c(z )
(of c) by
(c) =
m,n
IT (
kin
= z2 + c as usual, and for integers

;;,+k(O) - ;;'( O)
~ - I+ k ( O ) _ ~ - I (O )
) J1o(n/ k) =
m , n ~ 1, define a rational function
IT (-I,m- l+k(O) + -I,m- l (O))J1o( n/ k).

kin 'Pc
'Pc
Then set
Gmn(C)
,
= {Fm,n(C)
ifm ,!-1 (mod n ) orm = 1,

Fm,n(C)/F1,n(c) ifm=l(mod n)andm=l=-l.
230
Exercises
(a) Prove that Gm,n(e) is a polynomial in e. More precisely, prove that Gm,n(e) is in :E[e].
(b) If n ~ 2, prove that the roots of O ,, are the Misiurewiczpoints of type (m , n).
(c) Provethat G, , (e) is irreduciblein lQ>[e).
4.18. Let V be a variety and suppose that the points of V algebraically parameterize a family
of quadratic polynomials 'Ij; together with a marked point Aof formal period n. Theorem4.11
says that there is a unique morphism TJ : V -+ YI (n) satisfying
TJ(?)
= ('Ij;p (z), A(P ))
E Formal(n).
Note that by construction, each point I = (e, Q;) E YI ( n) is identified with a quadratic
polynomial <p-y and point jJ. CJ) of formal period n via
<p-y (z ) = z2 + e and jJ.CJ)=o:.

Prove that there is a unique morphismof varieties
j :V
---->
PGL 2
such that the followingidentitiesare true for all P E VCR):

(a)
U;;l 0 'lj;p 0
jp)( z) = <P"'I(P) (z).
ri o
(b) (TJ 0
A)(P) = (jJ. 0 TJ)(P).
In other words, prove that the followingtwo diagrams commute:
]p~
.pI
----->
]p~
1"'1
1"'1
4>
]ph (n) ----->
]pI
YI (n )
/ -1 0 )..
----->
]p~
1"'1
YI (n)
1"'1
I-'
----->
]pI
YI (n)
(Hint . During the proof of Theorem 4.11 we defineda linear fractional transformation f p( z).
Provethat fp is uniquely determinedby P . Deducethat the map P f-+ fp is a morphism.)
4.19. In Example 4.14 we gave an explicit description of the quotient map YI(2)
Performa similar analysis and describe the map YI (3) -+ Yo(3).
-+
Yo(2).
4.20. Weprovedthat the dynatomicmodularcurves X I (1), X I (2), and X I (3) are isomorphic
to ]pl . This exerciseasks you to investigate X I (n) for other small values of n.
(a) Prove that X I ( 4) is a curve of genus 2 and X 0 ( 4) is a curve of genus l.
(b) Prove that Xo (4) (IQ is finite, and Yo (4) (IQ is the empty set.
(c) Prove that X I(5) has genus 14 and X o(5) has genus 2.
(d) * Prove that X o(5)(IQ is finite, and Yo (5) (IQ is the empty set.
(e) Computethe genera of Xl (6) and X o(6 ).
(f) ** Find all rational points in Yo(6)(IQ .
Section 4.3. The Space Ra t d of Rational Functions
4.21. Let <p = (Fa, Fb) E Ratd be a rational map of degree d. Prove that the following are
equivalent:
(a) At least one of the fixedpoints of has a fixed point Whose)

' 1rer
' equals 1
mu1tip
{=?
D(a, b) =0.
Hence
{ c/> E Ratd : c/> has a fixed point whose multiplier equals 1}

is a proper Zariski closed subset of Ratd.
Section4.4. The Moduli Space Md of Dynamical Systems

4.22. Let GL n be the group of n x n matrices with nonzero determinant, let SL n be its
subgroup of matrices with determinant 1, let PGL n be the quotient of Cl.; by its subgroup of
diagonal matrices, and similarly let PSL n be the quotient of SL n by its subgroup of diagonal
matrices.
(a) Let K be an algebraically closed field. Prove that the natural map from PSLn(K)
to PGLn(K) is an isomorphism.
(b) More generally, prove that for any field K there is an exact sequence
1 ~ PSLn(K) ~ PGLn(K) ~ K*IK*n ~ 1.

4.23. We say that a separable rational map c/>(z) E K(z) is very highly ramified if there is a
point P E pI such that the ramification index of c/> satisfies ep (c/ ;::: 3. Let
V = {c/> E Ratd : c/> is very highly ramified}.

(a) Prove that V is a proper Zariski closed subset of Ratd. Hence "most" rational maps are
not very highly ramified. (One says that a generic map of degree d is not very highly
ramified.)
(b) Prove that V is invariant under the conjugation action of PGL 2
(c) Prove that the quotient VI PSL 2 is a Zariski closed subset of Md = Rat., I PSL 2 .
4.24. Let c/>(z) E K(z) be a nonconstant rational function. The Schwarzian derivative Sc/>
of c/> is the function
(Sc/(z)
= c/>"'(Z)
c/>'(z)
(c/>II(Z))
2
c/>'(z)
It measures the difference between c/> and the best approximation to c/> by linear fractional
transformations.
(a) If j(z) = (az+b)/(cz+d) is a linear fractional transformation, prove that (Sf)(z) = O.
(b) Let j be a linear fractional transformation. Prove that c/> and j 0 c/> have the same
Schwarzian derivative.
(c) Let c/>(z), 'lj;(z) E K(z) be nonconstant rational functions. Prove that
(S(c/>o'lj;))(z) = (Sc/('lj;(z)) . ('lj;'(Z))2
+ (S'lj;)(z).
(d) In particular, if j is a linear fractional transformation, prove that
and deduce that the quadratic differential form
232
Exercises
w(z)
= (S>)(z) (dZ)2
t :'
is invariant under the substitution (>, z ) f---> (>!,

z ). Thus the map >
a natural map
M d ----> (quadratic differential forms on jp'1 ) .
(e) Suppose that >( z) has a multiple zero or pole at z
>(z)
= a(z -
f--->
w induces
= a, say
a) m + .. . with a =1= 0 and Iml
~ 2.
Prove that S > has a double pole at a . More precisely, prove that the Laurent series
expansion of S > around a looks like
1 - m2
(S (z ) = - 2 - (z - a)
- 2
+ .. . .
(f) Prove that the map
(>, P)
e----+
(S (P),
is a morphism.
4.25. ** An algebraic variety V is caIIed unirational if there is a rational map jp'N ----> V
whose image is Zariski dense in V, and the variety V is called rational if there is a rational
map jp'N ----> V that is an isomorphi sm from an open subset of jp'N to an open subset of V . It is
clear that every moduli space M d is unirational, since Rat ., is an open subset of jp'2 d+1 and
the map Ratd ----> A1d is surjective. We also know that M 2 is rational, since Theorem 4.56
says that M 2 ~ It. 2 . For which values of d is M d a rational variety? In particular, is M 3
rational ?
Section 4.5. Periodic Points, Multipliers, and the Multiplier Spectrum
4.26. This exercise asks you to prove the part of Theorem 4.50 that was left undone in the
text. Prove that the map
defines a function in Q[Ratd] . Prove that it is PGL 2 -invariant and deduce that it defines a
function in Q[M d] .
4.27.
** What is the degree of the map
for sufficiently large N? Similarly, what is the degree of (J' 4 ,N on M

locus on which it is constant?
away from the Lattes
Section 4 .6 . The Moduli Space M 2 of Dynamical Systems of Degree 2
4.28. Prove that > E Ra t 2 is conju gate to a polynomial if and only

polynomial maps in M 2 ~ It. 2 trace out the line x = 2.
0"1
= 2. Thus the
4.29. Let > E Rat2(C) be a rational map of degree 2 and suppose that one of its fixed points
has a nonzero multiplier A.
233
Exercises
(a) Prove that there are an
E PGL 2 (iC) and a c E C such that
q/ (z) = ~
(z + c+ ~) .
Th is generalizes the normal form given in Lemma 4.59.

(b) Verify that the multiplier of 1/ at the fixed point z = 00 is Aoo (1/
(4.66)
) = A.
(c) Let AI, A2, A3 be the mult ipliers of the fixed poin ts of 1> with Al
numb er c in (4.66) satisfies c 2 = 4 - Al (2 + A2 + A3).
4.30. Fix d
= A. Prove that the
2 and consi der the subset of Rat., defined by
{1> E Ra t d : 1> has exactly two critical points}.
Bi Crit d =
For d = 2 we have Bi C rit 2

of Ratz .
R at, but for larger d the set Bi Crit d is a proper subset
(a) Prove that BiCrit., is an algebraic variety of dimension 5.

(b) Prove that conjugation induces a natural action of PGL 2 on Bi Crit d, i.e., there is a
morphism of varieties
P G L 2 x Bi Crit d
(c) Suppose that
---->
B iCritd,
1> E BrC rit ., has critical points at 0 and 00. Prove that 1>(z) has the form
(4.67)
(d) Let 1> E BrC ri t ., and apply a conjugation to move the critica l points of to 0 and 00,
so has the form (4.67) describ ed in (c) . Prove that the following quantities depend only
on the conjugacy class of :
w(c/
(i+1(3d -1
(3/
-
(3'Y '
a( )
(oJ - Ih)d'
(e) Let , 'Ij; E Bi C ri t d and suppo se that
w()
= w('Ij;) ,
a ( ) = a('Ij; ),
Prove that and 'Ij; are PGL2 conjugate (working over an algebra ically closed field).
(I) Prove that the three quantities (4.68) described in (d) satisfy the relation
o-r
= W d - 1 (w + 1) d+ 1
and no other relati ons. Conclud e that M~iCrit is isomorphic to A 2. (This generalizes Theore m 4.56, since M ~iCrit = M 2.)
(g)
Describ e the stable and semista ble completions of jvt ~iCril coming from geo metric
invariant theory.
**
Section 4 .7 . Automorphisms and Twists

4.31. In Section 4.7 we defined two rational maps and 'Ij; to be equivalent if there is an f E
PG L2(K ) such that 'Ij; = 1>f , and similarly to be K -equivalent if there is an f E P GL 2 (K)
such that 'Ij; = 1>f .
234
Exercises
(a) Prove that these definitions do indeed define equivalence relations on the set of rational
maps.
(b) More generally, suppose that a group G acts on a set X . Define a relation on X by setting
y '" x if there exists a a E G such that y = u (x ). Prove that this is an equivalence
relation.
4.32. Let <jJ(z) E K (z) be a rational map.
(a) Prove that Aut (<jJ) is a subgroup ofPGL 2(K ).
(b) Let hE PGL2(K). Prove that Aut(<jJh) = h- I Aut (<jJ)h, so Aut(<jJ) and Aut(<jJh) are
conjugate subgroups ofPGL 2(K ).
4.33. Let <jJ(z) E K (z), let f E Au t (<jJ), and let 0: be a critical point of <jJ (i.e., <jJ' (o:) = 0).
Prove that f (o:) is also a critical point of <jJ . More generally, prove that 0: and f (o: ) have the
same ramification index.
4.34. Describe all polynomials <jJ(z) E K[z] whose automorphism group Aut(<jJ) is nontrivial. (Hint. If f E Aut( <jJ), what does f do to the totally ramified fixed point(s) of <jJ?)
4.35. Let <jJ(z) E K (z) be a rational map of degree d and write <jJ(z) as a quotient of polynomials
+ adz d
<jJ(z)
+ bdZd
Prove that f (z) = Z-1 is in Aut(<jJ) if and only if b, = ad-i for all i.
4.36. Let <jJ(z) = (Z2 - 2z)/( -2z + 1).
+ al Z +
= bo + bI Z +
co
(a) Prove that Aut (<jJ) contains the maps
I z- I
I
z
}
{ z ' -z ' - z - ' -l - z' -z--l, l - z ,
and that they form a group isomorphic to 5 3. Prove that
Aut( <jJ) ~ 53. (Hint. Find the fixed points of <jJ .)
(b) Compute the values of UI (<jJ), U2(<jJ), and U3(<jJ).
Aut(<jJ)
6, so in fact
4.37. Let ( E K be a primitive nth root of unity and let <jJ(z) E K (z) be a nonconstant
rational map.
(a) Prove that Aut (<jJ) contains the map f (z ) = (z if and only if there is a rational
map 1/J(z) E K (z) such that <jJ (z) = z1/J(zn).
(b) Prove that Au t (<jJ) contains both of the maps f (z) = ( z and g(z) = liz if and only
if there is a polynomial F( z) E K[z] such that the rational map 1/J(z) E K(z) in (a)
has the form 1/J(z) = F(z) / (zdF(z-I) ), where d = deg(F). Verify that the group
generated by f and 9 is the dihedral group of order 2n.
(c) Let <jJ(z) = zd. Prove that Au t (<jJ) is a dihedral group of order 2d - 2.
4.38. We identify the set of rational functions Rat., of degree d with an open subset of lP'2d+1
as described in Section 4.3.
(a) Let f E PGL2. Prove that the set { <jJ E Rat., : <jJI = <jJ } is a (possibly empty) Zariski
closed subset of Ratz. If f( z) z, prove that it is a proper subset of Ratd .
(b) Let A C PGL 2 (K ) be a nontrivial finite subgroup . Prove that the set
{ <jJ E Rat d : <jJI

is a proper Zariski closed subset of Rat d.
= <jJ for all f
E A}
235
Exercises
(c) Prove that up to conjugation, PGL2(K) has only finitely many distin ct finite subgroups
of any given order.
(d) Prove that the set { E Rat., : Aut() i= I} is aproperZariski closed subset of'Ratz.
(Hint. Note that the order of Allt ( ) is bounded by Proposition 4.65. )
(e) Prove that the set { E Rat., : Aut ]) i= I} is PGL 2-invariant and defines a proper
Zariski closed subset of M d. (Hint. The groups Allt ( ) and All t ( i ) are conjugate
subgroups ofPGL 2; see Remark 4.64 and Exercise 4.32.)
4.39. Let a E C * and d ~ 1 and consider the rational function
(z ) = a (Z + l ) d
z- l
Prove that Aut()
= {f E PGL 2(C) : i = }
is trivial.
4.40. Let ( z) E K (z) be a rational map of degree d ~ 2 and assume that Aut () contains
the element h(z) = -zoforder2.
(a) Suppose that d is even. Prove that at least one of the fixed points of ( z) is defined
over K.
(b) Suppose further that d = 2. Prove that there is an f E PGL 2 (K ) such that hi = hand
such that i has the form
I (z)
= az +~ .
z
bz- I . Prove that for all c E K *, the maps a,bc2 and a,b
(c) Write a,b(Z) = az +

are PGL2(K)-equivalent.
(d) In homogeneous form we have a,b ([X, YJ) = [aX 2 + by , X Y]. Let ~ (a , b; X , Y)
be the associated dynatomic polynomial. Prove that ~ ( a , b; X , Y) E Z[a, b, X , Y ].
(e)
* If n
~ 4 is even, prove that ~ (a, b; X , Y) is reducible. More preci sely, prove that
there are nonconstant polynomials 'li n, An E Z[a, b, X , Y] such that
~ (a ,
bj X , Y) = 'li n(a, b; X , Y )An(a, b; X , Y) .
(Hint. Divide the set of points P of formal period n into two subsets depending on
whether the involution h permutes the orbit O<f> (P ) or sends it to a different orbit.) This
result is due to Manes [286] .
4.41. Let
= az + bz- 1 E Rah
(a) Prove that (al(),a2()) depends only on a.

(b) We saw in Exercise 4.40 that Aut() contains {z}, so it has order at least 2. Find all
values of a for which Aut( ) is strictly larger than {z} .
(c) As a varies, prove that the set of points
describes the curve
C : 2x 3
8x y + x 2y - 4y 2 - x 2 + 12x + 12y - 36
in A.? ~ M2 .
(d) Prove that the curve C in (c) is singular at the point (- 6, 12) .
=0
236
Exercises
(e) Move the singular point to the origin and perform a further change of variables to prove
that the curve C is isomorphic to the curve
y2
= 4x 3 + x4 .
Thus the singularity of C is a cubic cusp.

(f) The point (- 6, 12) is the unique singular point of the curve C, so the rational map
satisfying (()1() , ()2 () = (- 6, 12) should be special in some way. How is it special?
(Hint. Compare with the answer to (a). See also Exercise 4.36.)
Section 4.8 . General Theory of Twists
4.42. Let X be an object defined over K , and for each twist Y of X, fix a K-isomorphism iy : Y ----> X. Assume that Aut (X ) is abelian. Prove that
Twist(X/K)
----t
H 1 (Gal(K /K ), Aut(X)),
is a well-defined one-to-one map of sets. (See Remark 4.78.)

Section 4.10. Fields of Definition and the Field of Moduli
4.43. Let E K (z ) be a rational function. We know from Proposition 4.84 that the field
of moduli 1(.1> is contained in every field of definition of . Prove that K <j> is equal to the
intersection over all fields of definition of .
4.44. Let C : x 2 + y2 = a be the family of curves studied in Exampl e 4.76.
(a) Let p be a prime numb er satisfying p == 1 (mod 4). Prove that Cp is lQl-isomorphic
to C 1 .
(b) Let p be a prime number satisfying p == 3 (mod 4). Prove that Cp(lQl) = 0. Deduce
that Cp is not lQi-isomorphic to C l , and hence that [Cp]K represents a nontrivial element
of T wist (C 1/ lQl).
(c) Let p and q be distinct prime numbers that are congruent to 3 modulo 4. Prove that C p
and Cq are not lQl-isomorphic. Deduce that T wist(C 1/ lQl) is an infinite set.
4.45. Let 9 be the cocycle
ga (Z ) = {
-l / z
ifl7 (i )
ifl7 (i )
= i,
= -i,
described in Example 4.88, and let K. be the associated fixed field in Q(w ).
(a) Prove that K. = Q(u, v) , where u = w - l/w and v = i (w + l /w). Deduce that
C : u 2 + v 2 = -4 is the twist of lP'1 / lQl associated to the cocycle g.
(b) Let (z ) = i((z - l )/ (z + 1))3 be the rational map from Example 4.85 satisfying
l7(J) = ga. Our general theory says that K is a field of definition for if and only if
C( K ) =1= 0, where C is the curve in (a). For example, C(lQl(H )) =1= 0, so lQl(H
)
must be a field of definition for (z ). Find an explicit linear fractional transformation
f E PGL 2 (Q ) such that ! (z) E lQl( H)( z).
Section 4.11. Minimal Resultants and Minimal Models
4.46. ** This exercise raises some natural questions concerning global minimal models .
(a) Is it true that every rational map ( z ) E lQi (z) of (odd) degree d ~ 2 has a global
minimal model over 1Qi?
237
Exercises
(b) Let K be a number field, let R be the ring of integers of K, let 5 be a finite set of
primes, and let (z) E K(z) be a rational map of degree d 2: 2. We say that has a
global Ssminimal model if there is a linear fractional transformation f E PGL2 (K) and
homogeneous polynomials F and G satisfying f = [F, G] with the property that the
coefficients of F and G are in the ring of 5-integers Rs and
for every prime p r:J. 5.
Suppose that Rs is a principal ideal domain. Is it true that every of (odd) degree has a
global 5-minimal model?
(c) Let K be a number field and (z) E K (z) a rational map of (odd) degree d 2: 2. Suppose
that the Weierstrass class ii1>/ K is trivial. Is it then necessarily true that has a global
minimal model? (This is true in an analogous situation for elliptic curves; see [410,
VIII.8.2].)
4.47. ** Let K be a number field and let E K(z) be a rational map of degree d
be a finite set of primes of K. Prove that
2: 2. Let 5
{ 1jJ E Twist( / K) : 1jJ has good reduction at all p r:J. 5}

is a finite set.
4.48. ** Fix an embedding of the moduli space Md in projective space and let hM d denote
the associated height function. Let K /Q be a number field, let d 2: 2 be an integer, and
let B 2: 1 be a number. Prove that the set
contains only finitely many PGL 2(K)-conjugacy classes of rational maps.

4.49. * Let K be a number field, let R be the ring of integers of K, let 5 be a finite set
of primes of R, and let d 2: 2 be an integer. Prove that there is a finite set of rational
maps l3K ,S,d C Ratd(K) such that if 4> E Ratd(K) is a rational map satisfying
(I) has three or more critical points,
(2) the critical points of remain distinct modulo all primes not in 5,
(3) the critical values of remain distinct modulo all primes not in 5, where we recall that
a critical value of is the image of a critical point of ,
then there are automorphisms t, 9 E P GL 2 (Rs) such that
foog E BK,s,d.
(Note that when we say that the critical points or values are distinct modulo a prime p, we
really mean that they are distinct modulo \J3 for all primes \J3 lying above p in a suitable finite
extension of K.)
Chapter 5
Dynamics over Local Fields:

Bad Reduction
In this chapter we return to the study of dynamical systems over complete local
fields such as iQ>p. We saw in Chapter 2 that if a rational map (z) E iQ>p( z) has
good reduction , then its Julia set is empty, in which case considerable information
about the dynamics of on jp'l (iQ>p) may be deduced by studying the dynamics of the
reduct ion on jp'l (JFp). But if ( z) has bad reduction, then the situation is far more
complicated. Indeed , since "interesting" unpredictable dynamic s occurs only in the
Julia set, we might say that the good reduction scenario studied in Chapter 2 is the
uninteresting situation. This chapter is devoted to the interesting case!
The field iQ>p and its finite extensions have the agreeable property that they are
complete, but they are not algebraically closed , so they are more analogous to JR than
they are to C. This suggests that we work instead with an algebra ic closure Qp oflQ!p,
but unfortunately we then lose the completeness property! Going one step further, we
take the completion of Qp, and it turns out that this field, denoted by
Cp
= the completion of the algebraic
closure ofiQ>p,
is both complete and algebraically closed. For proofs of the basic properties of Qp
and c; see for example [81, 175, 183,249, 382].
The fields C and C p share many common properties, but they also differ in crucial
ways. In particular, the field of p-adic complex number s C p is not locally compact!
However, it is often essential to work in Cp, rather than in a finite extension ofiQ>p, for
example if we want to guarantee the existence of large numbers of periodi c points.
Table 5.1 compares some of the properties of the complete fields iQ>p, Qp, Cp, JR,
and C.
The subject of p-adic and more general nonarchimedean dynamics is relatively
new. After some early articles [50,201 ,278,433,438] in the 1980s, there was an
explosion of interest that put the subject on a firm footing with a body of significant
theorems and, just as importantl y, an array of fascinating conjectures. In this brief
239
240
5. Dynamics over Local Fields: Bad Reduction
Nonarchimedean metric
.;
Algebraically closed
Complete
Locally compact
Totally disconnected
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
.;
Table 5.1: Comparison of complete fields.
chapter we can provide only a glimpse into this active area of current research, with
many important topics omitted entirely in order to keep the chapter at a manageable
length. For example, we do not touch on the important concept of local conjugacy,
nor do we describe Rivera-Letelier's classification of Fatou domains [373, 375]. For
the reader desiring further information, we mention the following articles on p-adic
dynamics that are listed in the references: [4,5, 13, 14,22,23,26,30,29,50,63,53,
54,56,57,58,59,60,62,70,71,72,73,82,84,104,116,170, 168, 169, 185, 188,
189,201,206,208,220,222,236,237,238,239,240,241,242,243,244,245,262,
266,267,268,271,272,273,274,278,280,282,283,320,318,319,334,337,338,
339,340,344,348,352,355,372,373,374,375,376,378,389,427,433,438,449].
5.1 Absolute Values and Completions

We recall from Section 2.1 that a valued field is a pair (K, I . I) consisting of a
field K and an absolute value I . I on K. In this section we briefly remind the reader
of the construction and basic properties of the completion of a valued field.
(K, I . I) be a valued field. A sequence aI, a2, a3,'"

Cauchy if for every E > 0 there exists an N = N (E) such that
Definition. Let
for all m,n
is
N.
In other words, the sequence {an} is Cauchy if Ian - ami ~ 0 as m, n ~ 00.

It is clear that every convergent sequence is Cauchy. A valued field K is said to
be complete if every Cauchy sequence in K converges.
Example 5.1. The real numbers JR and the complex numbers C are complete with
respect to their usual absolute values.
Theorem 5.2. Let (K, I . IK) be a valued field. Then there exists a valued field
(k, I . Itc), unique up to isomorphism of valued fields, with the following properties:
(a) There is an inclusion K
(b) k is complete.
ck
as valuedfields.
5.1. AbsoluteValues and Completions
241
(c) K is a dense subset of k.

Further, k is the smallest valuedfield satisfy ing (a) and (b) in the follow ing sense:
Let (L , I . IL) be any comp lete valued field containing K. Then there is a unique
inclusion k <---+ L ofvalued fi elds that respects the inclusions of K into k and L.
Thefield k is called the completion of K with respect to the absolute value I . IK .
Proof (Sketch) The field k may be constructed as follows. Let C be the set of all
Cauchy sequences in K and make C into a ring by setting
and
We define an absolute value on C by setting
and we define an equivalence relation
r-
on C by
Then one checks that these definitions are consistent and that the quotient
k = Cj '"
is a complete field with the desired properties. Note that K is identified with the
subfield of k consisting of constant sequences. For further details on completions,
see for example [190,4 7] or [217, IV l ].
0
Theorem 5.3. Let (K , I . I K ) be a comp letefie ld and let L I K be a finite extension.
Then there is a unique absolute value 1 . IL on L extending the absolute value on K.
Thefield L is compl ete with respect to 1 . I L .
Proof (Sketch) One checks that
lalL
I . IL
=
is given by
INL/K(a)I~[L:K].
See [259, Proposition XII.2.6] or [382, II 4].

Example 5.4. The following table gives some examples of complet ions.
Field
Absolute Value
Completion
lal oe = max{a , - a}
ja + bil = Ja2 + b2
lal p = p - or dp (a )
lR
Q(i)
Q
C
Qp
242
Remark 5.5. Theorem 5.3 says that for a finite extension LI K, there is a unique
absolute value on L extending the absolute value on K, and further that L is complete
with respect to this extended absolute value. If we go to the algebraic closure k
of K, then we still get a unique absolute value, since k is the compositum of the
finite extensions of K, but unfortunately k may not be complete. (See, e.g., [249,
111.4, Theorem 12] for a proof that Qp is not complete.) So we use Theorem 5.2 to
form the completion of the valued field K as in the next theorem.
Theorem 5.6. Let

C p = Qp
= the completion ofthe algebraic closure ofQp-
Then C p is both complete and algebraically closed. It is the smallest complete algebraically closedfield containing Qp.
Proof More generally, the completion of an algebraically closed nonarchimedean
field is algebraically closed. We briefly sketch the proof. Let a be algebraic over Cp,
say a root of f(X) = L: aiXi E Cp[X]. Choose b, E Qp that are very close to ai,
which can be done since Qp is dense in Cp. Then the roots of g(X) = L: biX i
can be matched with the roots of f(X), so we can find a root f3 of g(X) that is
very close to a. Note that f3 E Qp, since Qp is algebraically closed. Thus we can
find elements in Qp (so a fortiori in Cp) that are arbitrarily close to a. This gives
a sequence of elements of C p that converges to a, so the fact that C p is complete
implies that a E Cp. For details of the proof, see [249, 111.4, Theorem 13] or [382,
D
Lemma 11.4.2].
5.2 A Primer on Nonarchimedean Analysis

Throughout this section we take K to be a field that is complete with respect to an
absolute value I . I satisfying the nonarchimedean (ultrametric) triangle inequality
la + f31 ::; max{ lal, 1f31} for all a, f3 E K.
(5.1)
We recall from Lemma 2.3 that if lal t- 1f31, then (5.1) is an equality.
We set the following notation for the ring of integers of K, its unit group, and its
maximal ideal:
R=RK ={aEK:lal::;l},
R*=R'K ={aEK:lal=l},
9J1 = 9J1K = {a E K: lal < I}.

We define "open disks," "closed disks," and "circles" in K by the usual formulas:
D(a, r)
D(a, r)
= {u
= {u
S(a,r) = {u
lu E K : lu E K: lu E K :
al
< r} = open disk of radius r at a,
al ::; r}
= closed disk of radius r at a,
al = r} = circle of radius rata.
243
5.2. A Primer on Nonarchimedean Analysis
However, it is important to note that in the nonarchimedean setting, the disks D( a, r)

and D(a, r) and the circle S(a, r) are simultaneously open and closed sets! To see
this, let x E S( a, r). Then for any s < r we have D(x, s) C S( a, r), since any
y E D(x,s) satisfies
< s < r,
Iy - z]
so
Iy - al = max{ly - z], Ix - al}
= r.
This shows that S (a, r) is open, and it is clearly closed by definition. It follows that
D(a, r) = D(a, r) U S(a, r) is open and that D(a, r) = D(a, r) "S(a, r) is closed.
Notice that D(O, r) and D(O, r) are groups under addition, i.e., they are closed
under addition and negation, with a nontopological meaning of the word "closed."
More precisely, the closed unit disk D(O, 1) is the ring of integers R of K and the
open unit disk D(O, 1) is the maximal ideal9J1 of R.
Recall that the chordal distance between two points P1 = [Xl, Yd and P2 =
[X 2 , Y2 ] in jp'l(K) is the quantity (cf. Section 2.1)
(P P.) _
IX1Y2 - X 2Y11
p 1, 2 - max{IX11,IY11} max{IX21, 1Y21}'
::;
The chordal metric p satisfies

p(P1 , P2 ) ::; 1, so it is bounded. In particular,
if K is a finite extension of Qlp, so K is locally compact, then jp'1 (K) is compact,
since it is a locally compact bounded metric space. On the other hand, the field C p is
not locally compact, so although jp'1 (C p) is a bounded space, it is not compact, nor
even locally compact.
We can define open and closed disks in jp'1 (K) using the chordal metric. We will
use the same notation as above:
D( Q, r)
= {P E jp'l(K)
D(Q,r) = {P
: p(P, Q) < r}
= open disk of radius r in jp'1 (K),
jp'l(K): p(P,Q)::::: r} = closed disk of radius r injp'l(K).
It should be clear from context whether we are working in K or in jp'1 (K). We

observe that jp'1 (K) is equal to the union of the two unit disks
jp'l(K) = {[x,I]: Ixl::;
1} U {[I,y]:
Iyl::; I},
each of which is metrically isomorphic to RK.
Remark 5.7. It is sometimes convenient to make the assumption that the radius r of a
disk is equal to the absolute value of some element of K* . In this case we say that the
disk has rational radius. We note that if K/Qlp is a finite extension of ramification
degree e, then the value set IK* I has the form {pn/e : n E Z}. Similarly, the value
set IC;I is equal to {pT : r E Ql}. Thus rational radius really means that the radius is
a rational power of p.
The nonarchimedean nature ofthe absolute value implies that a sequence {aih>o
in K is Cauchy if and only if
lim lai+l - ail = O.

"->(X)
244
This follows immediately from the inequality
This observation and the completeness of K tell us that a power series

00
(z) =
L ai(z - a)i
K[z]
i=O
converges if and only if
lim lai(z - a)il =

t--->oo
o.
In other words, the "nth term test" from elementary calculus becomes both necessary
and sufficient in the nonarchimedean setting.
Definition. A function : D(a, r)
----t
K is holomorphic (or analytic) ifit is repre-
sented by a power series

00
(z) =
L ai(z - a)i
K[z - a]
(5.2)
i=O
that converges for all z E D(a, r). The order of at a, denoted by orda(), is the
smallest index i such that ai =I- O.
A meromorphic function on D(a, r) is a quotient = I!2 of functions I
and 2 =I- 0 that are holomorphic functions on D(r, a).l A meromorphic function = I!2 induces a well-defined map
: D( a, r)
-----7
jp'I (K),
The order of at a is the difference
We say that has a zero (respectively a pole) at z

iford",() < 0).
= a if ord., () > 0 (respectively
The next proposition describes some elementary properties of nonarchimedean

holomorphic and meromorphic functions.
Proposition 5.8. (a) Let (z) be a holomorphic function on the closed disk D( a, r)
and let bE D(a, r). Then (z) is a holomorphicfunction on D(b, r), i.e., (z)
is given by a convergent power series in K[z - b].
(b) Let (z) be a nonzero holomorphicfunction on D(a, r). Then the zeros of (z)
in D (a, r) are isolated. This means that if ( b) = 0, then there is a disk D(b, E)
such that (z) =I- 0 for all z E D(b, E) <, {b}.
1More precisely, a meromorphic function is an equivalence class of pairs (P1, <P2) with <P2
two pairs (<PI, <P2) and ('l/Jl, 'l/J2) being equivalentif <Pl'l/J2 = <P2'l/Jl.
i= 0, with
245
(c) Let (z ) be a meromorphicfunction on 15(0., r) and suppose that the only pole
of (z ) in 15(0., r}, if any. is z = o.. Then (z ) is represented by a convergent
Laurent series,
00
for all z E D(o.,r) <, {a }.
(5.3)
i= - m
(d) Let (z ) be a meromorphic f unction on 15(0. , r ). Then for eve,y b E 15(0., r )
there is an s such that (z ) is represented by a convergent Laurent series

on 15(b, s).
Proof (a) Let (z)
formula
= I: o.i(Z -
c )' , and for k ~ 0, define coefficients bk by the
(These values are not mysterious. If K has characteristic 0 then they are the usual
Taylor coefficients bk = (l/k !)(dk / dzk)( b).) The series defining bk converges
since the convergence of ( z) on b (o. , r) implies that
lo.i (b - o.)il :::;
lo.ilri
----t
0 as i
----t
00.
Further, we have the estimate

so
Hence Ibklrk ----t 0 as k ----t 00, so the power series I: ~ o bk(z - b)k converges
on 15(b, r) . Finall y, we check that the series represents by computing
~ bk(z -
b)k =
=
~ ~ G)o.i(b -
f=
i =O
o.;
t G)
a/- k(z - b)k
(b - o.)i- k(z - b)k
k =O
00
L o.i( z - a)i.
i= O
(b) Let b E 15 (o. ,r) be a point with (b) = O. We will find a deleted neighborhood of b on which (z ) is nonvanishing. We use (a) to expand as a power series (z ) = I: bi(z centered at b and converging on 15(b, r). The assumption
that i- 0 means that some coefficient is nonzero; we let j be the smallest index such
that bj i- O. The fact that converges on 15(b, r ) implies that Ibilr i ----t 0 as i ----t 00 ,
so there is a constant C such that Ibilri < C for all i.
Let E = r j + 1 Ibj l/2C. We claim that the only zero of (z ) on 15(b, E) is z = b.
To see this, we take any z E D(b, E) and estimate
246
.max
' ~J + l
5. Dynamics over LocalFields: Bad Reduction
Ibil .lz_bli ~ m~
=
Hence for all
'~J + l
( Iz- bl) i ~ G ( Izr
Glz - bl
rj+ l
D(b, E) with
bl) j+1
GE
~ r j+1
I(z- WI
I(z - WI = "2!bj (z - WI
-I b, the first term in the series

00
(z ) = bj (z - b)j +
bi(z - b)i
i=j+1
has absolute value strictly larger than any of the other terms , so the nonarchimedean
triangle inequality (Lemma 2.3) implies that
for all
E D(b, E).
In particular, (z) -10 for all z E D(b, E) with z -I b.

(c) Write ( z) = (Pt (z) /2 (z) as a quotient of functions that are holomorphic
on D(a,r ). We give the proof of (c) in the case that 2(Z) is a polynomial, which is
the only case that we will need. For the general case, see [81, 175] or Exercise 5.7.
Let se D(a, r ) with b -I a and 2(b) = O. Taking the Taylor series of l and 2
around b, we can write
and
where 'l/Jl and 'l/J2 are nonvanishing holomorphic functions on D(b, r). Then the assumption that ordb() ~ 0 implies that we can write (z) as a quotient
of holomorphic functions on D (a,r ) such that the denominator does not vanish at b.
Repeating this process for each of the zeros of 2 in D(a, r) other than z = a,
we find that (z) is a quotient of holomorphic functions on D(a, r ) such that the
denominator does not vanish except possibly at a. Further, this cancellation process
must stop, since we have assumed that 2 (z) is a polynomial, so it has only finitely
many zeros.
By abuse of notation, we again write (z ) = (Pt (Z)/2(Z), where we may now
assume that the polynomial 2(Z) has no zeros in D(a, r ) other than z = a. We
assume for the moment that K is algebraically closed and factor 2(Z ) as
n
2(Z ) = c(z - a)e
II (z -
Qi Y i .
i= l
By assumption, the roots satisfy Q i rJ. D(a, r), or equivalently

1 ~ i ~ n.
The reciprocal 1/2 (z) has a partial fraction expansion
IQ i -
a[ > r, for all
_ =~
A.
~ (z - a)j
(l>2( z)
247
B ..
ei
+~~
tJ
~ ~ (z - O:i)j
for certain coefficients A j , B ij E K. (See [259, IV 5] or [436, 5.1O].) The terms

with negative powers of z - a form part of the desired Laurent serie s. We claim that
all of the other terms are holomorphic on D(a,r ).
To verify this, we let 0: E K with 1
0: - al > r , and for each k 2: 0 we consider
the function 1/ (z - 0:)k+ 1 If k = 0 we get a geometric series
1
z - 0:
(z - a) - (0: - a)
= 1-
-(o: -a) - 1
(0: - a)-I (z - a)
-1
= 0: -
~ ( z-a) n
a ~ 0: - a
(5.4)
This series converges for all z satisfying Iz - al < 10: - c], so in particular for
all z E D(a, r), since 10: - al > r . Hence 1/(z - 0:) is holomorphic on D(a, r).
More generally, the same argument works using the identity/
(z - o:)k+ l
((z - a) - (0: - a))k+l
(_ 1)k+ ~
(0: - a)k+ l ~
1
(n+ k) (~)n
0: - a
k
This completes the proofthat 1/lh (z) is holomorphic on D(r,a) in the case that K
is algebraically closed.
If K is not algebraically closed, we let L be the completion of the algebraic
closure of K and use the above argument to write <p(z) as a power series in L [z - a]
that converges on D(a, r ) for L . We now observe that when we add up the series for
the different terms in the partial fraction expansion, the coefficients of each power
of z - a are symmetric expressions in the roots of 'l/J2(z) . Thus the resulting power
series actually lives in K [z - a].
We have shown that 1/ 4>2(z) is represented by a Laurent series on D(a, r) . Multiplying that Laurent series by the holomorphic function <PI (z) gives a convergent
Laurent series (cf. Exercise 5.3) representing <p(z) on in, r ).
(d) Write <p(z) = <PI (Z)/2(Z) . Then (b) says that there is a neighborhood D(b, s )
of b such that <P2(Z) =I- 0 for z E D(b, s ) with z =I- b. Hence 4> has no poles other
than b on D(b, s), so (c) says that it is represented by a Laurent series on D(b, s). 0
Definition. Let <P : D (a, r) -+ K be a holomorphic function repre sented by a power
series as in (5.2). The norm of <P, relative to the disk D( a, r ), is the quantity
Remark 5.9. The assumption that <P converges on D(a, r) implies that ladr i -+ 0, so
there will be at least one, and at most finitely many, indices i satisfying 1I <p11 = lUiIri .
20 ver a field a characteristic 0, this identity can be derived by taking the k th derivative of (5.4) and
dividing both sides by k L This proof fails in characteristic p if k 2 p, but one can either prove the formula
directly by algebraic manipulations, or else one can clear denomin ators, observe that this yields an identity
in the two-variable polynomi al ring :[0, z], and then reduce modulo p .
248
Further, if D (a,r) has rational radius, then r E

ing 11 1>11 = Ibl
IK*I, so there is a bE
K * satisfy-
The nonarchimedean nature of the absolute value gives immediately the inequality
11>(z)l :::; sup lai! lz - ali :::; 11 1>11 for all z E D(a,r ).
i2: 0
We now show that 11 1>11 is more or less a Lipschitz constant for a holomorphic map 1>.
Proposition 5.10. Let 1>(z ) E K[ z] be a power series converging on D(a,r). Then
[1>(z) - 1>(w) l :::; lltll [z-w[ !ora!l z,wED (a,r ).

r
Proof We take z, wE D(a,r) and compute

11>( z ) - 1>( w) I = I
~ a;((z -
a)i
(w -
ani
00
i- I
j
[z - w i ~ a;.t;(z - a)i- I- (w - a)j
:::; [z - w isup su p lail l z - al i-I - jl w - alj

i 2:0
os.
:::; [z - wi sup lail r i - I ,
since [z - c], Iw - a l :::; r,
i2:0
Iz -wl~
.
r
5.3 Newton Polygons and the Maximum Modulus

Principle
A powerful tool in complex analysis is the maximum modulus principle.' which asserts that a holomorphic function 1>(z ) on an open set U C C has no maximum
on U. Equivalently, if D c U is any closed disk in U, then 11>(z)1 attains its maximum value on the boundary oD of D. In this section we prove a nonarchimedean
analogue of the maximum modulus principle that is of similar fundamental importance in the theory of nonarchimedean analysis. However, in the nonarchimedean
setting we cannot prove the maximum modulus princ iple using path integrals and
Cauch y's residue theorem. In their place we substitute the powerful method of the
Newton polygon.
3Indeed, Ahlfors [I ] says that "because of its simple and explicit formulation it is one of the most
useful general theorems in the theory of functions. As a rule, all proofs based on the maximum principle
are very straightforward, and preference is quite justly given to proofs of this kind."
5.3. Newton Polygons and the Maximum ModulusPrinciple
249
The Newton polygon of a nonarchimedean power series (z) is very easy to

describe, and it can be used to give a precise description of the distribution of zeros
of the power series. To ease notation, we let
v(z) = -logp Izi for z E Cpo

Notice that the valuation v is a surjective homomorphism v : C;
have normalized I . I so that Ipl = p-l.
-*
(Ql, since we
Definition. Let (z) = L anzn E Cp[z] be a power series. The Newton polygon
of is the convex hull of the set of points
{(n, v(an ) )
: ti
= 0, 1,2, .. ,},
where by convention we set v(O) = 00. Informally, the Newton polygon is created
as follows: take a vertical ray starting at the point (0, v(ao)) and aiming down the yaxis. Then rotate the ray counterclockwise, keeping the point (0, v(ao)) fixed, until
it bends around all of the points (n, v(a n ) ) .
The Newton polygon consists of a set of line segments that connect the dots
required to create the convex hull. A typical Newton polygon is illustrated in Figure 5.1(a). It has a segment from (0,5) to (2, 1), a segment from (2,1) to (4, -1), a
segment from (4, -1) to (7, -1), etc. A Newton polygon may have infinitely many
line segments, or it may terminate with an infinite ray.
A fundamental theorem says that the Newton polygon of an analytic function
contains a tremendous amount of information about the roots of the function. It provides a very powerful tool for studying nonarchimedean power series.
Theorem 5.11. Let (z) E Cp[z] be a power series. Suppose that the Newton polygon of includes a line segment ofslope m whose horizontal length is N, i.e., the
Newton polygon has a line segment running from
whose slope is
v(an+N) - v(a n)
m=--'---'-'--'---'--':-c:----'-~
Suppose further that converges on the closed disk of radius pm. Then ( z) has
exactly N roots 0:, counted with multiplicity, satisfying 10:1 = pm.
Proof See [249, IVA, Corollary to Theorem 14]. We observe that the proof of this
result for polynomials or rational functions is quite easy. For power series, one
first proves a p-adic version of the Weierstrass preparation theorem saying, roughly,
that (z) factors into the product of a polynomial g(z) and a nonvanishing power series 'IjJ(z) such that the initial parts ofthe Newton polygons of (z) and g(z) coincide.
Then the theorem for power series follows immediately by applying the elementary
result for polynomials to 9 (z).
D
250
5. Dynamics overLocal Fields: Bad Reduction
has no roots in D(O, 1)
(a) Typical Newton polygon
(b) Positive-slope Newton polygon
Figure 5.1: Examples of Newton polygons.
Example 5.12. The Newton polygon ofthe power series
(z) = p5+p4 Z+ pZ2 + pz3 +p-l Z4 +p-l Z5 +p3 Z6 +p-l Z7 +p2 ZS +p3 z9 + ...
is illustrated in Figure 5.1(a). The leftmost line segment has slope -2 and width 2,
so (z) has exactly 2 roots 0: satisfying 10:1 = p-2 (assuming that (z) converges
on the appropriate disk). Similarly, (z) has exactly 2 roots satisfying 10:1 = p-l,
exactly 3 roots satisfying 10:1 = 1, and exactly 2 roots satisfying 10:1 = p2.
Our first application of the Newton polygon is a nonarchimedean version of the
classical maximum modulus principle from complex analysis.
Theorem 5.13. (Maximum Modulus Principle) Let ( z) E Cp [z] be a power series

that converges on a disk D( a, r) ofrational radius.
(a) There is a point (3 E D (a, r) satisfying
1((3)1 =
syP
1(z)1 = IIII
zED(a,r)
(b)
If does not vanish on D( a, r), then

1(z)1 = IIII Jar all z E D(a,r).
In other words, either has a zero in D( a, r), or else it has constant magnitude
on D(a, r).
Remark 5.14. For many applications, it suffices to know that the maximum modulus
principle is truefor rational functions (z) E Cp(z). In this case, both (a) and (b) are
quite easy to prove. We do (b) and leave (a) for the reader. Replacing z by (z - a)/e
for some ewith lei = r, we may assume that (z) is well-defined and nonvanishing
on the disk D(O, 1). We factor (z) as
(z) = zk (1 - O:lz)(1 - 0:2 Z ) ' " (1 - O:r Z )

(1 - (31z)(1 - (32Z)'" (1 - (3sz)
5.3. Newton Polygons and the Maximum Modulus Principle
251
The assumption that has no zero or pole at z = 0 implies that k = O. Further,

we have lail < 1 and 1,6i l < 1 for all i, since otherwise would have a zero at
ai l E D (O , 1) or a pole at fJi l E D (O, 1). It follows that
11 - aiz l = 11- fJiz l = 1 for all z
D(O, 1),
and hence 1(z)1 = 1 for all z E D (O, 1).
Proofof Theorem 5.13. Write ( z ) = I: ai(z - a)i and choose constants b, e E K *

with lei = rand Ibl = IIII (cf. Remark 5.9). Consider the series
'l/J(z ) = b-l (ez + a)
= b- l
00
00
i=O
i= O
L ai(ez) i = L
a~e zi.
The convergence of on D(a, r) clearly implies the convergence of 'l/J on D(O, 1),
and we have
aiei
Jailri
I II
11 'l/J11 = ~~~ -b- = ~~~ -Ib-I =
= 1.
1bI
Replacing by sb, we are reduced to proving the theorem under the assumptions
that converges on the unit disk D (O, 1) and that IIII = 1.
(a) The condition IIII = 1 says that every coefficient of lies in R, and the fact
that converges on D(O, 1) implies that all but finitely many coefficients lie in the
maximal ideal 9Jl of Cpo So when we reduce ( z) modulo 9Jl, we get a nonzero
polynomial
Let a l , ... , aT E R be representatives for the distinct roots of ( z) mod 9Jl in the
residue field R/9Jl. The residue field is infinite, since K is algebraically closed, so
we can find a fJ E R satisfying
fJ
ai
(mod 9Jl)
for all 1 Si S r ,
Then (fJ ) t o (mod 9Jl), so 1(fJ)1 = 1 = I II

(b) Write (z) = I: aizi as usual and consider the Newton polygon of (z) . Theorem 5.11 asserts that if some line segment of the Newton polygon of (z ) were to
have slope m S 0, then (z ) would have at least one root a satisfying lal = pm S 1,
and hence (z ) would have a root in D (O, 1). Thus our assumptionthat (z ) has no
roots in 15(0, 1) implies that every line segment of the Newton polygon has strictly
positive slope. (An illustrative Newton polygon is given in Figure 5.I (b).) In particular, directly from the definition of the Newton polygon, this implies that
v(ai ) > v(ao) for all i

Equivalently, we have lail <
laol for all i
1.
~ 1. Wefirst observe that this gives
laol = suplail = IIII
252
Second, we note that it implies that the constant term ao in the series
with z E D(O, 1)
has absolute value strictly larger than any of the other terms, so the ultrametric inequality (Lemma 2.3) says that
1(z)1 = lao\ = IIII
for all z E D(O, 1).
Remark 5.15. The maximum modulus principle (Theorem 5.13(a)), which we stated
over Cp , is true more generally as long as K has infinite residue field, but otherwise
it need not be true. For example, let
K = Qp and (z) = z - zP on D(O, 1).
Clearly IIII = 1, but for every (3 E Zp

that (3 == (3P (mod p). Hence
= D(O, 1), Fermat's little theorem tells us
1((3) I 5: p-l < IIII
for all (3 E D(O, 1).
We conclude this section with some useful consequences of the maximum modulus principle, including the fundamental fact that p-adic holomorphic and rational
functions send closed disks to closed disks.
Proposition 5.16. Let (z) E Cp[z] be a nonconstant power series that converges
on a disk D (a, r) ofrational radius.

(a) (D(a,r)) is a closed disk.
(b) Write(D(a,r)) = D((a),s). Then 1'(a)l5: sir.
(c) If ' (a) -I 0, then thereexists a radius t > such that
I(z) - (w)1 = 1'(a)Ilz - wi
for all z, wE D(a, t).
Proof Replacing (z) with (cz + a) - (a) for some c E C p satisfying Icl = r,
we may assume that (z) E Cp[z] converges on D(O,I) and that (O) = 0.
Write (z) = I:n21 anz n as usual (note that ao = since (O) = 0), and let
s=
1(z)l.
s~up
zED(O,l)
(a) The maximum modulus principle (Theorem 5.13(a)) says that

s
= IIII = sup lanl

n20
Let j 2: 1 be the smallest index such that s = Iaj I.

The definition of s clearly implies that (D(O, 1)) ~ D(O, s), so we are reduced
to proving the opposite inclusion. Let (3 E D(O, s). Consider the Newton polygon of
the power series
5.3. Newton Polygons and the Maximum Modulus Principle
(z ) - (3
The fact that 1(31
253
= - (3 + al Z + a2z2 + a3z3 + ... .
:S s = lajl and lanl :S lajl for all n ::::: 1 implie s that

and
so the Newton polygon of (z) - (3 includes one or more line segments connecting (0, v((3) ) to (j, v(aj )). Further, since the point (0, v((3 )) is no lower than the
point (j, v(aj )) , at least one of those line segments has slope rn :S 0. The fundamental theorem on Newton polygons (Theorem 5.11) then tells us that the power
series (z ) - (3 has a least one root a satisfying [o] = pm :S 1. This proves that
there is a point a E D(O , 1) satisfying ( a ) = (3, and since (3 E D(O , s) was arbitrary, this completes the proof that (D(O, 1)) = D(O, s).
(b) As in (a), the maximum modulus principle (Theorem 5.13(a)) gives
s=
s~p
1(z)1 = IIII = sup lanl : : : lall
z ED (O,I )
n2:0
This is the desired result, since r = 1 and a I = ' (0).

(c) Continuing with the notation from (b), we compute
I( z) -
(w)1=
I~ an(zn -
= [z -
For all n ::::: 2, all
:S
wn) 1
wl 'l~ an ~ ziwn- I- i l
~ anziwn- l- i!.
[z- wl ' !'(O) + ;
< n, all t :S 1, and all z, w
(5.5)
D(O, t ) we have
Hence if we choose a value oft satisfying 0< t < I'(O)I/IIII, then the double sum
in the righthand side of(5.5) has absolute value strictly smaller than I' (0) I, and (5.5)
reduces to the desired inequality
I (z ) -
(w)1:S [z- w\I'(O)I
This completes the proof of (c) and provides an explicit value for
t.
Corollary 5.17. In each ofthefollowing situations. the indicated map is both open
and continuous:
(a) : D(a, r ) ----+ C p is a nonconstant analytic map.
(b) : b t, r ) ----+ p I (C p ) is a nonconstant meromorphic map.
(c) : p I (C p ) ----+ pI (C p ) is a nonconstant rational fun ction.
254
Proof. (a) The continuity is a consequence of Proposition 5.10, which gives the
stronger assertion that is Lipsch itz. The openness of follows easily from Proposition 5.16, since the collect ion of "closed" disks (which is also a collection of open
sets)
{D (b , t) : t > 0 and Cp }
forms a base for the topology of Cpo

(b) Let bE D(a,r) . Proposition 5.8(d) says that we can write as a Laurent series
in some neighborhood D(b, s) of b. If does not have a pole at b, then (a) completes
the proof. If does have a pole at b, we consider instead the meromorphic function I j(z ). It too can be written as a Laurent series in some neighborhood D(b , s),
and it has no pole at b, so again we are done using (a).
(c) A rational function is clearly everywhere meromorphic, since it is the ratio of
two power series (i.e., polynomials) that converge on all ofC p (For the point at 00,
change coordinates and use I j(z ).) Hence we are done from (b).
0
5.4 The Nonarchimedean Julia and Fatou Sets

In this section we recall some basic notions of convergence for collections of functions, define the Fatou and Julia sets of a rational map (z) E K (z) over a field K
with an absolute value, and use a formula from Chapter 1 to show that in the nonarchimedean setting , the Fatou set is always nonempty.
We begin with three definitions.
Definition. Let U be an (open) subset of p I (K) and let be a collection of functions : U - t r l( K) .
(a) is equicontinuous on U if for every P E U and every I: > 0 there exists a
> 0 such that
( D(P,o )
D ((P), I:)
(b) is uniformly continuous on U if for every I:
(D(P,o) n U) C D((P), 1:)
for every E .
> 0 there exists a 0 > 0 such that
for every E and every P E U.
(c) is uniformly Lipschitz on U ifthere is a constant C such that
p((P),(Q) '5c C p(P, Q)
for every E and every P, Q E U.
In the case that = {n} is the collection of iterates of a single function, we say
simply that is equicontinuous, uniformly continuous, or uniformly Lipschitz.
It is important to understand that equicontinuity is weaker than uniform continuity, because equicontinuity is relative to a particular point, while uniform continuity
is uniform with respect to all point s in U . In particular, uniform continuity is an open
condition, whereas equicontinuity is not. Similarly, the uniform Lipschitz property
5.4. The Nonarchimedean Julia and Fatou Sets
255
is an open condition, and indeed it is even stronger than uniform continuity. The
following implications are easy consequences of the definitions:
uniformly
Lipschitz
=::}
uniformly
continuous
=::}
equicontinuous
at every point
As we will discover throughout this chapter, in a nonarchimedean setting it is often

just as easy to prove that a family of maps is uniformly Lipschitz as it is to prove that
it is equicontinuous.
Definition. Assume first that K is algebraically closed. Then the Fatou set F () is
the union of all open subsets ofJ!D 1 (K) on which is equicontinuous, i.e., F( ) is the
largest open set on which is equicontinuous. The Julia set .:J() is the complement
of the Fatou set. In general, the Fatou set of over K, which we denote by F( , K),
is the intersection of F( , K) with J!Dl (K). Similarly, the Julia set .:J (, K) is the
complement of F( , K) in J!Dl (K).
Proposition 5.18. For every integer n 2: 1,
and
Proof We proved this over <C in Proposition 1.25, and the same proof works for
nonarchimedean fields using the nonarchimedean Lipschitz property (Theorem 2.14)
in place of the archimedean version cited in Chapter 1.
D
We recall Theorem 1.14, which says that the multipliers of the fixed points of
satisfy
'L"
PEFix()
1 _ .Ap(A-.) -1
-
provided that .Ap () =1= 1 for all P E Fix( ).
'f'
The following corollary of this formula has the useful consequence that nonarchimedean Fatou sets are never empty, a fact that is false in the archimedean setting
(cf. Theorem 1.30, Example 1.31, and Theorem 1.43).
Corollary 5.19. Let K be an algebraically closed field of characteristic 0 that is
complete with respect to a nonarchimedean absolute value. Let ( z) E K (z) be a
rational function ofdegree d 2: 2. Then has a nonrepellingfixed point.
Proof If some fixed point P has multiplier .Ap( ) = 1, then P is nonrepelling and
we are done. Otherwise, we can use Theorem 1.14 to estimate
Hence there is at least one fixed point Q satisfying
256
It follows that
IAQ()I :::; max{IAQ() -11, Ill} :::; 1,
so Q is nonrepelling.
Proposition 5.20. Let K be an algebraically closedfield of characteristic 0 that is

complete with respect to a nonarchimedean absolute value. Let (z) E K (z) be a
rational function ofdegree d ::::: 2.
(a) Let P E JP'I(K) be a nonrepelling periodic point for . Then P is in the Fatou
set F( ).
(b) Let P E JP'I (K) be a repelling periodic point for . Then P is in the Julia
set :1().
(c) The Fatou set F( ) of is nonempty.
Proof Making a change of variables, we can move P to 0, and then Proposition 5.18
lets us replace by n, so we may assume that 0 is a fixed point. This puts into
the form
(z) =
AZ +
Z2 F(z)
G(z)
with G(O) i= 0 and A = AO() E K. Thus IG(z)1 is bounded away from 0 if we stay
away from the roots of G, and clearly F (z) is bounded on any disk around 0, so there
are a disk D(O, r) and a constant C such that IF(z)IG(z)1 :::; C for all z E D(O, r).
Let 5 = min{r, 1/C}.
(a) The assumption that 0 is a nonrepelling fixed point means that IAI :::; 1. Hence
for z E D(O, 5) we have
1(z)1
IAZ + Z~;~) I< Izl max {IAI, Iz~~) I} < 14
This proves that is nonexpanding on the ball D(O, 5), so its iterates are uniformly
Lipschitz on that disk (with Lipschitz constant 1). Hence 0 is in the Fatou set.
(b) For this part the assumption that 0 is a repelling fixed point means that 1>\1 > 1.
Hence for z E D(0,5) with z i= 0 we have
IZ~;~) I :::;
Izl
<
IAZI
The strict inequality allows us to conclude that

I(z) I = I,\z
+ Z~;~) I =
I'\zl
for all z E D(O, 5).
Suppose now that 0 E F( ). This implies that there is some E

if a E D(O, E), then every iterate satisfies n(a) E D(O, 5). But then
ln(a)1 = 1,\lnlal
----400
as n
--4
>
0 such that
00,
contradicting n(a) E D(O, 5). Hence 0 E :1().

(c) Corollary 5.19 says that has a nonrepelling fixed point and (a) tells us that
0
nonrepelling periodic points are in the Fatou set. Hence F( ) i= 0.
5.5. The Dynamics of (Z2 - Z) I p
257
Remark 5.21. Corollary 5.19 is also true in characteristic p, since it follows directly
from the fixed point multiplier formula (Theorem 1.14), which can be proven in characteristic p either by reduction modulo p from the characteristic-O case or by using
the abstract theory of residues (see Exercise 5.10). It follows that Proposition 5.20 is
also true in characteristic p.
5.5
The Dynamics of (z2 - z) / p
In this section we illustrate the general theory by studying the p-adic dynamics of
the map
2
(z)=Z -z
for a prime p 2: 3.
Note that has bad reduction at p. An important observation is that the Julia set sits
inside two disjoint disks.
Proposition 5.22. Let ( z) = (Z2 - z) I p.

1
1
(a)
Izl > - and [z - 11 > p
P
(b)
J() c D(O, lip) U D(I, lip).
===}
lim ln(z)1
n--->oo
= 00.
Proof (a) We consider two cases. First, if Izl > 1, then Izi = Iz - 11, so we find that
j(z)j=
Z(Z- I ) I
p
=plzllz-II=p!zI2.
Inparticular, I( z) I > 1, so we can apply this inequality again. Repeating the process
shows that
Next suppose Izi ::; 1. Then max{ Izl, [z - II} = 1, so using the assumption that
Izi
> lip and [z - 11 > lip, we compute

1(z)1
= Z(Z-p I ) \ = p. max{lzl,lz -
II} . min{lzl,lz -II}
> 1.
Now we can apply the earlier result to ( z) to conclude that In (z) I ---4 00.
(b) From (a) we see that every point outside ofthe two disks D(O, lip) U D(I,Ilp)
is attracted to the superattracting fixed point at 00, so such points are in the Fatou
The proposition tells us that the Julia set is contained in D(O, lip) U D(I, lip),
but not every point in these disks is in the Julia set. For example,
(poo) = poo 2
a == -a (modp),
258
so if - 0: is not in D(O, lip) U D(l , l ip ), then 1I(po:) is attracted to 00, hence it is

in the Fatou set. It is not easy to predict which points in the two disks are attracted
to 00. However, since only points with bounded orbit can be in J (), we let
= A() = { z E Cp : [1I (z)1is bounded for n 2: o}.
It is clear that A is a completely invariant set, and Proposition 5.22 tells us that A
is contained in two disjoint disks, which for notational convenience we henceforth
denote by 10 and h:
A c 10 Uh ,
where
10 = D(O , l ip ) and h = D(l , l ip)
Definition. The orbit of a point z E A is contained within A, so each iterate 11 (z)

is contained in one of the two disjoint disks 10 , h. The itinerary of z is the sequence [{30{3I!32 ...] of numbers {3n E {O, 1} determined by the condition
for n = 0,1,2, ... .
In other words, the itinerary [{311 ] specifies how the points n (z) jump back and forth
between the disks 10 and h .
Our goal is to show that the dynamics of the itineraries of the points in A accurately reflects the actual dynamics of on the set A. In particular, we will prove
that A = J (). In order to do this, we make a brief digression to discuss symbolic
dynamics.
5.5.1
Symbolic Dynamics
Symbolic dynamics is a tool for modeling seemingly more complicated dynamical

systems. It has a long history and is used in many areas of mathematics. See [276]
for a thorough introduction to the subject. In this section we briefly develop enough
of the theory to complete our analysi s of the dynamic s of (z2 - z)lp.
Let S = {0'1 ' 0'2 , . .. , 0' s} be a finite set of symbols and let
SN = { sequence~ Of}
elements 10 S
be the set of sequences [{30{31{32 . . .], where each {3n E S. (Here N = {O, 1,2, ... }
denotes the set of natural numbers.) We put a metric on Sri by fixing a number p > 1
and setting
p(0: , {3) = p - (smallest 11 with On i- f3 n ) .
Thus the more that the initial terms of 0: and {3 agree, the closer they are to one
another. It is easy to check that p is a metric , and indeed a nonarchimedean metric:
1 2: p(o: , {3) 2: 0.
p(0:, {3) = 0 if and only if 0:
= {3.
5.5. The Dynamics of (z2 - z)/p
259
p(a,')') ~ max{p(a,13), p(;3,')')}.

Symbolic dynamics is the study of the dynamics of continuous maps S N ---. SN.
An important map on S N is the left shift map L : S N ---. S N, defined by
In other words, L simply discards the first term in the sequence and shifts each
of the remaining terms to the left. More formally, the sequence L(;3) is defined
by L(l3)n = ;3n+l . The next proposition describes some elementary properties of
the map L.
Proposition 5.23. Let SN be the space of S-sequences with associated metric as

above and let L : SN ---. SN be the left shift map.
(a) If p(a,;3) < 1, then p(L(a) , L(I3)) = p. p(a, ;3).
(b) L is continuous (indeed Lipschitz), and it is uniformly expanding on each ofthe
"disks"
{a E S N : a o = ad,
= 1,2 , . . . , s .
(c) The set SN contains exactly s" points satisfying Ln(a ) = a . In other words.
Per n (SN, L) has s" elements.
(d) The periodic points ofL are dense in SN.
(e) There exists a point rs E SN whose orbit O L(, ) = {L n (, ) : n ~ O} is dense
in SN. (Maps with this property are called topologically transitive.)
Proof (a) The condition p(a , ;3) < 1 is equivalent to ao = ;30. It is then clear from
the definition that p(L(a ), L(;3)) = p. p(a, ;3), since L(a)n i L(l3) n if and only if
O:'n+! i ;3n+1
(b) The metric p satisfies 0 S p SI, so (a) implies that p((a ), (,6 ) S p-pic , (3)
for all a , (3. Hence L is Lipschitz. Further, (a) says that L is expanding by a factor
of p on each of the disks.
(c) A sequence a E SN satisfies Ln(a) = a if and only if its first n terms repeat,
i.e., it has the form
= [aoal . . . an- l a Oa l ... an-l aOal .. . an- I ' . .J

"--v----""--v----""--v----"
initial n terms
same n terms
same n terms
There are s choices for each of ao, a l , " " an-I, SO s" possible elements.
(d,e) We leave the proof of these elementary results as exercises for the reader (Exercise5.12).
D
5.5.2 The Dynamics of (z2 - z)/ p

Recall that we are studying the p-adic dynamics of the map ( z) = (Z2 - z)/ p for a
prime p :::: 3, and that we have defined
260
10 = D(O, lip)
and
h = D(l, lip),
A = {z E C p : n(z) is bounded for all ti 2: O} C 10 U h,
(3(z) = [(30(31(32 ... J = (Itinerary of z E A), where (3n is defined by n(z) E I(3n'
The sequence (3(z) is an element of the space of binary sequences {O, 1
obtain a map (of sets)
y:l, so we
(3(z) = itinerary of z.
Proposition 5.24. With notation as above, the itinerary map (3 : A ----+ {O, 1y:l has
the following properties:
(a) (3 is injective.
(b) (3(A n Qp) = {O, 1}N, i.e., (3 restricted to A n Qp is surjective.
(c) (3 respects the metrics on A and {O, 1}N, i.e.,
Iz -
wi = p ((3 (z), (3 (w))
for all z,w E A.
(d) Let L : {O, l}N ----+ {O, l}N be the left shift map on {O, 1}N. Then (3 0 = L 0 (3.
In other words, the following diagram is commutative:
(31
(31
{O, l}N
.L:
{O,l}N
Proof (a) We begin with the following observation. Let u be
Ifz,w
E I u , then
I(z) - (w)1
or 1.
p Iz - wi.
(5.6)
To verify (5.6), we use the assumption that z, w E I u to write z = u + px and

w = u + py with Ixl :::; 1 and Iyl :::; 1. Then
(z) - (w) = (x - y)((2u - 1) + p(x + y)).

The quantity 2u - 1 is 1, so the final factor is a unit and we have
z-wl
1(z)-(w)I=lx-yl= -p- =plz-wl
Now suppose that z,w E A have the same itinerary (3. Then n(z) and n(w)
are in the same I(3n for every n 2: 0, so applying (5.6) to these two points, we find
that
ln+l(Z) - n+l(w)1 = p .In(z) _ n(w)1
for all ti 2: 0.
Hence by induction,
for all
ti
2: 0.
(5.7)
5.5. The Dynamicsof (Z2 - Z) / p
261
The lefthand side of(5.7) is bounded as n ----t 00, since z and ware in A. Hence we
must have Iz - wi = O.
(b) Let wE 10 U h. We claim that -l(W) consists of two points {zo, zd, one of
which is in 10 and one of which is in h, and further, if w E Qp, then Zo and Zl are
in Qp. To see why this is true, we fix wand solve
(z) = w,
Z2 - Z - pw
or equivalently, solve
o.
The quadraticformula,the binomialtheorem, and some elementaryalgebra givesthe

two solutions explicitlyas
1 (1 + 4pW)1/2 = ~~ ~ (1/2)(4
2
2 c:
k=O
)k =
pw
~~ ~ (_1)k-1 (2k) ( w)k.

2
2 s: 2k - 1
k=O
Note that the series converge for all lt] ::; 1. The plus sign givesa solution satisfying
Zl == 1 (modp) and the minus sign gives a solution satisfying Z2 == 0 (modp), so
one solution is in 10 and the other is in h. Further, if w E Qp, then Zl and Z2 are
also in Qp.
We are going to apply this observation to (nonempty) sets U c 10 U h. The
inverse image -1 (U) of such a set thus consists of two nonempty disjoint pieces,
one in 10 and one in h. And since the inverse images ofQp points in 10 U hare
again in Qp, we have
In particular, if U contains a point in Qp, then each of the pieces of -1 (U) contains
a point in Qp.
Let J o = 10 n Qp and J 1 = t, n Qp, or equivalently, Jo and J 1 are the
open unit disks in Zp centered at 0 and 1, respectively. For any binary sequence
of 0:00:1 0:2 ... O:n with ti 2: 1, define a set
Jaoa1 ...an = {z E Qp : z E J ao and (z) E J a1 and 2(Z) E J a2

... and n(z) E Jan}
= Qp n Js; n -l(JaJ n -2(JaJ n n -n(JaJ.

Notice that if z E Jaoa1 ...an n A, then the initial ti terms in the itinerary of z
are 0:00:1 .. O:n'
The sets J ao... an are closed in Qp, since is continuousand Jo and J 1 are closed,
and they are nested in the sense that
We claim that they are also nonempty. To prove this by induction, suppose that we
know that J(30(31 ... (3n-1 is nonempty for all sequences (30(31 ... (3n-1 oflength n. We
use the equality
262
and apply the inductive hypothesis to see that Jala2 ... an is nonempty. Then from our
earlier remarks we know that -1 (Jala2 ... an) consists of two pieces, one in J o and
one in J 1 , so its intersection with J a o is nonempty.
Let a = [aOa1a2 ... J be any binary sequence. Then
J ~
Jaoal ... an
n20
is the intersection of a nested sequence of nonempty closed bounded subsets of Qp.

By compactness, the set Ja is nonempty, and by construction, any point in Ja has
bounded orbit and itinerary a. This proves that the itinerary map
is surjective.
We also note that since every point in Ja has itinerary a and since we know
from (a) that (3 is injective, it follows that J a consists of a single point.
(c) If z = w, there is nothing to prove. Assume that z -I- wand let k be the first
index at which their itineraries diverge, so by definition, p((3(z), (3( w)) = p-k. This
means that for each 0 :S n < k, the points n (z) and n (w) are in the same disk
(either J o or J 1 ) , but k(z) and k (w) are in different disks. Repeated application
of (5.6) tells us that
for all 0
:S n :S k.
(5.8)
On the other hand, the assumption that k (z) and k (w) are in different disks (one
in Jo and one in Jt} implies that
(5.9)
Iz-wl=
lk(z)_/k(w)1
lk =p((3(z),(3(w)).
P
(d) It is clear that the itinerary of ( z) is the left shift of the itinerary of z.
Proposition 5.24 allows us to identify the dynamics of the polynomial map
( z) = (Z2 - z)/ p with the dynamics of the shift map on the space of binary sequences. It then becomes an easy matter to read off a great deal of information about
the dynamics of ( z) from elementary properties of the shift map.
Corollary 5.25. Let p 2 3 be a prime and let
(z) =
(a) .:J()
2
Z
= A c Qp.
and
A = {z E C p : n (z) is boundedfor all n 2 O}.
5.6. A Nonarchimedean Montel Theorem
263
+ 1 for all n ;::: 1, and asidefrom thefixed point at 00, every

periodic point of is repelling.
(c) The repellingperiodic points are dense in .:J ().
(d) There exists a point w E .:J () such that the orbit 04> (w) is dense in .:J ().
(Thus is topologically transitive on .:J ().)
(b)
# Pern ( )
= 2n
Proof Let {3 : A --+ {O, l}N be the itinerary map. Proposition 5.24 tells us that (3 is
injective, and further that it is surjective even when restricted to A n Qp. It follows
that A c Qp, which proves one part of (a).
For the other part, we note that Proposition 5.24 says that {3 is an isomorphism
of metric spaces
{3: A --+ {O, l}N.
(The proposition says that (3 is bijective and respects the metrics, so its inverse also
respects the metrics.) The proposition also tells us that this isomorphism transforms
the map into the left shift map L, i.e., (30 = Lo{3. Hence the dynamical properties
of acting on A are identical to the dynamical properties of L acting on the space of
binary sequences.
We proved earlier that .:J( ) c A, so
(3: .:J() ~ .:J(L).

However, the shift map L is uniformly expanding on each of the disks (3(10)
and (3(h) (Proposition 5.23(b)). A uniformly expanding map is nowhere equicontinuous, so .:J(L) = L, from which we deduce that .:J() = A.
(b) The points not in A are attracted to 00, so the only periodic point in pI (Cp ) <, A
is the fixed point at 00. The periodic points in A are determined by the isomorphism
and we proved (Proposition 5.23(c)) that # Per n (L) = 2n .

Further, we know that the shift map L is uniformly expanding (by a constant
factor p) on each of (3(10) and (3(h), so via the metric isomorphism (3 and the identification of with L, we find that I(n)' (z) I = pn for every z E Per., () except
z = 00. In particular, every periodic point other than 00 is repelling.
(c,d) The density of the (repelling) periodic points in .:J() and the topological
transitivity of on .:J( ) = A follow from the corresponding facts for L acting
D
on {O, l}N (Proposition 5.23(d,e)).
5.6 A Nonarchimedean Montel Theorem

In this section we give an important characterization of the Fatou and Julia sets and
use it to draw a number of conclusions. The analogous results over C are classical and
due mainly to Fatou and Julia. The nonarchimedean results are due to Hsia, whose
paper [208] we follow. We assume throughout that K is complete and algebraically
closed.
264
Theorem 5.26. (Hsia [208]) Let 
Then <P is uniformly Lipschitz on D( a , r ) with respect to the chordal metric p, so in

particular, it is equicontinuous on D( a, r) .
Proof We choose some e E K with lei = r (see Remark 5.7) and replace each
function (z) E <P by ( ez + a). This changes the chordal metric by only a bounded
amount (Theorem 2.14), so we are reduced to the case of power series converging
on the unit disk D(O , 1). By assumption, the function (z) - a does not vanish
on D(O , 1), so Theorem 5.l3(b) tells us that
I(z) - o]
II- all is constant for all z
Suppose that a i= 0 (the case a

decomposition of the set <P:
D(O, 1).
(5.10)
0 is similar) and consider the following
<PI = { E lal}
If E <PI and z, w E D(O , 1), then
p((z),(w)) ::; /(z) - (w)1
I((z) - a) - ((w ) - a) 1
from Proposition 5.10,
::; II - all . [z - wi
since E <PI,
::; lal . [z - wi
since
z , wE D(O, 1).
= lalp(z,w)
=
This shows that the functions in lal for all z
D(O , 1).
(5.11)
Using (5.11) and Lemma 2.3, and then applying (5.10) again, we find that
1(z)1 = I((z) - a) + a / = /(z) - a / = II- all for all z E D(O , 1). (5.12)
We use this formula to compute, for z , w E D(O ,I ),
I(z) - (w)1
p((z),(w )) = max{1 , 1(z)I} ' max{l , 1(w)l}
I((z) - a) - ((w) - a)1
max j l , 1(z)l} . maxj l , 1(w)l }
265
11 4> - all [z - wi
<
2
from (5.12) and Proposition 5.10,
- max{1 ,11 4> - a ll}
:S [z - wi
regardless of the value of 114> - all,
= p(z, w)
since z, wE D(O , 1).
Thus functions in the set <P2 are nonexpanding, so in particular they satisfy a uniform
Lipschitz condition.
Finally, we note that if a = 0, then the same argument works using the sets
<PI = {4> E : 114>11:S 1} and <P2 = {4> E 11 > 1}. We leave the details to the
reader.
0
It is now a simple matter to use Theorem 5.26 to prove a nonarchimedean version

of Monte1's theorem for rational functions.
Theorem 5.27. (Nonarchimedean Montel Theorem, Hsia [208]) Let (D(a, r ))
(5.13)
<PE lf.>
omits two or more points of jp'1 (K) . Then satisfies a uniform Lipschitz inequality
on D( a, r), so in particular <P is an equicontinuous family offu nctions on D ( a, r) .
Proof Let a = [aI, a2] and ,6 = [,61,,62] be two points of jp'1 (K) that are not in the
union (5.13). Consider the family of rational (or meromorphic) functions
By construction, we have
'lj; (z) i- oo
for all 'lj; E \.Ii and all z E D (a,r),
so Proposition 5.8(c) tells us that the functions in \.Ii are holomorphic on D(a, r )
(i.e., they are given by convergent power series). We also know that 'lj; (z) i- 0 for
all z E D(a, r), so the functions in \.Ii omit at least one point in K. It follows from
Theorem 5.26 that there is a constant C1 such that
p('lj;(z) ,'lj;( w)) :S C1 P(z, w)
for all 'lj; E \.Ii and all z, w E
b i. r ).
(5.14)
Finally, let A(z) be the linear fractional transformation
The assumption that a and ,6 are distinct implies that A is invertible . Then a very
special case of Theorem 2.14 (for the rational map A - I ) says that there is a constant
C2 = C2( A) = C2 (a,,6) > 0 such that
266

for all z, w E pI (K).
Further, by construction we have E q> if and only if A
(5.15)
W, so for any
z, wE bt. r),
CIP(z, w) ;::: p(A((z)), A((w)))
;::: C:;Ip((Z),(w))
from (5.14),
from (5.15).
This completes the proof of the nonarchimedean version of Montel theorem.
Remark 5.28. The proof of Theorem 5.27 is fairly straightforward. Later, in Section 5.10.3.4, we describe a deeper p-adic version of Montel's theorem on Berkovich
space; see Theorem 5.80.
In the classical setting, there are a number of important properties of the Julia set
that follow more or less formally from Montel's theorem. We conclude this section
with a few instances.
Proposition 5.29. Let : pI (K) -+ pI (K) be a rational map of degree d ;::: 2

and let U C pI (K) be an open set such that U n J () # 0. In particular, we are
assuming that the Julia set of is nonempty.
(a) The set Un :::: On(u) omits at most one point of pI (K).
(b) Suppose that the set in (a) does omit a point. Then is a polynomial function
and the omittedpoint is the totally ramifiedfixedpoint. (In other words, there is
a change ofvariables f E PGL 2 (K ) such that f (z) E K[z] and the omitted
point has been moved to 00.)
Proof The set U is covered by disks D(a, r), which are both open and closed, so it
suffices to prove the proposition under the assumption that U = D( a, r). If the union
omits two or more points ofpl(K), then Montel's theorem (Theorem 5.27) implies
that is equicontinuous on U, contradicting the assumption that U contains a Julia
point. This proves (a).
If the union omits 0:, then -1 (0:) = {o}, so 0: is a totally ramified fixed point
of . Hence is a polynomial map by definition (page 17), and after a change of
variables it becomes a polynomial in K [z] (Exercise 1.9(c)).
D
Let : pI (K) -+ pI (K) be a rational map of degree d ;::: 2. Recall that a
subset E of pI (K) is said to be completely invariant for if it is both forward and
backward invariant,
-I(E) = E = (E).
Proposition 1.24 says that the Fatou set F( ) and the Julia set J( ) are completely
invariant. (The proof in Chapter 1 is over C, but the proof works, mutatis mutandis,
for any complete field.)
In Chapter 1 we used the Riemann-Hurwitz formula to characterize all finite
completely invariant sets (see Theorem 1.6). More precisely, we showed that a finite
completely invariant set E has at most two elements. Further, if #E = 1, then after
a change of variables, (z) E K[z] is a polynomial and E = {oo}, and if#E = 2,
267
then again after a change of variables, (z) = zd or (z) = z-d and E = {O,oo}.
We now show that except for these trivial cases, the Julia set is the smallest closed
completely invariant subset of lP'I (K).
Proposition 5.30. Let : lP'I (K) ---+ lP'I (K) be a rational map of degree d 2: 2,
and let E ~ lP'I (K) be a closed completely invariant subsetfor containing at least
three points. Then E is an infinite set and E :2 J ().
Proof Theorem 1.6 tells us that a finite completely invariant subset contains at most
two points, so our assumption that #E 2: 3 implies that E is infinite. Notice that the
complete invariance of the closed set E implies the complete invariance of its complement U, which is an open set. It follows that the union Un>O n(u) omits at least
two points, since it in fact omits the infinite set E. Montel's theorem (Theorem 5.27)
tells us that U ~ F( ). Hence E :2 J( ).
D
Remark 5.31. Proposition 5.30 tells us that if the Julia set J( ) is nonempty, then it
is the smallest closed completely invariant set containing at least two points. (Notice
that the case of exactly two points is ruled out by the fact that if has a completely
invariant subset containing exactly two points, then is conjugate to either zd or z:",
in which case its Julia set is empty.)
Corollary 5.32. Let : lP'I (K)
assume that J () -I- 0.
(a) J() has empty interior.
(b) Let P E J() and let
---+
lP'I (K) be a rational map of degree d 2: 2, and
O;(P) =
U-n(p)
n2:0
be the backward orbit ofP. The Julia set J( ) is equal to the closure of
in pI (K).
(c) J( ) is a perfect set, i.e..for every point P E J( ), the closure ofJ( )
contains P.
(d) J () is an uncountable set.
0; (P)
<,
{P}
Proof (a) Let oJ() denote the boundary of the Julia set J(). Theorem 1.24
tells us that F( ) and oJ () are completely invariant, so the same is true of their
union oJ() U F(). This union is also closed, since its complement is the interior
of J (). Proposition 5.20 says that the Fatou set F( ) is always nonempty, and since
it is open, it must contain infinitely many points. Hence the union oJ () U F( ) is
an infinite, closed, completely invariant set, so Proposition 5.30 tells us that
J()
oJ() U F().
But J() and F() are disjoint by definition, which proves that J() = oJ(),
i.e., the Julia set has empty interior.
(b) We know that J () is completely invariant, so in particular 0; (P) c J ()
for any point P E J( ).
268
Next let U be any open set with U n .:J( ) i- 0. Then Proposition 5.29(a) tells us
that Un>O n(u) omits at most one point, and Proposition 5.29(a) says that ifit does
omit a point, that point is a totally ramified fixed point, hence is in the Fatou set. In
particular, the possible omitted point cannot be P, since P E .:J() by assumption.
This proves that P E Un>O n(u), or equivalently, that there is some n 2': 0 such
that
Un -n(p) i- 0.
This proves that every open set U that intersects .:J() nontrivially also intersects
(P) nontrivially. Hence .:J () is contained in the closure
the backward orbit
0;
ofO;(P).
(c) Let Po E .:J( ). We claim that the backward orbit
(Po) must contain a nonperiodic point. To see this, suppose instead that
(Po) consists entirely of periodic
points. Then -1 (Po) consists of a single point, so Po is a totally ramified periodic
point and hence in the Fatou set, contrary to assumption. Therefore we can find a
nonperiodic point PI E
(Po).
The point PI is in .:J( ), since .:J() is completely invariant, so (b) tells us that
0;
0;
0;
Po E closure of
On the other hand, Po is not in
0; (Pd.
0; (PI), since otherwise PI would be periodic. Hence
Po E closure of (.:J() ,,{P}).

(d) The Baire category theorem [387, 5.l,5.2] implies that a nonempty perfect
subset of]p'1 (K) is uncountable.
0
5.7 Periodic Points and the Julia Set

Our goal in this section is to show that the Julia set .:J() of a rational map is
contained in the closure of the periodic points of . We begin with an elementary
lemma that is obvious in the classical setting by a compactness argument, but which
requires a different proof over a non-locally compact field such as Cpo
Lemma 5.33. Let 1(Z) and z(z) be power series that converge on D(a, r), and
suppose that 1 (D(a, r)) n z (D(a, r)) = 0. Then
inf
p(I(Z), z(z)) > O.
zED(a,r)
Proof Let
M1 =
syP
zED(a,r)
1I(Z)1
and
Mz =
sup
lz(z)l.
zED(a,r)
The maximum modulus principle (Theorem 5.l3(a)) says that there are points
ZI,Zz E Di, r) such that 1(zd = M 1 and z(zz) = M z. In particular, M 1
and M z are finite, since 1 and z are power series that converge on D(a, r).
269
5.7. Periodic Points and the JuliaSet

Let M
= max{M1 , M2 , I}.
Then for any
On the other hand, the function (PI

so Theorem 5.13(b) tells us that
Dto; r) we have
2 does not vanish on D( a, r) by assumption,
for all z E D(a, r).

Hence
o
The next lemma is used in conjunction with Lemma 5.33 to move a varying set
of pairs of points {a,,8} to the specific pair {O, I}.
Lemma 5.34. Let A, B c C p be bounded sets that are at a positive distance from
one another. In other words, there are constants ~, 0 > 0 such that
sup lal ::;

"'EA
~,
sup 1,81 <
~,
and
inf
"'EA, (3EB
(3EB
p(a,,8) = 0
> O.
(5.16)
For each (a,,8) E A x B, define a linear fractional transformation

L",,(3(z)
Then there is a constant C
= (,8 -
a)z
+ a.
> 0, depending only on ~ and 0, such that
p(L",,(3(z), L"",(3' (z')) ::; C max{p(a, a'), p(,8, ,8'), p(z, z')}
for all a, a' E A, all,8,,8' E B, and all z, z' E ]P'l(C p ) .
Remark 5.35. Although Lemma 5.34 appears somewhat technical, it is not saying
anything mysterious. The linear fractional transformation L",,(3 is determined by the
three conditions
L",,(3(O) = a,
The lemma is asserting, roughly, that if we take two nearby (a,,8) values, then the
associated transformations are close to one another, where we use the chordal sup
norm
p(L,L') =
sup {p(L(P),L'(P))}
PElF" (iC p )
to measure the closeness oftwo maps. Thus Lemma 5.34 is equivalent to the assertion
that the map
(a,,8, z) ~ L",,(3(z)
is Lipschitz.
= (,8 -
a)z
+a
270
ProofofLemma 5.34. Toease notation, for x , y E C p we write
Ix, yl = maxj ]], Iyl}

We also assume (without loss of generality) that fj.
any 0:, 0:' E A and (3, (3' E B we have
1 and 8 :::; 1. Then for
10: - 0:'1 = p(o: , 0:') , 10:, 11, 10:', 11:::; fj. 2p (0:,o:'),
(5.17)
1(3 - (3' 1= p((3, (3' ) , 1(3,1 1,1(3' ,1 1:::; fj. 2p((3 ,(3' ).
Let 0:, 0:' E A, let(3, (3' E B, andlet z, z' E
of L o ,{3 and the chordal metric, we have
]P'I(Cp ) . Directly from
the definitions
,
1(((3' - o:')z ' + 0:') - (((3 - o:) z + 0:) I
p(L o ,{3 (z ), L o ' ,{3' (z )) = max{ 1((3 _ o:)z + 0:1, I} . max{I((3' - o:') z' + 0:'1, I} .
(5.18)
Assuming for the moment that z i:- 00 and z'

and estimate it using the triangle inequality:
i:-
00,
we multiply out the numerator
1(((3' - 0:') z' + 0:' ) - (((3 - 0:) Z + 0:) 1

= 1(3' z' - (3z - 0:' Z '
+ o:z + 0:' -
0: /
= 1(3' (z' - z) + ((3' - (3 )z - o:' (z' - z ) + (0: - o:') z
+ (0:' -
0:)1
:::; max{I(3' - (31 lzl, 10:' - o: l lz, 11, Iz' - zl ' lo:' ,(3' I}
:::; max{fj.2p( (3, (3') lzl, fj.2p( 0:,o:') Iz, 11 , Iz' - zllo:' , (3'I}
from (5.17),
:::; max{fj.2p(I3,I3' ) ' lzl, fj.2p (0:, o:') ' Iz, 11 , fj. I z' - zl}
from (5.16),
:::; max{fj. 2p(I3,I3') 'lz l, fj. 2p (0:, o:') 'Iz, 11, fj.p (z, z' ) Iz , II Jz' , I I}
definition of p,
:::; fj.2 . max{p(l3, (3'), p(o:, 0:'), p(z , z' )} Iz, 11l z' , 11.
Substituting this into (5.18) and doinga little bit of algebrayields
max{p(l3, 13'), p(o:, 0:' ), p(z, z') }

Iz' , 11
< fj. 2 . _~-,--,-:I---,
z '---,1-,--1--,----""7
max{ I(13 - o:)z + 0:1 , I} max{ 1(13' - o:')z'
+ 0:' 1, I} .
(5.19)
We are left to show that the righthand side is bounded in terms of 8 and fj.. By
symmetry, it suffices to boundthe first fraction.
Weconsidertwo cases. First, if Izi :::; fj. / 8, then we havethe trivial estimate
Iz,11
<lz 11 <fj..
max{I(13 - o:) z + 0: 1, 1} - , - 8
5.7. Periodic Points and the Julia Set
271
Second, suppose that Izl > tl/o. Then the fact (5.16) that 113 - al ~ 0 implies that
so
1(13 - a)z + al = 1(13 - a)zl ~
Hence
Iz,11
max{l(jJ-a)z+al,1}
014
Iz,11
< ~ < tl
max{olzl,l} - 0 - O
Thus tl/o serves as an upper bound in both cases, and substituting this bound
into (5.19) yields the estimate
p(L a,(3(z), La/,(3I(z'))
< ~24 max{p(jJ,jJ'),p(a,a'),p(z,z')}.
This completes the proof of Lemma 5.34 with explicit dependence on 0 and tl in the
case that z i- 00 and z' i- 00. The remaining cases are similar and are left to the
~cr
We next prove a version ofMontel's theorem in which the two omitted points are
allowed to move. Lemma 5.34 is the key technical tool that allows us to uniformly
replace the two moving points with two particular points, thereby reducing the proof
to our earlier result.
Theorem 5.36. (Montel Theorem with Moving Targets, Hsia [208]) Let
power series that converge on D( a, r), and suppose that
cPl, cP2
be
Further let be a collection ofrational, or more generally meromorphic, functions

on tn r) such that
for all cP E and all z E D(a, r).
Then satisfies a uniform Lipschitz inequality on D( a, r), so in particular is an
equicontinuousfamily offunctions on D(a, r).
Proof The proof is very similar to the proof of Theorem 5.26, but somewhat more
elaborate.
First we note that since cPl, cP2 : D(a,r) ----> K have disjoint images, there is
at least one point a omitted by both of them. Making a linear change of variables
z f---+ z - a, we may assume that cPl and cP2 omit the value O. Then Theorem 5.13(b)
tells us that
for all z E D(a, r).

We are going to apply Lemma 5.34 to the disjoint bounded sets
andcP2(D(a,r)). Thus for each point w E D(a,r),ifwelet
cPl (D(a, r))
272
then Lemma 5.34 says that there is a constant C such that
p(Lw(z), Lu(z')) ::; C max{p( <PI (w), <PI (u)), p(<P2( w), <P2( u)), p(z,z')}
for all w, U E D(a, r) and all z, z' E ]P'1(C p ) .
(In the notation of Lemma 5.34, we have set a
(5.20)
= <PI(W), (3 = <P2(W), a' = <PI(U),
(3' = <P2(U).)
We next use the fact that <PI and <P2 themselves satisfy a Lipschitz condition.
More precisely, Proposition 5.10 says that
for all w, U E D(a, r) and i = 1,2.
Since wand U are bounded, this implies that there is a constant
C' 2 1 such that
for all w, U E D(a, r) and i
= 1,2.
Substituting this into the inequality (5.20) yields
p(Lw(z),Lu(z')) < CC'max{p(w,u),p(z,z')}

for all w, u E
bi. r) and all z, z' E ]P'1(C p ) . (5.21)
We are now ready to prove Theorem 5.36. The idea is that we know that each
 omits at least two values, but the omitted values may vary with <P, so we use
the linear transformations L w to move the omitted values to two specific points. Thus
for each E if> we define a new function
and we consider the family of functions
Each 'l/; can be expressed as a rational function of <PI, <P2' and <P, so it is a
meromorphic function on D(a,r). Further, since we are given that <p(z) #- <PI(Z)
and <p(z) #- <P2(Z) for all z E D(a, r), it follows that
'l/;(w)
#- 0
and
'l/;(w)
#- 1
for all wE D(a, r).
To see why this is true, note that
contradicting the assumption on <P, and similarly for 'l/; (w) = 1. Hence the family
of maps \[I on D( a, r) omits at least the two values 0 and 1, so Montel's theorem
(Theorem 5.27) tells us that \[I satisfies a uniform Lipschitz inequality,
p('l/;(u),'l/;(w)) ::; C"p(u,w)
for all and all u, wE
tu r).
(5.22)
5.7. Periodic Points and the Julia Set
273
Using this and our earlier estimates, we compute, for E and u, w E D(a,r ),
p(( u), ( w)) = p(Lu ( 1/Jq,(u)),L w ( 1/Jq,(w)))
by definition of 1/Jq"
:s cc max{p(u, w),p(1/Jq, (u),1/Jq,(w)) }
from (5.21),
< ee'e"p(u,w)
from (5.22).
This completes the proof that the family of maps is uniformly Lipschitz.
We now have the tools to prove the main theorem of this section.
Theorem 5.37. (Hsia [208]) Let (z ) E K (z ) be a rational function of degree d
with d 2: 2. Then
:J() c Per ( ),
i.e., the closure ofthe p eriodic points of contains the Julia set of .
Proof We may clearly assume that :J () is not empty. Take any open set U having
nontrivial intersection with :J (). We must show that U contains a periodic point.
The Julia set is a perfect set (Corollary 5.32), so the open set U actually intersects :J () in infinitely many points . In particular, there is a point P E un :J() that
is not the image of a ramification point of , since has at most 2d - 2 ramification
points . This implies that there is a neighborhood D (P, r ) C U of P such that
consists of d disjoint open sets with the property that the maps
: V;
---->
D (P, r)
for 1
:s i :S d
are bijective. In particular, they have inverses
i : D (P, r ) ~ Vi
given by convergent power series. (This is a p-adic version of the one variable inverse
function theorem. See Exercise 5.5.) We take i = 1 and i = 2 and consider the
maps I and 2 and the disjoint sets VI and V2 as illustrated in Figure 5.2.
We now examine the effect of applying the iterates n of to the disk D(P, r).
The assumption that D(P, r) contains a point of the Julia set of means that is
not equicontinuous on D (P, r ), so Theorem 5.36 tells us that the iterates of cannot
avoid both of the moving targets described by the power series I and 2. Hence
there exists an iterate n of and a point Q E D (P, r ) such that either
or
Applying to both sides and using the fact that O I and o2 are both the identity
map on D (P, r ) yields
n+I(Q) = Q,
so Q E D(P, r) C U is a periodic point.
274
Figure 5.2: Inversion of over a critical-point-free neighborhood.
Remark 5.38. In the classical setting over C, one can further show that the Julia set is
equal to the closure of the repelling periodic points. This follows from the complex
analogue of Theorem 5.37 combined with the fact that a rational function over C has
only finitely many nonrepelling periodic points. Unfortunately, a rational function
over C p may well have nonempty Julia set and infinitely many nonrepelling periodic
points. However, one still hopes that the classical result is true in the nonarchimedean
setting.
Conjecture 5.39. (Hsia [208]) Let ( z) E K (z) be a rational function of degree

d 2: 2. Then the Julia set J () is equal to the closure ofthe repelling periodic points
of d:
Some evidence for Conjecture 5.39 is provided by the following result of'Bezivin.
It says that if the conjecture is false, then there are maps with nonempty Julia set
containing no periodic points.
Theorem 5.40. (Bezivin) If a rational function ( z) E C p (z) has at least one repelling periodic point, then J () is the closure ofthe repelling periodic points of .
In particular, one repelling periodic point implies infinitely many repelling periodic
points.
Proof See [71] for the first assertion. The second then follows immediately from
Corollary 5.32(d), since an uncountable set cannot be the closure of a finite set. D
However, some evidence against Conjecture 5.39 is provided by Benedetto [58,

Example 9], who shows that it is possible for a rational function to have a sequence
of attracting periodic points whose limit is a repelling periodic point! Further, a
slight variation of [57, Example 3] shows that for every n > 0 there is a polynomial ( z) E C p [z] of degree p + 2 that has no repelling periodic points of period
smaller than n, yet ( z) does have repelling periodic points of higher periods.
Example 5.41. Consider the polynomial map
(z)=zp-z.
p
5.7. Periodic Pointsand the Julia Set
275
It is clear that the Julia set of is contained in 15(0, 1), since if 1001 > 1, then laP I >
1001, so
a Pp
-001
1(a)l= - =plaP-al=plaPI>plal
l
Hence n(a) - t 00, so a E F(), since a is attracted to the attracting fixed point at
infinity.
We also observe that if a E 15(0,1) n Qlp = Zp, then Fermat's little theorem
tells us that a P == a (mod p), so (a) E Zp, Thus Zp is a completely invariant
subset of . Hsia [206, Example 4.11] (see also [449]) explains how to identify the
dynamics of on Zp with a shift map on p symbols, similar to the example studied
in Section 5.5, from which one deduces the following facts:
.J(,Qlp) = Zp,
.J (, Qlp) contains all of the periodic points of (other than (0), so in particular all of the periodic points of are defined over Qlp, and all except 00 are
repelling.
.J( , Qlp) = .J(, C p), since Theorem 5.37 tells us that .J(, C p) is contained
in the closure of the periodic points of . Thus .J( , C p ) is compact. (See
also [73].)
Example 5.42. Let p ~ 5 be a prime, and let (z) = pz3 + az 2 + b with a, b Z;.
We first consider the fixed points of , which are the roots of the equation
pz3 + az 2
z + b = 0.
The assumption that a, b E Z; implies that the roots satisfy 10011 = p and 10021
10031 = 1. (Look at the Newton polygon!) We also observe that paf and aai have
norm p2, while 001 - b has norm p, so 001 must have the form
001 = -- + e
p
for some
ewith lei = 1.
This allows us to compute
1'(a1)1 = 13pai + 2aa1 - 11

= 1001 (3pa1 +2a) -11 = lad-a + 3pe) -11 = 10011 =p.
Thus 001 is a repelling fixed point of .
A similar, but more involved, calculation can be used to show that there are repelling periodic points of higher orders. Alternatively, we can invoke Bezivin's Theorem 5.40, which says that the existence of the single repelling fixed point 001 implies
that has infinitely many repelling points whose closure is .J ( ).
In order to study the periodic points in the Fatou set, we observe that is nonexpanding on 15(0, 1). To see this, note that maps the disk 15(0, 1) to itself, so in
particular IIII :::; 1. Applying Proposition 5.10 yields
I(z) - (w)1 :::; [z - wi
for all z, wE D(O, 1).
276
Hence </J is uniformly Lipschitz on D(O , 1), so D(O , 1) C F (</J) . Notice that the n th iterate of </J has the following form (think about the reduction of </In modulo p, which
is the same as the nth iterate of the reduction 1>( z) = iiz 2 + b):
</In(z)
2n 1
2n
= ,Az3n + ... + B z2n + 1,
+ Cz
f +'D z - + ...+ E z + F .
coefficie:ts in z,
C E Z;
coefficie~ts in z,
Again using the Newton polygon, we see that the polynomial </In(z ) - z has exactly 2n roots a (counted with multiplicity) satisfying lal ~ 1. These roots are
points of period dividing n for </J and they are in the Fatou set, since we showed
that D(0, 1) C F (</J) . One can prove that this gives infinitely many distinct periodic
points in D(O , 1). See [206, Example 4.11].
5.8 Nonarchimedean Wandering Domains

We first recall a famous theorem from complex dynamics (see Theorem 1.36).
Theorem 5.43. (Sullivan' s No Wandering Domains Theorem [426])
Let </J ( z) E q z ) be a rational fun ction ofdegree d ~ 2 over the complex numbers
and let U c F (</J) be a connected compo nent ofthe Fatou set of . Then U is prep eriodic in the sense that there are integers n > m > 0 such that
In other words. the connected component U does not wander, whence the name of
the theorem.
The first obstacle to translating Sullivan's theorem to the nonarchimedean setting
is the fact that Qp and C p are totally disconnected. Thus with the classical definition
of connectivity, there is no good way to break up the Fatou set into "connected" components. Various alternatives have been studied, including disk connectivity, rigid
analytic connectivity, and the use of Berkovich spaces.
In this section we consider disk connectivity, which is the simplest of the three to
describe. We state a theorem of Benedetto to the effect that a large class of rational
maps in Qp (z) have no wandering "di sk domains" and illustrate the result by proving
it under the somewhat stronger hypothesis that there are no critical points in the Julia
set of </J. We also note that Benedetto has shown that the statement is false over Cp ,
that is, there are rational maps over C p that do have wandering disk domains.
Much work has been done on this problem, especially in a series of papers by
Benedetto [54, 56, 57, 58, 59, 63, 62] and Rivera-Letelier [372, 373, 375, 376, 378],
but there are still many open questions. The material that we cover in this section is
due to Benedetto.
5.8. Nonarchimedean Wandering Domains
277
5.8.1 Disk Domains and Disk Components

The ordinary definition of connectivity is not useful for studying the totally disconnected spaces Q p and C p, nor is the notion of path connectedness helpful. We begin
with an abstract notion of connectivity that uses a chain of "disks" in place of a path.
Definition. Let X be a topological space and let V be a collection of open subsets
of X . (In practice , V will be a base for the toplogy of X.) For convenience , we refer
to the sets in V as disks.
Let U c X be an open subset and let P E U . The disk component of U containing P (relative to V) is the set of Q E U with the property that there is a finite
sequence of disks D 1 , D 2 , . . . , D n C U such that
D i n Di+l =I- 0 for all 1 :::; i < n.

In other words, Q is connected to P by a path of disks, as illustrated in Figure 5.3,
although as we shall see, in the nonarchimedean world, Figure 5.3 is somewhat misleading. Note that we define disk components only for open subsets of X. It is easy
to see that U breaks up into a disjoint union of disk components (Exercise 5.22).
Figure 5.3: A path of disks from P to Q.
Example 5.44. Let X = C and let V be the usual collection of open disks in C.
Then the disk components of an open set U C X are the same as the usual pathconnected components. This is clear, since if r is a path from P to Q, then r can
be covered by open disks contained in U, and the compactness of r shows that it
suffices to take a finite subcover. Thus the definition of disk components and the
related notion of disk connectivity (see Exercise 5.23) are reasonable. For example,
Sullivan 's theorem may equally well be stated in terms of the disk components of the
open set F ().
For the purposes of this section, we modify slightly our definition of disks
in]p'l (Cp ) . The resulting topology is the same, and indeed the disks contained within
the unit disk D(O , 1) are the same, but the alternative definition is more convenient
for working with disks that may contain the point at infinity.
Definition. The standard collection of closed disks in ]p'l (C p ) , denoted by V closed , is
given by
278
Vc10sed
all closed disks D(a, r) and

{ the complement jp>l(Cp ) < Dta, r) of all open disks D(a, r).
Of course, despite the name, all of the disks in Vc10sed are both open and closed sets.
Note that Vclosed includes all such disks, not only the disks of rational radius (cf.
Remark 5.7). One can show (Exercise 5.24) that the disks of rational radius in Vclos ed
are exactly the images of the unit disk D(O, 1) via elements ofPGL 2 (Cp ) .
Similarly, the standard collection ofopen disks in jp>l (Cp ) , denoted by V open, is
given by
all open disks D(a, r) and
V
open
= { the complement jp>l(Cp )
"D(a, r) of all closed disks D(a, r).
In the nonarchimedean world, every disk component has a very simple form.
More precisely, it is either a disk, the complement of a single point, or all of jp>l (Cp ) .
Proposition 5.45. Let V open and Vc10sed be, respectively, the collections ofstandard
open and closed disks in jp>l (Cp ) as defined above.
(a) Let D 1 , D 2 E Vc1osed. Then one ofthe following is true:
(i) D 1 n D 2
= 0.
(ii) D 1 U D 2 = jp>l(Cp ) .
(iii) D 1
D2.
(iv) D 2
D 1.
(b) Let U C jp>l (Cp ) be an open set and let V be a disk component of U relative
to Vclosed. Then V has one ofthefollowingforms:
(iii) V
E Vc10sed U V open.
Proof (a) If D 1 U D 2 = jp>l(Cp ) , we are done. Otherwise, choose any point in the
complement of D 1 U D 2 and use a linear fractional transformation to move that point
to 00. This reduces us to the case that neither D 1 nor D 2 contains 00, so they have
the form
D 1 = D(al,rd and D 2 = D(a2,r2).
If D 1 and D 2 are disjoint, we are done, so we may assume that there is a point
and switching D 1 and D 2 ifnecessary, we may also assume that rl ::::: r2. Let f3 E D 1 .
Then
so f3 E D 2 Hence D 1 ~ D 2 .
(b) If V = jp>l(Cp ) , we are done, so we assume that V -=I- jp>l(Cp ) . Using a linear
fractional transformation to move a point not in V to 00, we are reduced to the case
that 00 ~ V.
279
Let D 1 , . , D n E Dclo sed be any path of disks contained in V . Each pair of

adjacent disks (D i , Di+d has nonempty intersection, so (a) tells us that one of them
is contained within the other. Applying this reasoning to each pair, we see that the
union U~=l D, is itself a closed disk, i.e., the union is in D closed. This shows that
every disk path in V actually consists of a single disk.
Fix some point a E V and let
R = sup{r ~ 0 : D(a, r ) c V }.
Note that R > 0, since a E V and V is open. If R
done, so we assume that R < 00 . We claim that
= 00, then V = C p
D(a, R ) ~ V ~ D(a, R ).
and we are
(5.23)
The lefthand inclusion is clear from the definition of R. For the righthand inclusion,
suppose that b E V and consider a disk path from a to b lying within V. From our
previous remarks, this disk path consists of a single disk D( a, s). The definition of R
and the fact that D(a, s) ~ V tell us that s :s; R, and then the fact that b E D(a, s)
tells us that bE D(a, R ). This gives the other inclusion .
But we get even more. If there is even a single b E V satisfying Ib - al = R,
then s = Rand D(a,R) = D(b, s ) ~ V, so we find that V = D(a,R) E D closed.
On the other hand, if Ib- al < R for every b E V, then V c D ( a, R), so (5.23) tells
us that V = D (a, R) E D open This completes the proof of Proposition 5.45.
D
5.8.2 Hyperbolic Maps over Nonarchimedean Fields

In this section we prove that the Julia set of a rational map contains no critical
points if and only if is strictly expanding on its Julia set. This result is used later to
prove that such maps, which we call (p-adically) hyperbolic, satisfy a p-adic version
of Sullivan 's no wandering domains theorem . On first reading, the reader may wish
to omit the somewhat technical proof of the main theorem in this section and proceed
directly to the application of the theorem in proving Theorem 5.55 in Section 5.8.3.
Theorem 5.46. (Benedetto [56]) Let K / Qp be ajinite extension ofp-adicjields and

let (z ) E K(z) be a rational fun ction ofdegree d ~ 2. Proposition 5.20(c) tells us
that F( ) =1= 0, so changing variables if necessary, we may assum e that 00 E F( ).
Then the following are equivalent :
(a) There are no critical points in :J( ).
(b) For every jinite extension L/ K there exists an integer m ~ 1 such that
for all ex E :J() n L.
In other words, ffi is strictly exp anding on :J ()
n L.
Definition. Let K / Qp be a finite extension. A rational function E K (z ) will be

called p-adically hyperbolic if it satisfies the equivalent conditions of Theorem 5.46.
See Exercise 5.25 for the relationship with the classical definition ofhyperbolicity.
280
Remark 5.47. The classical analogue of Theorem 5.46 over C is much weaker. It
says that some iterate of </J is strictl y expanding on the Julia set if and only if the
closure of the postcritical set is disjoint from the Julia set. (The postcritical set is the
union of the forward orbits of the critic al points.)
Proofof Theorem 5.46. The implication (b) =} (a) is clear, since if 0: is a critical
point in :J(), we can take L = K (0:) and observe that
m- l
IT </J'(i(o:)) = 0
(m)'( o:) =
(since '( o:)
= 0).
i =O
Thus the existence of a critical point in :J () implies that (</Jm), has a root in :J ()
for every m, so (b) cannot hold .
The other implication is more difficult. Using the assumption that ' does not
vanish on :J(), we can apply Proposition 5.l6(c) to every point 0: in :J() n L to
find a disk D(0: , T a) with the property that
I</J(z) - (w)1= 1' (o:)Il z -
wi
for all z, w E D(o:, Ta ) .
These disks form an open covering of the compact set :J(</J) n L , so we can find a
finite subcover. Let f be the smallest radiu s of the disks in this finite subcover. We
then consider a finite covering of :J () n L by disks of radius f, say
The (nonarchimedean) triangle inequality implies that each disk in this covering is
contained in one ofthe disk s ofthe previous covering, so we conclude that stretches
by a constant factor on each D ( 0:; , f) . In other words, there are constants S; such that
for each 1 :::; i < n ,
I(z) - (w)1= S;lz -
wi
for all z, w E D(O:i, f).
The next step is to show that for any fixed a E :J(</J)
n L , the set of derivatives
n = 1,2 ,3, . . . ,
(5.24)
is unbounded. We prove this by contradiction, using the following claim:
Claim 5.48. Let
0:
E :J(</J)
n L and supp ose that there is an R > 1 such that
1(n)'(o:)l :::; R for all n 2:: 1.

Then
</In(D (a, fj R)) c D (</J n(a),f) f or all n 2:: 1.
(5.25)
Proofof Claim 5.48. We verify the claim by induction on n. The inclusion (5.25) is
clearl y true for n = 0, since R > 1. Suppose the inclusion (5.25) is known for all
0:::; n < N. Our choice of f ensures that for any j3 E :J() n L, the map stretches
by a constant factor on the disk D(j3, f), so in particular each of the map s
281
o :::;:n < N ,
stretches by a constant factor. It follows that
stretches by a constant factor. In other words, there is a constant S such that

for all z, ill E D(ex, e]R).
Taking
ill
ill
I,
= ex and letting z -+ ex, we see that S = (N)' (ex ) and then taking
E D(ex , f/ R) arbitrary, we conclude that
ex and z
IN(Z) - N( ex) 1= 1(N)' (ex)I' lz - ex l
< Rlz :::;: f
exl
since I(n)' (ex) I :::;: R for all n by assumption,

since z E D(ex, e]R ).
This shows that the inclusion (5.25) is true for n
N , hence for all n by induction .
Recall that we are in the midst of a proof by contradiction that the derivatives (5.24) are unbounded. Under the assumption that the derivatives are bounded ,
we have proven the inclusion (5.25), which in turn certainly implies that
U n(D(ex ), f/R) c U D( n(ex, f)) C U

n~ l
n 2:1
D({3, f).
{3 EJ(<iJ)n L
However, the Julia set is bounded (since we assumed that 00 E F ()), so an

e-neighborhood of the Julia set is also bounded. In particular, the above union omits
at least two points, so by the nonarchimedean Montel theorem (Theorem 5.27), the
map is equicontinuous on D(ex , e] R). This is a contradiction, since ex E J ( ) by
assumption, which completes the proof that the derivatives (5.24) are unbounded.
We now know that for each point ex E J () n L there is some integer m a
such that (ma )'( ex) 2:: 2. (There is no significance to the number 2; any number
strictly larger than I would suffice.) By continuity, there is a disk D(ex, so) such that
I(ma )' I 2:: 2 at every point in the disk. Taking a finite subcovering, we can cover
J( ) n L by disks
with the property that there are integers ml , . . . , mt 2:: 1 such that
for all 1 :::;: i :::;: t and all z E
o,
b;
For convenience , we may assume that the disks D1 , . . . ,

are pairw ise disjoint ,
since if two closed disks have a point in common, then one is contained in the other
and may discarded. It remains to show that there is a single iterate m that is expanding on all of the disks. In fact, we show that this is true for all sufficiently large m.
282
To ease notation, we let 'lj;i = qr i Given any point a E :J(</J) n L , we map

out an orbit and an itinerary for a by applying 'lj;i whenever we land in b ; More
formally, define inducti vely an orbit ao, a!, . . . and a sequence of indices io, i 1 , . . .
by the following procedure:
Dio ) ,
(index so that a 1 E Di l ) ,
(index so that a2 E Di 2 ) ,
ao = a
and
i o = (index so that ao E
a 1 = 'lj;io(ao)
and
i1 =
a2 = 'Ij;i l(a1)
and
i2 =
and
In other words, if an is in
We note that
b; then a n+1
is obtained by applying 'lj;i = </Jm; to an '

for all n
= 0,1 ,2, ...,
(5.26)
since by construction, the point ain is in Din and 'lj;in = </Jm i n .

We next observe that the derivative </J' (z) is continuous and nonvanishing on the
compact set :J(</J ) n L . (Continuity follows from the assumption that 00 ~ :J(</J ) and
nonvanishing is our assumption (a) that :J(</J ) contains no critical points .) It follows
that there is a constant J1 > 0 such that
for all (3 E :J(</J ) n L.
(We may assume that J1 :::; 1.) Using the chain rule and applying this repeatedly
yields
I(</In)'({3 )I =
n- 1
II I</J' (</Jif3) I ~ J1n
for all (3 E :J(</J ) n L and all n ~ O. (5.27)
i= O
Let M = max{ m1 , . . . , md and let N be any integer satisfying
2N > 4M J1-
M2
(5.28)
We claim that I(</JN)'I > 1 on :J(</J) n L, which will complete the proof of the
theorem.
To verify this claim , let a E :J( </J) n L and let ao,a 1, . . . and i o, i I , . . . be the
orbit and itinerary of a as described earlier. We use the chain rule to compute
We continue this process until the exponent N - m

comes smaller than M. Notice that this implies that
io - m i l -
. .. - m i k
M>N-m to' -m'1 1 -" ' -m''l.k >

N -(k + 1)M ,
so k
+ 2 > N 1M. We have thus found integers k and r
satisfying
first be-
283
(N)'(o:) = 'ljJ~o(O:O)1/( (o:d'ljJ~2(O:Z)" 'ljJ~k(O:k) (T)'(O:k+l)

with k
> N / M - 2 and r < M.
Hence
1(N)'(o:)1
= 1'ljJ~o(O:O)'ljJ~l (o:d'ljJ~2(O:Z)" 'ljJ~k(O:k)II(T)'(O:k+dl

,
2 Zk from (5.26)
2: 2N / M -
. J-LM
>1
since k
'-----v---"
M from (5.27)
> N/M - 2 and r < M,
from the choice (5.28) of N.
This shows that 1(N),(o:)1 > 1 for all N > MZlogz(J-L- 1 ) and all
0:
E :J()
n L,
0
5.8.3 Wandering Disk Domains

If U is a disk component of the Fatou set F() of a rational map E Cp(z),
then (U) may not be a full disk component of F(). This situation, which does
not occur in the complex case, prompts the following definition.
Definition. Let ( z) E C p (z) be a rational map defined over a nonarchimedean

field, and let
'DC () = {disk components of the Fatou set F ( ) }

be the collection of disk components of the Fatou set of . Then induces a map of
the set 'DC () to itself according to the rule
'DC () ------; 'DC ( ),
(disk component of F () containing ( U)).

(5.29)
We say that U E 'DC () is periodic, preperiodic, or wandering according to the
behavior of U under iteration of the map (5.29).
I----t
Example 5.49. Let p be an odd prime and let
z
(z)=z -z
p
be the function that we studied in Section 5.5. We proved (Proposition 5.22) that the
Julia set of is contained in the union of two open disks,
:J()
c D(O, 1) U D(I, 1),
and that :J () contains the repelling fixed points 0 and 1.

For 0: E C p , let B(o:) denote the disk component of 0: in F(). We claim
that B ( -1) = D ( -1, 1). To see this, we observe that B ( -1) cannot contain any
larger disk, since it does not contain O. On the other hand, D(-I, 1) is in F(),
since it is disjoint from D(O, 1) U D(I, 1). Hence B( -1) = D( -1,1).
284
Now consider the image point (-1 )

disk component
= 2p-1
and the image of the associated
(B( - l) ) = (D( - l , 1)) = D (2p-l ,p).

The disk D(2p-l,p) is contained in F (), but it is certainly not the largest disk
around 2p-1 contained in F ( ).Indeed,
2p-1 E pI (Cp ) " D(O, 1) c F ().

It is not hard to check that pI (rCp )
containing (B ( -1 )).
<,
D(O , 1) is the full disk component of F ()
Conjecture 5.50. (No Wandering Disk Domains Conjecture) Let K / Q p be afinite

extension and let ( z) E K (z) be a rational map of degree d :::: 2. Then the Fatou
set F( ) has no wandering disk components.
Benedetto proves Conjecture 5.50 for a large class of rational maps . In order to
state his result, we give four definition s (some of which we alread y know):
Definition. Let E Cp (z) be a rational map of degree d :::: 2 and let P E pI (Cp ) .
We say that Pis:
(i) Julia if P E .J().
(ii) critical if e p () :::: 2.
(iii) wildly critical if ep ( ) == 0 (mod p ).
(iv) recurrent if there is a sequence of integers n i ---+ 00 such that ll i( P)
i.e., if P is in the closure of the set { ll( P) : n :::: I }.
---+
P,
Theorem 5.51. (Benedetto [54]) Let K /Qp be a finite extension of p-adic fi elds
and let ( z) E K (z) be a rational map of degree d :::: 2. Assume that has no wildly
critical recurrent Julia p oints (defined over K) . Then the Fatou set F () has no
wandering disk components.
We make three short observations concerning Theorem 5.51.
Remark 5.52. Ifp is odd, then Theorem 5.51 is true for "almost all" rational maps
in Cp(z ). This is true because if (z) has a wild critical point P, then in particular it
has a point whose ramification index satisfies ep( ) :::: p :::: 3. It is not hard to show
that all of the critical points of a "generic" rational map of degree d have ramification
index equal to 2. (See Exercise 4.23 for a more precise statement.)
Remark 5.53. For a fixed degree d, Theorem 5.51 is true for all primes p
since p > d rules out the existence of wild critical points.
> d,
Remark 5.54. If a recurrent critical point P is in the Fatou set F (), then one can
show that P is in fact per iodic (Exerc ise 5.26). On the other hand, if P is critical,
then locally around P the map looks like (z) = ( P ) + a(z - z(p ))k + ...
for some a E C p and some k :::: 2. Thus if Q is sufficiently close to P, then
285
p((Q),(P)) = p(p,Q)k, so is highly contractive near P. And if P is also

recurrent, then n(p) gets very close to P infinitely often, so it receives the highly
contractive effect of infinitely often. This should cause points near P to remain
near P, and thus force P into the Fatou set. The critical recurrent condition and the
Julia condition are thus in opposition to one another, which means that nonperiodic
recurrent critical points should be quite rare. On the other hand, Rivera-Letelier [378]
has shown that there are maps having wildly critical recurrent points (which are then
necessarily in the Julia set) in JP'l(Qp). It is not known whether Rivera-Letelier's
examples have wandering disk domains.
In the other direction, it is known that there are rational maps defined over C p
that have wandering disk domains [63, 59, 62, 378]. In these examples the critical
points are in the Fatou set, so Theorem 5.55 implies that the maps cannot be defined
over a finite extension ofQp.
We now use Theorem 5.46 and a simple compactness argument to prove that
the Fatou sets of p-adically hyperbolic maps over finite extensions of Qp have no
wandering disk domains. This is not as strong as Theorem 5.51, but still covers an
important class of maps. The proof of Theorem 5.51 uses similar ideas, but is more
complicated; see [54].
Theorem 5.55. (Benedetto [56]) Let K/Qp be afinite extension ofp-adic fields, let
( z) E K (z) be a rational map ofdegree d 2: 2, and assume that the Julia set .:J()
contains no critical points of , i.e., assume that is p-adically hyperbolic. Then the
Fatou set F( ) has no wandering disk components.
Proof Proposition 5.20 assures us that F( ) is nonempty, and it is open, so it contains an algebraic point. (Note that Qp is dense in C p.) Replacing K by a finite
extension and changing coordinates, we may assume that 00 E F( ), and indeed we
may even assume that .:J() c D(O, 1). Equivalently, we may assume that the disk
component of 00 contains P! (C p ) -, D(O, 1).
We suppose that U C F( ) is a wandering disk component of F( ) and derive a contradiction. Replacing U with the disk component containing n(u) for a
sufficiently large n, we may assume that the orbit of U does not include the disk
component at 00. In particular, n(u) C D(O, 1) for all n 2: O.
Again taking a finite extension of K if necessary, we can find a point 000 E K
and a radius ro such that
D(ao,ro) cU.
At this stage we fix the field K and we use Theorem 5.46 to find an integer m such
that I(m)'l > 1 on .:J() n K. Replacing by m, it suffices to consider the case
that WI> Ion .:J() n K.
For each n 2: 0, the image n(D(ao,ro)) is a (closed) disk centered at the
point an = n(ao), say
In particular, (fJ(a n, rn))

yields
= D(an+l' rn+d, so applying Proposition 5.16(b)
286
rn l/(an) 1< rnH .
(5.30)
We also know that the disks D (an, r n) are disjoint, since D(an , r n) is contained
in n(u) , and further, each disk D (a n ,r n ) contains a point of D(O , l )nK. It follows
that the radii must satisfy
(5.31)
lim r = 0,
n- oo
since the set D(O ,I) n K has finite volume, so can contain only finitely many
nonempty disjoint disks of any fixed radius .
It follows from (5.30) and (5.31) that there are infinitely many n with the property
that
i.e., since r n
of points
---->
0, we must have rn+l
< r n infinitely often. Consider the infinite set
{an: 1'(a n)1 < 1,
= 1,2,3, ... }.
It is contained in the compact set D(O, 1) n K, so it contains an accumulation point

E K. The continuity of ' implies that 1'((3) 1:::; 1, which shows that (3 E F(),
(3
since we used Theorem 5.46 to ensure that WI > Ion .J ( ).

Let V be the disk component of F () containing (3. Then by construction V
contains infinitely many of the iterates an = n(ao). Since the radii of n(u) and
n( v) shrink to 0 as n ----> 00, it follows that some iterate n(U) is contained in V
and that some (nontrivial) iterate of n (V) is contained in V. Therefore U is not
0
wandering, contradicting our original assumption.
5.8.4 Wandering Disk Domains Exist in c,

We have proven that p-adically hyperbolic maps defined over Qp have no wandering
disk domains. More generally, Theorem 5.51 shows that rational maps ( z) E Qp(z)
with wandering disk domains are very rare, if they exist at all. And of course, Sullivan's theorem 5.43 says that rational maps (z) E C(z) defined over the complex
numbers never have wandering domains. It is thus somewhat surprising to discover
that there are very simple polynomial maps defined over Cp that have wandering disk
domains.
Theorem 5.56. (Benedetto [59]) For c E C p, let c(z) be thepolynomial
c(z) = (1 - c)zpH
+ cz".
Then there exists a valuea E C p such that:

(1) .J(a) =I- 0,
(2) F(a) has a wandering disk domain,
(3) F( a) contains every criticalpoint ofa.
Proof See [59] for a proof of this specific theorem, and see [63, 62, 373, 378, 380]
for generalizations and related results.
0
287
5.9. Green Functions and Local Heights
5.9 Green Functions and Local Heights

The canonical height h</; associated to a morphism : JlD1 ----+ JlD1 is defined as the
limit of d:" h(n(P)) as n ----+ 00. The utility of h</; lies in the two formulas
h</;(P) = h(P) + 0(1)
h</; ((P))
and
dh</;(P),
where the first says that h</; contains arithmetic information and the second says
that h</; transforms canonically.
It is tempting to try a similar construction locally and define (say)
(v-adic local height of a) = lim d log max{

n-+oo
In (a) Iv ,1}.
(5.32)
It is clear that if the limit (5.32) exists, then it transforms canonically, and indeed
if (z) is a polynomial, then the limit does exist and everything works quite well
(see Exercise 3.24). Unfortunately, for general rational maps the limit (5.32) may
not exist.
Rather than working directly with a rational map : JlD1 ----+ JlD1, it turns out to be
easier to develop a theory oflocal heights by first lifting to a map : Pi,. 2 ----+ Pi,. 2 and
then constructing a real-valued function 9 on Pi,.2 that satisfies the canonical transformation formula 9 ( (x, y)) = dg(x, y). In this section we construct the Green
function g, prove some of its basic properties, and then use 9 to construct local
canonical height functions on JlD1 as described in Theorem 3.27.
A point in projective space [x, y] E JlD1 is given by homogeneous coordinates, so
it is really an equivalence class of pairs (x, y). We make explicit the natural projection map
2
1r: (A " {O,O}) -------+ JlD1,
(x,y) f---' [x,y],
that sends a point (x, y) E A 2 to its equivalence class [x, y] E JlD1. To ease notation,
we write
A;
= Pi,.2"
{O,O}
for the affine plane with the origin removed.

Let : JlD1 ----+ JlD1 be a rational map of degree d. Then can be written as usual
in the form = [F, G] with homogeneous polynomials F and G of degree d having
no common factors. The polynomials F and G then define a map
(x,y)
(F(x,y),G(x,y)),
that fits into the commutative diagram

A2
&*
 a lift of . By homogeneity, if = [F, G] is one lift of , then every other
lift of has the form e = reF, eGl for some constant e E K*.
288
Definition. Let K be a field and let v be an absolute value on K. We denote the

absolute value (or sup norm) ofa point (x, y) E A2 (K) by
Similarly, the absolute value (or sup norm) of one or more polynomials is the maximum of the absolute values of their coefficients. (We have already made use of this
convention in the proof of Theorem 3.11.)
We begin by recalling how a map : A2(K)
ofa point.
-t
A2(K) affects the v-adic norm
Proposition 5.57. Let K be afield with an absolute value v. Let

 = (F, G) : A 2
-t
A2
be given by homogeneous polynomials F, G E K[x, y] ofdegree d 2: 1, and assume

that F and G have no common factors in K [x, y].
(a) There are constants Cl, C2 > 0, depending only on and v, such that
< 11(x,Y)llv <

II
Cl _
(b)
(x,y)
II d
v
for all (x,y) EA;(K).
C2
If v
is nonarchimedean and satisfies 11llv

explicit constants
IRes (F , G)I v
< 11(x,Y)llv < 1

-
(5.33)
1, then (a) is true with the
for all (x,y) E A;(K).
II(x, y)ll~ -
(5.34)
Proof (a) Weproved inequality (5.33) for generalmorphisms pN
- t pM during the
course of proving Theorem 3.11. More precisely, see (3.6) on page 92 for the upper
bound with an explicit value for C2 ( , v), and see (3.7) on page 93 for the lower
bound.
(b) By homogeneity, it suffices to prove (5.34) for points satisfying II (x, y) Ilv = 1.
Then the upper bound is obvious from the triangle inequality, and the lower bound
0
was proven during the course of proving Theorem 2.14, see (2.5) on page 57.
The next result describes a kind of v-adic canonical height associated to a

map : A 2 - t A 2 . The constructionis the same as the one that we used to construct
canonicalheights in Section 3.4.
Proposition 5.58. Let K be a field with an absolute value v, let cP : pI

morphism ofdegree d 2: 2, and let = (F, G) : A2 - t A2 be a lift of cP.
(a) For all (x, y) E
(K) the following limit exists:
-t
pI be a
A;
gif>(x, y)
}!..,~ dn loglln(x, y)llv'
We call gif> the Green function of .
(5.35)
289
(b) The Greenfunction is the uniquefunction A; (K)

twoproperties:
Q(1)(x,y)) = dQ(x,y)
Q(x, y) = log] (x, y) Ilv
+ 0(1)
----+
IR having the following
for all (x, y) E A;(K).
(5.36)
(5.37)
(c) Ifv is nonarchimedean and iIl satisfies IliIlll v = 1 and IRes(F, G) Iv = 1, i.e.,
the map = [F, G] : lP'1

Q(x,y)
----+
if
lP'1 has good reduction at v, then
logll(x,y)llv
(The converseis also true. See Exercise 5.27.)

(d) Forall (x, y) E A; (K) and all c E K*, the Greenfunction Q has thefollowing
homogeneity properties:
Q(cx, cy) = Q(x, y)
+ log Icl v.
1
Qc(x, y) = Q(x, y) + -d-log Jelv.
-1
(5.38)
(5.39)
(e) The Greenfunction Q : A; (K)
----+ IR is continuous. (In fact, Q is Holder

continuous, but this is more difficultto prove. See Exercise 5.28.)
Proof We consider the two functions

and
Proposition 5.57(a) tells us that they satisfy
loglliIl(x, y) Ilv
= dlogll (x, y) Ilv + 0(1)
for all (x, y) E A;(K).
(5.40)
This is exactly the situation needed to apply Theorem 3.20, from which we conclude
that the limit (5.35) exists and satisfies (5.36) and (5.37). Further, Theorem 3.20 says
that Q is the unique function satisfying (5.36) and (5.37). This completes the proof
of (a) and (b).
(c) The assumptions 111>llv = 1 and IRes(F,G)lv = 1 combine with Proposition 5.57(b) to tell us that II iIl(x, y) Ilv
Hence by induction we obtain
= II (x, y) II~
for all points (x, y) E
A; (K).
Then the definition of Q immediately gives Q(x,y) = logll(x,y)llv' which

proves (c).
dn1>n(x,y).
(d) The map iIl n is homogeneous of degree d", so iIln(cx,cy) = c
Substituting this into the definition of Q gives (5.38).
Similarly, ifwe let iIl c (x, y) = ciIl(x, y), then homogeneity and an easy induction
argument show that
290
Hence
1
9c<t> (x,y ) = fl.-+
limOO dn
10gllcp~ (x,y) 11 v
1(
= J~~ dn
n-l)
log llcpn( x , y)llv + d=1 log [c] ,

1
= 9<t> (x,y) + d _ 1 log Iclv
(e) Let 9n(x,y) = d- n 10g llcpll(x , y) Ilv' Then for any fixed value of n, the function 9 n : A; (K ) ----t ~ is continuous, since it is the composition of the continuous
maps cpn : A;(K) ----t A;(K) and log II . Ilv : A;(K) ----t R Further, the telescoping
sum argument used in Theorem 3.20 to prove the existence of limn->oo 9n(x, y)
implies that
for all n ~ 1 and all (x, y) E A;(K),
where C = C(CP , v) depends only on the 0 (1 ) constant in (5.40). (In the inequality (3.15) on page 98, switch the roles ofm and n and then let m ----t 00.) Hence the
sequence of continuous functions 9n(x,y) converges uniform ly to 9<t> (x, y), so the
limiting function 9<t> is also continuous. (See also Exercise 3.14.)
0
The Green function allows us to decompose the canonical height he/> into a sum
of local terms.
Theorem 5.59. Let K be a number fi eld. let : JP>1 ----t JP>1 be a rational function
of degree d ~ 2 defined over K , and let cp be a fixed lift of . For each absolute
value v E M K , let 9<t>,v be the associated Green function as described in Proposition 5.58, where we now include v in the notation so as to distinguish between
different absolute values. Then the (global) canonical height decomposes as a sum
he/>(P) =
n v9<t> ,v(x,y)
for all P
= [x ,y] E JP>l(K).
vEMK
Proof. Let
TJ(x ,y) =
n v9<t> ,v(x,y)
for (x, y) E A; (K ),
v EM K
so a priori the function TJ is a function on A;(K) . However, applying the Green function homogeneity property (5.38) from Proposition 5.58(d) and the product formula
(Proposition 3.3), we see that
TJ (CX,cy)=
L
v EM K
n v (9<t> ,v(x,y) + log Iclv) =
L
vE MK
n v9<t> ,v(x,y) = TJ (x,y),
291
sc n gives a well-defined function on pi(K).

Next we use the transformation property (5.36) from Proposition 5.58(b) to compute
".,((P)) =
2:
n v9<1> ,v( (P )) =
vEMK
2:
n vd9<1> ,v(P ) = d".,(P).
vEM K
Similarly, we use the normalization property (5.37) from Proposition 5.58(b) to estimate
".,(P) =
2:
n v9<1> ,v(P )
vEMK
where h(P) is the usual height of the point P E pi (K) and the Ov(1) are the
bounded functions appearing in (5.37). We further observe that Proposition 5.58(c)
says that we may take Ov(1) = 0 for all but finitely many v E M K . More precisely,
we may take Ov(1) = 0 for all v satisfying
(i) v E M~,
(ii) 11llv
= 1,
and
(iii) IRes( <I
Iv =
1.
Hence the final sum in (5.41) is a bounded function.

We have now proven that n : pi (K) -+ JR satisfies
".,((P)) = d".,(P)
and
".,(P) = h(P) + 0(1).
It follows from the uniqueness of the canonical height (Theorem 3.20) that n is equal
~~.
0
In Section 3.5 we described a decomposition of the canonical height h as a sum

of local canonical height functions ~,v, but we deferred the proof. The intuition in
Section 3.5 was that the local canonical height should measure
~,v(P)
-log(v-adic distance from P to (0).
More generally, it is convenient to define a local canonical height that measures the
v-adic distance from P to a collection of points. In the following theorem we describe a set of points, possibly with multiplicities greater than 1, by specifying the
homogeneous polynomial E E K[x, y] at which they vanish. In slightly fancier terminology, we are identifying positive divisors in Div(Pi) with homogeneous polynomials in K[x, y].
Theorem 5.60. Let K be a field with an absolute value v and let : pi -+ pi be

a rational function ofdegree d :::: 2 defined over K. Fix a lift = (F, G) of and
let 9<1> be the associated Green function.
292
(a) Forany homogeneous polynomial E (x, y) E K [x, y] ofdegree e ~ 1 we define
~,E([X,y]) = eY<f>(x,y) -logIE(x,y)lv

for [x, y] E jp'1(K) with E(x, y)
i- O.
Then ~,E is a well-definedfunction on jp'l, i.e., the value of~,E(P) does not
depend on the choice ofhomogeneous coordinates [x, y]for P.
Thefunction ~,E is called a local canonical height associated to and E.
In the special case that E(x, y) = y, we drop E from the notation and refer
simply to a local canonical height associated to .
(b) Forall P E jp'1(K) with E(P) i- 0 and E(il>(P)) i- 0 we have
A,E ((P)) = dA,E(P) - log
A
!(EOil(P) I
E(P)d v .
(Note that the homoegeneity ofE and il> ensures that the ratio (E
well-definedfunction on jp'l.)
(c) Thefunction
IE(P)lv
P f------+ A,E(P) + log IIPII~ ,
il / Ed is a
(5.42)
which a priori is defined only at points P satisfying E(P) i- 0, extends to a

bounded continuousfunction on all ofjp'I(K).
(d) Given the particular choice of lift il>, the function ~,E defined in (a) is the
unique real-valuedfunction
satisfying (b) and (c). If cil> is a differentlift, then with the obvious notation,
In particular, any two local canonical heights differ by a constant.

Proof The Green function satisfies Y<f>(cx, cy) = Y<f>(x, y) + log
polynomial E satisfies E(cx, cy) = ce E(x, y), so the difference
Icl v ,
while the
eY<f>(x, y) -log IE(x, y)lv

defining ~,E does not change if we replace (x, y) by (cx, cy). This proves (a).
(b) We compute
~,E((P))
= eY<f>(il>(x,y)) -logIE(il>(x,y))lv
= edY<f> (x, y) -logIE(il>(x, y))lv
from Proposition 5.58(b),
= d~,E(P) + dlog IE(x, y)lv -logIE(il>(x, y))lv'
293
(c) Directly from the definition of ~1>,E we see that the righthand side of (5.42) is
equal to
e(yep(P) -log 1IPIIv)'
(5.43)
The boundedness of(5.43) is exactly (537) in Proposition 5.58(b), Further, we know
from Proposition 5,58(e) that yep(x, y) is a continuous function on A;(K), and it
is clear that logll(x,y)llv is also a continuous function on A;(K), so the difference (5.43) is a continuous function on A;(K), Further, the difference is invariant
under (x, y) f-+ (cx, cy), so it descends to a continuous function on ]P'l (K),
(d) Suppose that ~ and ~I both satisfy (b) and (c), and let ~II = ~ - ~I. Writing
~II(P) = (~(P) + log
IE(P)lv) _
11P11~
(~I(P) + log IE(P)lv)

IIPII~
'
we see from (c) that ~II extends to a continuous bounded function on all Of]P'l (K).
Let C be an upper bound for I~III.
From (b) we find that
~II ((P))
= d~1I (P)
for all P E ]P'l (K) with E(P) =I- 0 and E( (P)) =I- 0,
and iterating this relation yields
~II ( n(P))
Hence
= dn~II (P)
provided E (i (P)) =I- 0 for all 0 ::; i
1~II(p)1 =
dIn
1~1I(n(p))1
::;
< n.
(5.44)
for all points P E ]P'l (K) satisfying E (i (P)) =I- 0 for all 0 ::; i ::; n.
But each equation E (i (P)) = 0 eliminates only finitely many points, so the
inequality (5.44) is true for all but finitely many points Of]P'l (K). Then the continuity
of ~II tells us that I~II (P) I < C d- n is true for all P E ]P'l (K). Since n is arbitrary,
this proves that ~II (P) = 0, so ~ = ~I.
Finally, the effect of replacing <l> by c<l> follows immediately from the definition
of ~1>,E in terms ofthe Green function yep and from the corresponding transformation
formula for yep given in Proposition 5,58(d).
0
Finally, as promised in Section 3.5, we prove that the global canonical height is
equal to the sum of the local canonical heights,
Theorem 5.61. Let K be a number field, let : ]P'l ----+ ]P'l be a rational function of degree d 2: 2 defined over K, and fix a lift <l> = (F, G) of , Choose a
homogeneous polynomial E(x, y) E K[x, y], andfor each absolute value v E M K ,
let ~1>,E,v be the associated local canonical height described in Theorem 5,60, where
we now include v in the notation so as to distinguish between different absolute
values, Then the (global) canonical height has a decomposition as a sum of local
canonical heights,
for all P E ]P'l (K) with E(P) =I- O.
294
Proof We use the definition of X,p,E,v in terms ofthe associated Green function Q<t>,v
from Theorem 5.60(a) to compute
Theorem 5.59 says that the first sum is equal to h,p(P), while the product formula
(Proposition 3.3) tells us that the second sum is o. (Note that this is where we use the
D
assumption that E(P) 1= 0.)
Remark 5.62. If v E M~ is nonarchimedean and has good reduction at v, then the
Green function and the local canonical height are given by the simple formulas
Q<t>,v(X,y) = log max { Ixlv,IYlv } and }.,p,E,v [x,y] =log
(max{lxlv,IYlv})
IE(x,Y)lv
Thus it is only for maps with bad reduction that the Green and local canonical height
functions are interesting. This should not come as a surprise to the reader, since
bad reduction is the situation in which dynamics itself becomes truly interesting . Of
course, this is said with the understanding that every rational map over C has "bad
reduction," so the dynamics of holomorphic maps on p I(C) are always interesting
and complicated.
Remark 5.63. For additional material on dynamical Green functions and dynamical
local heights, see [21, 88,234,233].
5.10 Dynamics on Berkovich Space

We have seen that C p is a natural space over which to study nonarchimedean dynamics, since it is both complete and algebraically closed . However, the field C p has
various unpleasant properties :
C p is totally disconnected.
C p is not locally compact, so the unit disk {z E C p
line pI (Cp ) are not compact.
Izi ::; I} and projective
The value group IC;I = pQ consists of the rational powers of p, so it is not

discrete in lR>o, yet neither is it all oflR >o.
This list suggests that it might be better to work in some larger space. There is
a general construction, due to Berkovich [64, 67], that solves these problems for C p
and other more complicated spaces. The study of dynamics on Berkovich spaces
started during the 1990s and is an area of much current research . In this section we
briefly describe the Berkovich disk and associated affine and projective lines and
5.10. Dynamics on Berkovich Space
295
discuss some very basic dynamical results. In a final subsection we state without
proof some recent results. For further reading, see [26, 51] for an introduction to
dynamics on Berkovich space and see [373, 375, 376, 379, 377, 380, 381] for RiveraLetelier's fundamental work in this area.
5.10.1 The Berkovich Disk over C p

The unit Berkovich disk lJB is a compact connected metric space that contains the
totally disconnected non-locally compact unit disk in Cpo We describe two constructions of lJB, the first an explicit description as the union of four types of points and
the second as a set of bounded seminorms on Cp[z].
5.10.1.1
The Four Types of Berkovich Points
The most concrete description of lJB is as the union of the following four sets of
points:
Type-I Berkovich Points. Each point a in the standard unit disk lJ(O , 1) of C p is
associated to a point of the Berkovich disk, which we denote by
~a ,O
-B
E D.
Type-II Berkovich Points. Each closed disk lJ(a,r) contained in lJ(O , 1) with radius r E IC; I = pQ is associated to a point of the Berkovich disk, which we
denote by
~a .T
-B
ED .
Type-III Berkovich Points. Similarly, each closed disk lJ(a,r ) ~ lJ(O, 1) with
positive radius r IC;I = plQ is associated to a point of the Berkovich disk,
which we naturally also denote by ~a .T '
Type-IV Berkovich Points. These are the trickiest points in lJB. They are associated to nested sequences of closed disks
with the property that
nbi;
rn) = 0.
n 2: l
We denote these points by ~a,r , where, as the notation suggests, the vectors a
and r are a = (al ' a2 ,"') and r = (r l ' r2, . . .).
Remark 5.64. Note that Berkovich points ~a , T of Types II and III are disks lJ(a, r),
so different values of a may yield the same Berkovich point. Indeed, we have
~a , T
= ~b , s
if and only if
r = s and la -
bl :S r ,
296
since these are the conditions for the disks D (a, r) and D (b, s) to coincide. Similarly,
two Berkovich points of type IV are the same if their sequen ces of disks can be
suitabl y intertwined. See Exercise 5.40 for details.
~a ,r of Type-I, II, or III corresponds to a disk (possibly of
radius 0), so we define the radius of ~a , r to be r, The radii ro, r1, r2, ... of a TypeIV point ~a ,r are non increa sing, so the limit r = lim i---> oo r, exists and is called the
Remark 5.65. A point
radius of~a ,r .
We claim that the radiu s of a Type-IV point is strictly positive. To see this, suppose that ~a, r has radiu s O. Then the sequence of points a 1, a2, . . . is a Cauchy sequence in Cp, so it converges to a point a E Cpo Let
6i =
j nf
[z -
al
zED(ai,r;)
be the distance from a to the i th disk. Notice that 0 ~ 61 ~ 62 ~ 63 ~ ... , since the
disks form a decreasing sequence. On the other hand, 6i ~ la - ai I -7 0 as i -7 00.
Hence 6i = 0 for all i, so a E b i; ri ) for all i and the intersection is nonempty,
contradicting the assumption that ~a,r is a Type-IV point.
5.10.1.2
The Berkovich Disk as a Set of Seminorms
The description of the Berkovich disk DB as a union of points of Types I, II, III,
and IV is very concrete, but it can be awkward to apply, since one must deal with four
different kinds of points ." There is an alternative description of DB as a collection of
seminorms on the ring C p [z] that is sometimes easier to use and that also naturally
generalizes to other rings and other spaces.
Definition. Fix R
II . IIRon Cp[z] is defined by
> O. The Gauss norm
The maximum modulus principle (Theorem 5.13(a)) tells us that the Gauss norm is
equal to the sup norm,
IlfliR=
~up
If(z)l
zE D (O,R )
Definition. A (nontrivial)
II . IIR-bounded seminorm on Cp[z] is a nonconstant map

1.
If I 2: 0 for all f
Cp[z].
2. Ifgl = If IIgl for all I, g E Cp[z] .

40ne can unify the four types of points by defining all of them as equivalence classes of nested sequences of closed disks. See Exercise 5.40.
297
3. If + gl :S max{l f l, Ig l} for all I. s E Cp[z].

4. If I :S Il fli R for all f E Cp[z]. (This is the boundedness condition.)
Thus a seminorm has all of the properties of an absolute value except that there may
be nonzero elements f E Cp[z] with If I = o.
Definition. The (closed unit) Berkovich disk fjB is the set

fjB
{ II . IiI-bounded seminorms on Cp[z]}.
More generally, the closed Berkovich disk ofradius R is the set
fj~
= {II . Ilwbounded seminorms on Cp[z ]}.
The definition of fjB as a set of bounded seminorms is quite unintuitive, but

its utility becomes clear when one examines Table 5.2 and sees how each of the
four types of Berkovich points naturally defines a seminorm on Cp[z]. A fundamental theorem of Berkovich, whose proof we omit, says that every bounded seminorm on Cp[z ], and more generally on certain power series rings containing Cp[z],
comes from one of the four types of Berkovich points. (See [64, page 18] or [26,
Proposition 1.1].) Notice that the sem inorm I . 10 1 corresponding to the Berkovich
point ~0, 1 is exactl y the Gauss norm Iflo ,1 = Ilf ll; , so following Baker and Rumely,
we call ~0,1 the Gauss point.
I Point I
Type-I
~a , O
Types-II & III
~a ,r
Type-IV
~a ,r
Seminorm
Ifl a,o = If( a)1

Ifla ,r = sup If(z)1
zE D(a,r)
Ifl a,r = lim If lan,rn
n~ oo
Table 5.2: Seminorms on <Cp[z] associated to Berkovich points.
Remark 5.66. It is easy to see that the seminorms associated to points of Type-II, III,
and IV are actua lly norms. (See Exercise 5.35.) However, the seminorm assoc iated
to a point ~a ,O of Type-I is not a norm, since Ifla,o = 0 if and only if f vanishes at a.
For example, Iz - ala,o = O. This explains why the Berkovich disk is defined using
seminorms, rather than norms .
Remark 5.67 . In order to properly develop function theory on the Berkovich disk
and to glue disks together to create larger spaces, it is advantageous to use sets of
seminorms on more general rings , such as power series rings . For example, let 11' R
be the ring of power series in Cp[z] that converge on the closed disk fj (O , R ) of
radius R, i.e.,
lI'R = {f (z ) =
L cnzn E <Cp[z] : nl~~ \cnl Rn = o}.

n~O
298
The ring 11' R is a Banach algebra over C p using the Gauss norm,
which the maximum modulus principle tells us is the same as the sup norm. The
Berkovich disk D~ is often defined to be the set of bounded seminorms on the
ring 11' R- One can show, using the Weierstrass preparation theorem, that this leads
to the same set of points and the same topology as taking the II . Ilwbounded seminorms on the polynomial ring C p [z]; see [26]. The ring 11' R is an example of a Tate
algebra. Applying the same construction to more general Tate algebras allows one
to construct Berkovich spaces for the associated rigid analytic spaces.
5.10.1.3 Visualizing the Berkovich Disk

In order to visualize the Berkovich disk, we place the Gauss point ~O,l at the top of
the page and observe that there is a line segment running from any point ~ i- ~O,l up
to the Gauss point. If ~ = ~a,r is of Type-I, II, or III, then this line segment is the set
of points
La,r = {~a,t : r S t S I}.
Notice that any two line segments La,r and Lb,s merge with one another at the
point ~a,t = ~b,t determined by
t
= max{r, s, Ib - al}.
This is the smallest allowable value of t for which the disks D(a, t) and D(b,t)
acquire a common point, hence for which they coincide. Thus one can imagine the
various line segments continually merging as they run upward toward the Gauss point
at the top of the tree.
The line segment running up from a Type-IV point ~a,r is slightly more complicated. It is the set of points
00
La,r =
{~a,r}
U{~ai,t
i=l
00
: ri S t Sri-I} =
{~a,r} U
Lai,ri'
(5.45)
i=l
(Note that ro = 1 by definition.) The Type-IV point ~a,r is included in the Berkovich
disk precisely to provide an endpoint for the union of line segments ULai,ri'
Now imagine starting at the Gauss point and moving downward through the tree.
We claim that at any instant, there are three possible scenarios:
1. If you have reached a point ~a,O of Type I or a point ~a,r of Type IV, then you
have hit the end of a segment and cannot proceed further.
2. If you have reached a point ~a,r of Type II, then r > 0 is in the value group
of Cp and there are countably infinitely many branches along which you can
move down the tree.
3. If you have reached a point ~a,r of Type III, then r > 0 is not in the value
group of Cp and there is only one direction to move down the tree.
299
The picture for points of Type I is clear. In order to understand Types II and III,
suppose that we fix a point ~a,T of Type II or III. Each b E D(a, r) gives a line
segment Lb,o that runs up from the Type-I point ~b,O and through the point ~T,a'
Two such line segments Lb,o and Lbf,O merge before reaching ~a,T if and only if
Ib - b'l < r, so it is really each open disk D(b,r) inside the closed disk D( a, r) that
gives a line segment running up to ~a,T'
If ~a,T is of Type III, then D(b,r) = D( a, r) for any b E D( a, r), so there is only
one segment running downward from ~a,T'
The situation is much more interesting, and complicated, if ~a,T is of Type II. In
this case D( a, r) is covered by a countable union of open disks D(b,r), so there is
a countable set of branches downward from ~a,T' A convenient, although noncanonical, way to describe the branches is as follows. Let IlJ = {z E Cp : Iz I < 1} denote
the maximal ideal in the ring of integers of Cp and fix some c E Cp with lei = r.
Then the open disks of radius r are in one-to-one correspondence with the residue
field JFp via the map
{disks D(b,r) inside D(a, r)}
-+
JFp ,
D(b,r)
f------7
(b/c) mod 1lJ.
The surjectivity of this map is clear, and the injectivity follows from the fact
that D(b,r) = D(b', r) if and only if Ib - b'l < r = leiIn order to fit the Type-IV points into the picture, let
be any sequence of nested disks and consider what happens as we move down the
line segments Lai,Ti' The fact that the disks D(ai,ri) are nested implies that the
line segments Lai,Ti extend one another downward as i increases. If the intersection D(ai, ri) is nonempty, then it is equal to D(a,r) for some a E C p and
some r :::: 0, so the intersection corresponds to a point ~a,T of Type I, II, or III
and the union ULai,Ti together with the endpoint ~a,T forms a closed line segment.
However, if the intersection D (ai, ri) is empty, then there is no actual disk
D(a,r) sitting at the bottom of the union of the line segments ULai,Ti' Thus as
already noted, the points of Type IV exist precisely to remedy this situation and to
ensure that every downward path has a termination point. Further, this explains why
we defined La,r by (5.45) to be the line segment running from ~a,r to ~O,l' (See
Exercise 5.41.)
The Berkovich disk DB is "illustrated" in Figure 5.4. Of course, Figure 5.4 is
at best a pale imitation of the true glory of the Berkovich disk, since in a complete
picture of DB, every line segment contains a countable number of Type-II points, off
of each of which there is a countable number of downward branches. Unfortunately,
despite advances in modem technology, there are still no computer packages capable
of fully rendering a (countably) infinitely branched broomstick.
5.10.1.4
The Gel'fond Topology on the Berkovich Disk
The next step is to put a topology on the Berkovich disk.
300
IType-I point I --
~a , O
~O ,O
~b ,O
Figure 5.4: The Berkovich disk
DB.
Definition. The Gel'fond topology on DB is the weakest topology such that for
every f E Cp [z ] and every B > 0, the following sets are open:
U(j, B)
= {x E DB : If Ix < B}
and
V(j, B) =
Theorem 5.68. (Berkovich) The Berkovich disk

a compact path-conn ected Hausdorffsp ace.
{x E DB: If Ix > B}.
DB with the Gel 'fond topology is
Proof See [64, Theorem 1.2.1] or [29, Appendix D] for the proofthat DB is compact
and Hausdorff and [64, Corollary 3.2.3] for the proof that it is path connected.
0
Basic open sets for the Gel'fond topology on 156 , viewed as a tree, can be described by taking (and deleting) branches of the tree as described in the following
definition.
Definition. The closed branch of DB rooted at (a , r), denoted by Ir. a r' consists of
all points ~b,s such that ~a,r is on the line segment L b,s running from ~b,s to ~O , l ,
together with whatever Type-IV point s are needed to finish off the bottom of any
open line segments. Thus
Ir.a,r
{~b ,s : s
:S r and Ib- al :S r} U {appropriate Type-IV points}.
Ir.:
The open branch rooted at (a, r ), denoted by

r is obtained by starting with
the closed branch Ir.a ,r ' removing the point ~a,Tl and then taking the connected component that contains ~a ,O' If ~a ,r is of Type III, this is simply the closed branch at ~a,r
with the single point ~a ,r removed ; but if ~a , r is of Type II, then there are countably
many branches at ~a , r and we select the one that includes the point ~a, O ' It is not hard
to see that
Ir.: ,r =
{~b,s : s
< rand Ib- al < r } U {appropriate Type-IV points} .
Then a base of open sets on

the following three types :
DB for the Gel'fond topology consists of all sets of
301
Open branches.
Open branches with a finite number of closed subbranches removed.
The entire tree with a finite number of closed branches removed.
Remark 5.69. There is a natural inclusion

-
- B
D(O , 1) '-------+ D ,
r----+
~a ,O ,
that identifies the unit disk ])(0,1 ) as the set of Type-I points in the Berkovich
disk ])B . It is not hard to check that the Gel 'fond toplogy on ])B, restricted
to ])(0, 1), is the usual topology induced by the metric on CpoSee Exercise 5.44.
5.10.2 The Berkovich Affine and Projective Lines

It is relatively easy to construct the Berkovich affine line A" B and the Berkovich
projective line jp'B as topological spaces, which we do in this section. It is more
difficult to construct them as ringed spaces with sheaves of functions appropriate for
doing analysis. See Remark 5.74 for a brief discussion and references.
5.10.2.1
The Berkovich Affine Line A"B
Recall that the Berkovich disk ])B consists of four types of points . Each may be
described in terms of disks that are contained in the closed unit disk ])(0, 1). Equivalently, ])B is the collection of II . Ill-bounded seminorms on Cp[z] .
More generally, we define the Berkovich disk])~ of radius R to be the collection
of II . ll w bounded seminorms on Cp[z]. It is given the Gel 'fond topology and has
its own Gauss point ~O ,R corresponding to the seminorm
It is clear how to define points of Type I, II, III, and IV in ])~ using closed disks
contained in ])(0, R),just as we did for ])B. Further, there is an inclusion
This is clear from the definition of ])~ as a set of seminorms. In terms of the picture
of D~ as a branched tree, we see that ])~1 is the closed branch of D~2 lying below
the Gauss point ~O ,Rl of D~l .
Definition. The Berkovich affine line A"B is the union of the increasing collection of
Berkovich disks,
A"B =
U D~ ,
R >O
with the topology induced by the direct limit topology on the individual Berkovich
disks . It suffices, of course , to take the union over any increasing sequence of radii,
for example , over R = pk with k --+ 00 .
S. Dynamics over Local Fields: Bad Reduction
302
Thus every point a E Cp , every disk D(a, r) C Cp , and every nested sequence of
disks with empty intersection gives a point in the Berkovich affine line A13, and A 13 is
composed of exactly this collection ofpoints. In particular, there is a natural inclusion
of C, as the set of Type-I points in A 13,
We also note that A 13 inherits a tree structure from the natural tree structure of the
Berkovich disks D~ . However, the tree A13 extends infinitely far upward; there is no
Gauss point sitting at the top of A13.
5.10.2.2 The Berkovich Projective Line
jp'13
The easiest way to construct the Berkovich projective line jp'13 as a topological space
is to glue together two copies of the Berkovich disk DB along their annuli
Ann13
= { ~a , r
lal = 1 }
-13
ED:
using the map

We note that the map j is induced from the inversion map j(z) = l i z, since it is
easy to check (Exercise 5.37) that ifO rJ. D(a,r), then
j(D (a ,r )) = { Z-l : [z - al:S r} = D(a- 1 ,r/ la I2 ) .

In particular, if lal = 1, then j(D(a,r)) = D(a- 1 , r ), so f(~a .r ) = ~a - l . r '
The full Berkovich disk is the disjoint union of the annulus and the open branch
containing ~o,o ,
- 13
D = Ann
13
U A\0 ,1 '
Thus when we glue two copies of DB along their annuli , the only parts of the two
disks that are not identified are the two open branches A\~ l ' Hence another way to
construct jp'13 is to take one copy of DB and attach one extra copy of A\~ 0 running
vertically upward from the Gauss point ~0.1' The result is il1ustrated in Fi~e 5.5.
It is natural to denote the extra vertical branch by A\"oo and to label its points
using the reciprocals of the points in D(O, 1),
A\"oo = {~a .r : lal > 1

The open and closed branches in
1/. 0
11\0 ,1
and
< 1} U {~oo .o} .
A\"oo are defined using the natural
identification
1/. 0
.--.. 11\00 '
For example, a basic open neighborhood of the Gauss point ~0 ,1 is obtained by removing from jp'13 a finite number of closed branches, some of which may be in the
vertical branch A\"oo at infinity.
303
Extra branch
"at infinity"
Figure 5.5: The Berkovich projective line
jp'B.
Remark 5.70. There is a natural embedding of AP into jp'B. However, the inversion
map I (z) = 1/z used to glue together the two pieces of jp'B can cause notational
confusion regarding the "radius" of points of Types II and III. For example, the
point ~p-2 ,p-3 in the branch /r..:a of jp'B would be denoted by ~p-l ,p when viewed
as a point in A B . Thus it might be wiser to denote the points in /r..:a using some
alternative notation, for example
i.; but we will not do so.
Remark 5.71. A useful alternative construction oflp>B mimics the construction of the
scheme jp'i as the set of homogeneous prime ideals. It starts with the set of bounded
seminorms on the two-variable polynomial ring Cp[x, y] that extend the usual absolute value on C p and that do not vanish on the maximal ideal (x, y). Two seminorms I 11 and I . 12 are considered equivalent if there is a constant c > 0 such
that
I/iI = cdegfl/b
for all homogeneous IE Cp[X, y].
Then jp'B is the set of equivalence classes of such seminorms. For details of this
construction, see [66].
Let P E jp'I (C p ) . To create a seminorm from P, choose homogeneous coordinates P = [a, b] and set III = I/(a, b) I. Notice that a different choice of homogeneous coordinates for P gives an equivalent seminorm. This embeds jp'I (C p ) into jp'B.
5.10.2.3
Properties of AB and jp'B
As repayment for the effort required to construct them, Berkovich spaces have many
nice properties that Cp lacks.
304
Theorem 5.72. (a) The Berkovich disks D~ are compact, Hausdorff, and uniquely
path connected. 5
(b) The Berkovich affine line A B is locally compact, Hausdorff, and uniquely path
connected.
(c) The Berkovich projective line JlDB is compact, Hausdorff, and uniquely path connected.
D
Proof See [26] and [64].
Remark 5.73. As noted earlier, the Berkovich affine line A B contains a copy
of Al(C p) = Cp, since each a E C p gives an associated Type-I point ~a,O in D~
provided R :::: [c]. Similarly, the Berkovich projective line JlDB contains a copy of the
classical projective line JlDl (C p) via the map
f------+
~a ,o
.0(0,1)
iflal::; 1,
~a,O E
1r..:O
~oo,o E 1r..:O
if1
<
if a =
lal
< 00,
00.
One can show that the restriction of the Gel'fond topology on A B and JlDB to A l (C p)
and JlDl (C p), respectively, gives the topology induced by the usual metric on A 1 (C p)
and the chordal metric on JlDl (C p). See Exercise 5.44. This explains why the Gel'fond
topology is the "right" topology to use on Berkovich spaces.
Remark 5.74. We have constructed A B and JlDB purely as topological spaces. It is
more difficult, but very important, to refine this construction and make ABand JlDB
into ringed spaces with structure sheaves built up naturally from rings of functions.
There are two approaches, both due to Berkovich. The first takes unions of open
Berkovich disks, which have a natural structure as analytic spaces, and glues them
along open annuli; see [26,64]. The second glues affinoids (which are closed) using
nets; see [65]. This second construction is less intuitive, but it allows one to functorially attach a Berkovich analytic space to any reasonable rigid analytic space.
5.10.3 Dynamics on Berkovich Space

Having constructed the Berkovich spaces
study iteration of maps on these spaces.
5.10.3.1
DB, A B,
and JlDB, we are finally ready to
Polynomial and Rational Maps on Berkovich Space
Let (z) E Cp[z] be a polynomial. There is a natural way to extend the map
: Al(C p) ~ Al(C p) to a map on Berkovich affine space : A B ~ A B . In terms
of seminorms, the action of is simply given by composition,
Ifl</>(o
If
I~
5Recall that a topological space X is path connected if given any two points XQ, Xl E X there is a
continuous map I: [0,1] --+ X with 1(0) = XQ and 1(1) = Xl. Then X is uniquely path connected if
any two such paths hand h are homotopic to one another, i.e., h an be continuously deformed to h.
305
However, it is perhaps easier to understand the map : flo. 3 --+ flo. 3 by looking at
the action of on points of Types I-IV. Recall (Proposition 5.16) that maps disks
to disks, say
(D( a, r )) = D( (a),R)
for some R = R(,a,r ).
Then for points of Types I, II, and III we define
and for points of Type IV we take the usual limit
Remark 5.75. The maximum modulus principle (Theorem 5.13) allows us to explicitly describe the radius R(,a , r ) of the image (D(a,r)). First expand (z) as a
polynomial in powers of z - a, say
d
(z) =
L Ci(, a)(z - c)' :

i= O
Then
R(, a,r ) = max ICi(, a)lr i =
sup
1::ot::o d
zE D (a ,r )
I (z) - (a)l.
A rational function (z) E iCp(z) similarly induces a map on the Berkovich

projective line Jll'B extending the usual map on Jll'1(iC p ) . If has no zeros or poles on
the disk D (a, r ), then it is relatively easy to describe the value of (~a , r ) . We know
in this situation that (D(a, r)) is a disk, say equal to D((a), s). Then
(~
)=
a,r
{ ~(a) ,s
~(a ) - l ,s/ I(a)12
if l(a)1::; 1,
if I(a)I > 1.
Note that the assumption that does not vanish on D(a, r) is equivalent to the inequality 1(a)1 > s, so the indicated points are in DB.
The description of (~a , r) when has zeros and/or poles on D(a,r) is more
complicated. An explicit description in terms of open annuli is given by RiveraLctelier [373, 375, 376]. (See also [26, Section 2].) A succinct , but less explicit , way
to specify the induced map : Jll'B --+ Jll'B is to use the construction of Jll'B as a
space of homogeneous seminorms as described in Remark 5.71. Then for a given
seminorm ~ E Jll'B, the seminorm (~) is determined by writing = [F, G] using
homogeneous polynomial s F and G and setting
If (x , y) l (~) = If (F(x, y), G(x ,Y))I
for all homogeneous f E iCp[x, y].
306
5.10.3.2 The Julia and Fatou Sets in Berkovich Space

A natural way to put a metric on the Berkovich spaces fJB, AB, and lP'B is to use
the underlying tree structure and measure distances along line segments. Unfortunately, this path-length metric does not give the Gel'fond topology, and as we
have observed, it is the Gel'fond topology that extends the natural metric topologies on fJ (O , 1), A1(Cp ) , and lP'1(Cp ) . (See Exercises 5.42 and 5.44.) It is possible
to define a metric that does yield the Gel'fond topology, but the definition of the
"Gel' fond" metric is quite indirect. See [26, Corollary 1.3].
So rather than using a metric, we instead characterize the Fatou and Julia sets in
Berkovichspace using an abstract topological version of equicontinuity.
Definition. Let X and Y be topological spaces and let be a collection of continuous maps X -+ Y. The set is (topologically) equicontinuous at x iffor every
point y E Y and every neighborhood V c Y of y there are neighborhoods U c X
of x and W C Y of y such that for every rjJ E , the following implication is true:
rjJ( U) n W
=f 0
==}
rjJ(U ) c V.
Intuition: is equicontinuous at x if for each y E Y, whenever rjJ E sends some
point close to x to a point that is close to y, then rjJ sends every point close to x to a
point that is close to y.
One can show that if Y is a compact metric space, then topological equicontinuity agrees with the usual metric definition of equicontinuity. (See [26, Proposition 7.17].) Wesay that is (topologically) equicontinuous on X ifit is topologically
equicontinuous at every point of X .
Definition. Let rjJ (z) E Cp(z) be a rational map. The (Berko vich) Fatou set of rjJ is
the largest open subset of lP'B on which rjJ is equicontinuous, or more precisely, on
which the set of iterates {rjJn } is equicontinuous. The (Berkovich) Julia set ofrjJ is the
complementof the BerkovichFatou set. Wedenote these sets by FB (rjJ ) and .JB(rjJ) ,
respectively.
Remark 5.76. Recall that the classical points in lP'B, i.e., the points of Type-I, form
a copy of lP'1 (Cp ) sitting inside lP'B. As noted earlier in Remark 5.73, the restriction of the Gel'fond topology on lP'B to the classical points gives the same topology on lP'1 (Cp ) as that induced by the chordal metric. Using this one can show that
equicontinuity at a classical point oflP'B using the Gel'fond topology is equivalent to
equicontinuity using the chordal metric. Hence the classical Fatou and Julia sets sit
within their Berkovich counterparts:
and
Remark 5.77. Let rjJ (z) E Cp(z) be a rational map of degree at least 2. Various
authors have shown that there is a unique probability measure Mcf> on lP'B satisfying
rjJ* Mcf> = d - Mel>
and
307
(Recall that a probability measure is a nonnegative measure of total mass 1.) We

call fJ</> the canonical measure associated to , since the property * fJ</> = d . fJ</>
resembles the analogous property h</> (( P)) = d . h</> (P) of the canonical height.
The reader should be aware that other common names for fJ</> in the literature include Brolin measure, Lyubich measure, and invariant measure. For the construction
and applications of fJ<t>, see Baker and Rumely [26, Theorem 7.14], [29], ChambertLoir [98], Thuillier [434], and Favre and Rivera-Letelier [168], as well as [360].
Theorem 5.78. Let (z) E Cp(z) be a rational map ofdegree at least 2. The support ofthe canonical measure fJ</> is equal to the Julia set :JB (). In particular, the
Berkovich Julia set :JB () is not empty.
Proof This theorem is an amalgamation ofresults due to Baker, Rumely, and RiveraLetelier. We refer the reader to [26, Section 7.5] for the construction ofthe canonical
measure and to [26, Theorem 7.18], [27, Theorems 8.9 and A.7], and [381] for the
proof that fJ</> is supported exactly on :JB (). The last part of the theorem is then
0
clear, since the empty set cannot provide the support for a nontrivial measure.
Example 5.79. Let (z) E Cp(z) be a rational map of degree at least 2 and suppose that has good reduction. We know (Theorem 2.17) that the classical Julia
set :J() C jp'1 (Cp ) is empty. Using the construction of the canonical measure, it is
not hard to show [26, Example 7.2] that for a map of good reduction, the canonical
measure is entirely supported at the Gauss point, i.e.,
fJ</>(U)
=1
if ~O,l E U
and
fJ</>(U)
=0
if ~O,I ~ U.
Thus :JB() = {~O, I }, so the nonempty Julia set guaranteed by Theorem 5.78 is not
very interesting, since it consists of a single point. Hence even in Berkovich space,
the most interesting dynamical behavior occurs for maps of bad reduction. On the
other hand, if the conjugates f of have bad reduction for every f E PGL 2(Cp ) ,
then :J() is a perfect set, and hence uncountable. (See Theorem 5.82.)
5.10.3.3
The Map (z) = z2 on Berkovich Space
To conclude our brief foray into Berkovich space, we illustrate Berkovich dynamics
by studying the simplest possible map, namely ( z) = z2. For any a E C p, we
expand
(z) - (a) = z2 - a2 = 2a(z - a) + (z - a)2.

Assuming henceforth that p 2: 3 and using our convention that all points in jp'B have
radius satisfying r ::; 1, we find that
with
s = max{12alr, r 2 } = r- maxj ]], r}.
(5.46)
This explicitly gives the action of on points of Types I, II, and III in jjB, and the
action of on Type-IV points is given by the appropriate limit.
308
The formula (5.46) allows us to compute many orbits O (~a , r ) . For example ,
suppose that lal < 1 and r < 1. Then IcPn (a) I ----+ 0, so the radius of cPn (~a ,r) also
goes to O. Thus
[o]
<1
and
r<1
lim cPn(~a , r ) = ~o ,o .
=>
n ~ oo
In other words, the open branch It\~ , l is in the attracting basin of the fixed point ~o , o .
(We leave it to the reader to make this informal argument rigorous using the Gel 'fond
topology on DB.)
What are the fixed point s of cP? For a point ~a ,r E DB of Type I, II, or III in the
Berkovich disk, we have
r =r . max{[ a[, r } and D(a,r )=D(a2,r)

r = 0
and
a = a2 ,
{ max{la[,r}=1
or
and
la -a 2 [::; r.
There are three cases to consider. First, if r = 0, then a = a 2 , so we see that ~o , o

and 6 ,0 are the only fixed points of Type I in DB. Second, if r = 1, then ~a , r
is equal to the Gauss point ~O, ), which is clearly fixed by cP(z ). Finally, suppose
that 0 < r < 1. Then ~a,r is fixed if and only if
lal = 1
and
Thus ~a ,r is fixed if and only if a E D (1, r), in which case ~a,r = 6 ,r. This exhausts
the Type-I ,-II, and-III fixed points in fJB. A similar analysis on the branch leading
up to ~oo,o yields one more fixed point, namely the Type-I point ~oo ,o at the top of
the tree. Hence aside from Type-IV points, the fixed-point set of cP on jpB consists of
two (attracting) Type-I fixed points ~o,o and ~oo ,o and the line segment running from
the Gauss point ~O , l down to the (neutral ) Type-I fixed point ~I ,O ,
Fix(cP, jpB) = {~o ,o, ~oo,o } U {6 ,r : 0 ::; r ::; I }.

We leave it as an exercise to show that cP(z ) = z2 has no fixed points of Type IV
(Exercise 5.36).
We have seen that every point in It\~,o is attracted to ~o , o, and the Gauss point ~o, 1
is fixed. We next show that every other point in DB of Type II or III is preperiodic.
Let ~a ,r E DB be such a point , which means that
0 < r <1
and
lal = 1.
Then the disk D (a,r ) has positive radius, so it contains points that are algebraic
over lQp (note that Qp is dense in C p). Replacing a with such a point, we mayassume that a is algebraic over lQp. Next we observe that (5.46) combined with the
assumption that la l = 1 implies
so by iteration
309
Hence
Let K = Qp (a) and noti ce that
U D ((pn (a), r) n K c D (O , 1) n K .
n ~O
The disk D(O, 1) n K cannot contain infinitely many disjoint disks of radius r , so
there must exist m > n such that
Then 1r (~a, r ) = n(~a ,r), so ~a , , is preperiodic.

We conclude this section by using the definition of topological equicontinuity to
directly demonstrate that the Gau ss point ~O ,l is in the Julia set of . The intuition is
that any neighborhood of ~O , l contains points ~O ,r on the line segment connecting ~O ,l
to ~o ,o. If r < 1, then the iterates n( ~O ,r ) approach ~o ,o, but the Gauss point ~O ,l is
fixed. Hence n (~O, l) doe s not rema in close to n(~O ,r) . We now make this argument
rigorous.
We suppose that x = ~O , l E ;:6 ( ) and derive a contradiction. Let y = ~o,o , and
let V = !f\~ , 1 /2 be our chosen neighborhood of ~o , o. The definition of equicontinuity
says that there are neighborhoods ~O , l E U and ~o , o E W such that for all n ;::: 0,
(5.47)
The implication (5.47) remains true if we replace U and W by smaller neighborhoods , so we may assume that
k
U = JP6
<,
with
J.
lI\ a i lr i
<
r,
< 1 for all i, and
i= l
with 0 < r < 1.
W = !f\o ,r
Choose a value of s satisfying
max r. < s < 1.
l~ i~ k
Then ~o , s E U, since ~o , s is not on any of the closed branches !f\a;,r;' On the other
hand ,
n (~o,s ) = ~o, sn E W = !f\~, r for sufficientl y large n,
since we just need to ensure that s"
< r . This proves that
so the assumption that is equicontinuous at
~O , l
implie s that
310
But this inclusion is clearly not true, since, for example, ~O ,l E U is fixed by ,
but ~O,I ~ A\~,1/2' Therefore is not equicontinuous at ~O ,I, so ~O,l E .JB().
A similar case-by-case argument using the explicit description (5.46) of the action of shows that every other point in pB is in the Fatou set. We leave the details
for the reader.
5.10.3.4
Further Results
We briefly describe, without proof, some deeper results on Berkovich dynamics. Our
exposition follows [27], and the author is grateful to Baker and Rumely for making
their preprint available.
Theorem 5.80. (Strong Montel Theorem on pB) Let E Cp(z) be a rational map
ofdegree at least 2, let ~ E pB, let U C pB be an open neighborhood of~, and let V
be the union of n (U) fo r all n 2: 1.
(a) if pI (Cp ) <, V contains at least 3 points, then ~ E F B().
(b) ifpB " (V U PI(C p ) ) isnonempty, then E E F B().
Proof This theorem is due to Baker and Rumely [27, Theorem 7.1] for maps
defined over a finite extension of Qp, and to Rivera-Letelier in the general case ;
0
see [27, Theorem A.I] and [381].
The proof is based on Rivera-Letelier's classification of periodic components in
the Fatou set. In order to describe this classification and its applications, we need
to define what it means for a periodic point in Berkovich space to be attracting or
repelling. For Type-I points, i.e., for points in pI (Cp ) , we use the usual definition. It
turns out that all attracting periodic points in pB are Type-I points. (See Exercise 5.45
for an explanation of why this is reasonable.) The definition of repelling periodic
points is more complicated. Repelling periodic points are all of Type I or II [376,
Proposition 5.5], where we use Rivera-Letelier's definition that a Type-Il periodic
point is repelling if its residual degree (see [376, Sect ion 5]) is at least 2.
Definition. Let E C p (z) be a rational map of degree at least 2 and let ~ E pB be
an attracting periodic point of period n. The basin ofattraction of ~ is the set
The connected component of this set is called the immediate basin ofattraction of~ .
Definition. Recall that a point P is called recurrent for if it is in the closure
of{ n(p ) : n 2: I} . The domain ofquasiperiodicityof is the interior of the set of
points in pB that are recurrent for .
We are now ready to state Rivera-Letelier's strong Montel theorem for rational
maps on the Berkovich projective line.
311
Theorem 5.81. (Rivera-Letelier) Let Uq, be the set ofpoints ~ E pB with the property
that there is a neighborhood U of~ such that
pl(C p )
<,
U n(u)
n2':1
contains at least 3 points.

(a) Every periodic connected component ofUq, is either an immediate basin ofattraction of or a connected component ofthe domain ofquasiperiodicity of .
All such components are in F B ().
(b) Every wandering component ofUq, is contained in F B ().
Proof The proof of (a) is given in [27, Theorem A.2] and the proof of (b) is in [27,
Corollary A.5].
D
As in the classical setting, Montel's theorem has a large number of important
consequences, some of which we state here.
Theorem 5.82. Let E C p (z) be a rational map ofdegree at least 2.

(a)
(b)
(c)
(d)
(e)
(f)
(g)
If there is some f
E PGL 2(Cp ) such that the conjugate f has good reduction,

then the Julia set JB () consists ofa single point.
If every conjugate f of has bad reduction, then the Julia set JB () is a
perfect set, and hence in particular it is uncountable.
Let ~ E J B(), let U E pB be an open neighborhood of~, and let V be
the union of n(u) for all n 2': 1. Then (i) V contains pB <, pI (C p ) ; (ii) V
contains JB( ); and (iii) pI (C p ) <, V consists ofat most two points.
The Julia set JB () is either connected or else it has infinitely many connected
components. Further, it has empty interior.
Let ~ E JB (). Then the backward orbit of~ is dense in JB ().
Let V C pB be a closed completely d-invariant set containing at least 3 points.
Then V ~ JB().
The Julia set JB () is exactly equal to the closure of the repelling periodic
points in pB.
Proof (a) See [27, Lemma 8.1].

(b) See [27, Corollary 8.6].
(c) See [27, Theorem 8.2].
(d) See [27, Corollary 8.3 and Corollary 8.7].
(e) See [27, Corollary 8.5].
(f) See [27, Corollary 8.8].
(g) See [27, Theorem A.7].
312
Exercises
Exercises
Section 5.1. Absolute Values and Completions
5.1. Prove that up to equivalence , the only nontrivial absolute values on Q are the usual
archimedean absolute value and the p-adic absolute values. (This result is known as Ostrowski' s theorem.)
Section 5.2. A Primer on Nonarchimedean Analysis
5.2. (a) Let >(z) be a holomorph ic function on D (a, r}. Prove that the Taylor series coefficients of >(z) are uniquely determined by >.
(b) Let >( z) be a function that is represented by a convergent Laurent series on the punctured disk D ( a, r ) -, {a}. Prove that the coefficients of its Laurent series are uniquely
determined by >.
5.3. (a) Let >(z) and 1jJ(z) be holomorphic functions on D (a,r ). Prove that the product >(z)1jJ (z) is a holomorphic function on D(a, r).
(b) Let >(z) and 1jJ(z) be merom orphic functions represented by Laurent series on D(a ,r) .
Prove that the product >(z)1jJ(z) is a meromorphic function and is represented by a
Laurent series on D (a,r ).
5.4. Let >(z) E Cp[z] be a nonconstant polynomial.
(a) Prove directly (i.e., without using Newton polygons) that > sends a closed disk D ( a, r)
to a closed disk D(>(a), s).
(b) Prove that > maps D (a,r ) bijectively to D (>(a), s) if and only if
I>(z) - cP(a) 1 = ~ I z
r
- al
for all z E D(a,r ).
5.5. This exercise outlines a prove of a p-adic inverse function theorem. Let > E C p ( z) be a
rational function of degree d 2: 1 and let P E IF'1(C p ) be a point that is not a critical value
of cP, i.e., P is not the image of a critical point of >.
(a) Prove that there is a disk D (P,r ) centered at P such that >- I (D (P,r ) consists
of d disjoint open sets
Show that the Vi are disks.

(b) Let >i : Vi ---+ D(P, r) be the restriction of > to Vi for each 1 :::; i :::; d. Prove that >i is
bijective.
(c) Possibly after reducing r , prove that the inverse maps >; I : D (?, r) ---+ Vi are given
by convergent power series. (If 00 E > -1 (P) , either change coordinates or instead use
a convergent Laurent series.)
5.6. (a) Let K be an algebraically closed field that is complete with respect to a (nonarchimedean) absolute value and let cP : IF'1(K) ---+ IP'1(K) be a rational map. Prove that >
is an open map, i.e., the image of an open set is an open set.
(b) Consider the map > : IF'1(Q3) ---+ IF'1 (Q3) defined by >( z ) = Z2 . Prove that > is not an
open map by showing that the image of the open disk D(O , 1) in IF'1 (Q3) is not open.
Thus rational maps over complete, but not algebraicall y closed, fields need not be open.
Exercises
313
5.7. Let (z) E Cp[z] be analytic on D(a, r) and assume that (a) -I- o. Prove that l/(z)
is analytic on some closed disk centered at a. More precisely, prove that l/(z) is analytic
on D(a, t) for any t < rl(a)I/IIII.
Section 5.3. Newton Polygons and the Maximum Modulus Principle

5.8. This exercise generalizes Proposition 5.16(b) by asking you to prove a general Cauchy
estimate for p-adic analytic functions. Let (z) E Cp[z] be a power series that converges
on oi, r) and let (D(a, r)) = D((a), s). Prove that
for all n
(Note that as n increases, the estimate becomes worse, since
;::>:
In!1
1.
---+
0 as n
---+
00.)
Section 5.4. The Nonarchimedean Julia and Fatou Sets

5.9. Prove the implications between uniform Lipschitz, uniform continuity, and equicontinuity stated in Section 5.4. More generally, give a definition of what it means for a family of
functions to be equi-Lipschitz and prove the following implications:
I uniformly Lipschitz I
===}
I equi-Lipschitz at every point I
I uniformly continuous I ===} I equicontinuous at every point I

5.10. This exercise develops the abstract theory of residues (on pl) in order to prove Theorem 1.14 in arbitrary characteristic. Let ( z) E K (z) and Q E K. The function ( z) can be
written as a partial Laurent series
a-N
(z ) = (Z-Q )N
a-N+l
a-l
( )
+ (Z-Q
)N-l +...+ -(--)
Z-Q + 'IjJ z
and we define the residue of at
with 'IjJ(z) E K[z - Q],
to be
Res((z)dz)
z =o:
a-l.
The residue of at 00 is defined by using the substitution z = l/w; thus

Res ((z)dz)
Z=CXl
= Res(-(w- 1)w- 2dw).

w=o
(a) Compute all of the nonzero residues of each of the following functions. In each case,
check that the sum of the residues is O.
2
Z2 2
2
(i) t(z) =
Z
:
2
(ii) 2(Z) =
4
z - z
z - z
5 z(b) If ( z) has a simple pole at Q, prove that the residue of at Q is the value of the
function (z - Q) ( z) evaluated at z = Q.
(c) More generally, for any integer n ;::>: 0, let 'ljJn (z) be the function
3 2:
1 d (
1/Jn ()
Z = n!
dz n (z - Q)n+l)
(z).
Exercises
314
Here we are taking formal derivatives in K(z). Note that in characteristic p, one must
be careful to "cancel" the n! before setting p = O. (If you have not seen this kind of
computation before, rewrite the expression for 'l/Jn (z) to make it clear that it makes sense
in any characteristic.) Suppose that (z) has a pole of exact order n 2: 1 at 0:, i.e.,
writing (z) = F(z)/G(z) as a ratio of polynomials with no common factors, we have
n = ordz=a (G(z)). Prove that
Res((z) dz) = 'l/Jn-l(O:).
z=o:
(d) Prove that
{p E jp'l(K): Res((z)dz)
-# O}
P
is a finite set.
(e) Assume that K is algebraically closed and prove the Cauchy residue formula
~s((z)dz)=O.
PElI'l(K)
(This is a hard exercise. Try it first under the assumption that (z) has simple poles
and ( 00) -# 00, which suffices for (f).)
(f) Use (e) to prove that Theorem 1.14 is true in arbitrary characteristic, and use it to deduce
that Corollary 5.19 and Proposition 5.20(c) are true. Hence Fatou sets are nonempty for
all algebraically closed nonarchimedean fields.
5.11. (a) Let p 2: 3 be a prime and let eE Cp satisfy lei> 1. Prove that the function (z) =
z2 + c has exactly one nonrepelling periodic point, namely the totally ramified fixed
point at infinity.
(b) * Suppose that (z) E Cp(z) has an indifferent periodic point, i.e., a periodic point P
whose multiplier satisfies lAp() I = 1. Prove that (z) has infinitely many indifferent
periodic points. (This result is due to Rivera-Letelier [372].)
(c)
** Do there exist rational maps (z) E Cp(z) that have at least two, but only finitely
many, nonrepelling periodic points? (From (b), the nonrepelling periodic points would
have to be attracting.)
Section 5.5. The Dynamics of (Z2 - z)/p

5.12. Let S be a finite set, let SM be the space of sequences on S with the symbolic dynamics
metric, and let L : SM ----> SM be the left shift map. (See Section 5.5.1.)
(a) Let 0:, f3 E SM and suppose that limn~oo p( Ln(o:),L n (f3 )) = O. Prove that there exists
an m such that Lm(o:) = L m (f3 ).
(b) Prove that the periodic points of L are dense in SM.
(c) Prove that there is an element 'Y E SM with the property that the orbit
Ch("() = {C("() : n E N}
is dense in SM. One says that L is topologically transitive on SM. (Hint. Create 'Y by first
listing all possible blocks oflength I, then all possible blocks oflength 2, and so on.)
(d) Let 0: E SM. Prove that the backward orbit Vi (0:)
= Un 2:0 L-n(o:) is dense in SM.
Exercises
315
(e) More precisely, prove that the backward orbit of any

following sense: For all (3 E SM and all k 2': 0,
0:
E SM is equidistributed in the
1
(#S)k
(In fact, prove that the limit stabilizes as soon as n. > k.)
5.13. Let (z) = (Z2 - z)/p with p 2': 3. Use Exercise 5.12 and the identification provided
by Proposition 5.24 to prove that the backward orbit of a point a E :J() is equidistributed in
the following sense: For all b E :J() and all radii r = p-\
5.14. Let p 2': 3 and for any c E C p , let c(z) = (Z2 - cz)/p.
(a) If c E Z;, prove that the statement of Corollary 5.25 is true for c.
(b) More generally, prove an analogous statement if c is a unit in a finite extension of Zp.
(c) What happens if c E pZp?
5.15. Let d
2':
2 be an integer, let p
(z)
> d be a prime, and consider the dynamics of the map
= _z(,---z_-_l,--,)(_z_----'2)'---._.---,-(z_-_d+----,-1)
p
over C p . Prove that :J () can be described using symbolic dynamics and use this identification
to prove thefollowing generalization of Corollary 5.25: :J() c IQip, the set Per n ( ) consists
ofthe fixed point at CXJ and dn repelling points, the Julia set :J() is the closure ofthe repelling
periodic points, and is topologically transitive on :J ().
Section 5.6. A Nonarchimedean Version of Montel's Theorem
5.16. Complete the proof of Theorem 5.26 (see page 265) by writing down the details in the
case that 0: = O.
5.17. Let be a collection of power series that converge on D( a, r), and suppose that there
is a point 0: E K such that 0: ~ ( D(a, r)) for all E <1>. We proved in Theorem 5.26 that
there is a constant C = C ( 0:, a, r) such that
p((z), (w)) S Cp(z, w)
for all E and all z, wE D(a, r).
Find an explicit value for the Lipschitz constant C in terms of 0:, a, and r,
5.18. Let be a collection of rational, or more generally meromorphic, functions
D(a,r)
-->
jp'l(K),
and suppose that 0:, (3 E jp'l (K) do notlie in (D(a, r)) for all E <1>. Our proofofthe nonarchimedean Montel theorem (Theorem 5.27) shows that there is a constant C = C( 0:, (3, a, r)
such that
p((z), (w)) S Cp(z, w)
for all E and all z, wE D(a, r).
Find an explicit value of C in terms of 0:, (3, a, and r.
Exercises
316
Section 5.7. Periodic Points and the Julia Set
5.19. As in the statement of Lemma 5.34, let A, B C C p be bounded sets for which there are
constants 0 < 8 < 1 ::; ~ such that
sup lal ::;~,
sup 1)31 ::;~,
"EA
(3EB
For each (a,)3) E A x B, let L",(3(z)

showed that
p(L",(3(z),L"',(3I(Z')) <
~24
and
()3 - a)z
inf
"EA, (3EB
p(a, J3)
= 8 > O.
+ a. During the proof of Lemma 5.34 we
max{p(a,a'),p()3,)3'),p(z,z/)}
for all a, a/ E A, all)3,)3' E B, and all z, z' E ]pI (Cp ) .

Improve this result by reducing the exponent of ~ and/or 8 in the constant. Try to find the
best-possible exponents.
5.20. Let A, B, C C ]pI (Cp ) be three sets that are at a positive distance from each other, i.e.,
there is a constant 8 > 0 such that
inf
"EA,(3EB
p(a,)3) 2: 8,
inf
p(a, 'Y) 2: 8,
"EA,-YEC
inf
(3EB,-yEC
p()3, 'Y) 2: 8.
For any triple of points (a,)3, 'Y) E A x B x C, define
to be the unique linear fractional transformation satisfying
Prove that the map
is Lipschitz and find an explicit Lipschitz constant depending only on 8. (This exercise generalizes Lemma 5.34, which is the case that C = {oo} is the single point at infinity.)
5.21. This exercise can be used in place of Lemma 5.34 to prove Montel's theorem with
moving targets (Theorem 5.36).
(a) Let P, Q E ]pI (K) be distinct points. Prove that there is a linear fractional transformation
11.= Ap,Q E PGL 2 (K ) satisfying
11.(0)
= P,
11.(00) = Q,
IRes(A) I = p(P, Q).
(Hint. If A = (~S) is normalized to satisfy max{lal, Ibl, lei, Idl} = 1, then Exercise 2.8 says that the resultant of A is equal to the determinant ad - be.)
(b) Let A, B C C p be bounded sets that are at a positive distance from each other. Prove
that the map
(P,Q,R)
is Lipschitz.
f-----+
Ap,Q(R),
317
Exercises
Section 5.8. Nonarchimedean Wandering Domains
5.22. Let X be a topological space and let D be a collection of open subsets of X that form
a base for the toplogy of X. We use D to define disk components as described on page 277.
(Note that the sets in D need not be actual disks, since the space X is merely assumed to be a
topological space.)
(a) Let U C X be an open set, let Pi; P 2 E U be points, and let V l and V2 be the
disk components of U containing Hand P2, respectively. Prove that either Vl = V2
or Vl n V2 = 0.
(b) Prove that U is a disjoint union of disk components.
(c) Prove that the disk components of U are open.
5.23. Let X be a topological space and let D be a collection of open subsets (disks) of X that
form a base for the topology of X. An open set U C X is defined to be disk-connected
(relative to D) if for every pair of points P, Q E U there is a finite sequence of disks
D, D2, ... , D n C U such that
D, n Di+l
-I 0
for aliI::; i
< n.
(a) Let U, and U2 be disk-connected subsets of X. Prove that either
(b) Let U C X be an open set and let P E U. Prove that there is a maximal disk-connected
open subset of U containing P.
(c) Prove that the maximal disk-connected open subset of U containing P described in (b)
is in fact the disk component of U containing P. This gives an alternative definition of
disk component.
5.24. Prove that the standard closed disks with rational radius (cf. Remark 5.7) in jp'l(iCp ) are
exactly the images via elements ofPGL 2 (iC p ) ofthe unit disk .0(0,1). Similarly, the standard
open disks of rational radius are the images of D(O, 1).
5.25. Let K/Qp be a finite extension and let (z) E K(z) be a rational function of degree
d ~ 2 with 00 E F( ). Prove that is hyperbolic, i.e., satisfies the conditions of Theorem 5.46, if and only if has the following property:
For every finite extension L/ K there are a set U C L containing .:J( ) n L, positive
constants b > a > 0, and a continuous function a : U ----> [a, b] such that
for all Q E U.
This shows that p-adic hyperbolicity and classical (complex) hyperbolicity can both be characterized as saying that a map is everywhere expanding on the Julia set with respect to some
reasonable metric. For further information about hyperbolic maps in the classical setting; see,
for example [95] or [302].
5.26. * Let : jp'l ----> jp'l be a rational map of degree at least 2 and let P E jp'l (iC p ) be a
recurrent critical point that is in the Fatou set F( ). Prove that P is a periodic point.
318
Exercises
Section 5.9. Green Functions and Local Heights

5.27. Let K be a field with a nonarchimedean absolute value v, let : pI -+ pI be a
morphism of degree d 2:: 2, let 1> = (F, G) : A? -+ A? be a lift of satisfying 111> II v = 1,
and let Y4> be the associated Green function. If Res(F, G) v =I- 1, or equivalently if has
bad reduction at , prove that there exists a point (x, y) E A; (K) such that
This is the converse to Proposition 5.58(c).

5.28. Let K be a field with an absolute value v, let : pI
gree d 2:: 2, and let 1> : A 2 -+ A2 be a lift of .
(a) Prove that the map
g(x, y)
= logll1>(x, y) Ilv -
-+
pI be a morphism of de-
dlogll (x, y) Ilv
induces a well-defined function 9 : pI (K) -+ R

(b) Prove that 9 is Lipschitz, i.e., prove that there is a constant C
= C( ) such that
Ig(p)-g(Q)1 ~Cpv(P,Q) forallP,QEpl(K).

(c) If v is nonarchimedean, prove that 9 is locally constant. More precisely, if the lift 1> is
chosen to satisfy 111>llv = 1, prove that
g(P)
= g(Q)
forall P,Q E pl(K) with Pv(P,Q)
(d) Define a modified Green function
< IRes (1)) Iv'
94> by
Prove that 94> is a Holder continuous function on pI (K). In other words, prove that Q4>
is well-defined on pI (K) and that there are positive constants C and <5 such that
for all P, Q E pl(K).
(Hint. Show that Q4> (P) is given by the telescoping series 'L':=o d- n9 (n (P) ). For
small n, say n < N, estimate the difference I9 (n(P)) - 9 (n (Q)) I using (b) and
the fact that is Lipschitz, and for large n use an elementary bound. Then make an
appropriate choice for N.)
5.29. The definition of the canonical height h(P) as the limit of d:" h( n(p)) is not practical for numerical calculations, even for P E pI (Q), because one would need to compute
the exact value of points n (P) whose coordinates have O( dn) digits. A better method to
compute h(P) is as the sum of the Green functions Y4>,v(P) as described in Theorem 5.59.
Let : pI -+ pI be a morphism of degree d 2:: 2 and fix a lift 1> of . If v E MK
is a nonarchimedean absolute value such that 111>llv = 1 and IRes(1))Iv = 1, then Proposition 5.58(c) says that
Y4>,v(x,y) = logll(x,y)llv.
This covers all but finitely many absolute values, so it remains to devise an efficient method
to compute Y4>,v (x, y) in the remaining cases.
Exercises
319
Let P = [x, y] E jp'1(K) and use the algorithm described in Figure 5.6 to define a
sequence of triples
with iu, Xi, Yi E K.
This exercise asks you to prove that N iterations ofthe algorithm gives the value of 9<1>, v (x, y)
to within O(d- N ) .
(a) Prove that IUilv -:; 1 for all i 2: O. Hence the computation of quantities such as F(ui, 1)
in the algorithm do not involve excessively large numbers.
(b) Prove that for all i 2: 1 we have
(c) As in Exercise 5.28, we let
g(X, Y)
= logll(X,Y)llv
- dlogll(X, Y)t
The homogeneity of shows that 9 is a well-defined function on jp'1(K), and Proposition 5.57 says that 9 is bounded. Prove that
9<1>(x,y)
= logll(x,Y)llv +
:f= ~ig(i-1(X,y)).
i=l
(d) Prove that

N
9<1>(x,y)
= logll(x,Y)llv +
L ~i
logmax{lxilv, IYilv} + O(d-
(5.48)
),
i=l
where the big-O constant depends only on . Deduce that the algorithm described in
Figure 5.6 computes 9<1> (x, y) to within O(d- N ) .
(e) Find an explicit value for the big-O constant in (5.48) in terms ofthe quantities d, 11llv,
and Res( <I
Iv'
5.30. Implement the algorithm described in Figure 5.6 to compute the Green function 9,oo
for the archimedean absolute value on jp'l (R).
(a) Let (z) = z + l/z and compute 9,oo(x, y) to (say) 8 decimal places for each of the
points (1, 1), (2, 1), and (5, 2). Check your program by verifying that your values satisfy
Compute the canonical height h(I) and compare it with the value that you obtained in
Exercise 3.20. (Hint. The map has good reduction at all primes.)
(b) Let (z) = (3z 2 - 1)/(z2 - 1) and note that 2(1) = 3 and 3(1) =
Compute 9,oo(x, y) for each of the points (1,1), (3,1), and (13,4). Why does 9,oo(3, 1)
not equal 49,oo(l, I)? What is the difference between these two values?
5.31. Let E Q(z) be a rational map of degree at least 2 and let P E jp'l (Q). Write an efficient computer program to compute h(P) as a sum of Green functions. (For primes p not dividing Res( <I, use Proposition 5.58 to compute 9,p(x, y). For primes dividing Res ( <I and
for the archimedean place, use the Green function algorithm in Figure 5.6.) Compute h (a)
to 8 decimal places for each of the following maps and points.
(a) (z) = Z2 - 1, a = ~.
320
Exercises
INITIALIZATION
Write ~ as ~ = (F,G) with F,G E K[X, Y]
Set N = Desired number of iterations
Set Xo = x and Yo = Y and Green = 0
MAIN LOOP: i = 0, 1,2, ... ,N
Increment Green By d-qogmax{lxilv, IYilv}
I f IXi Iv ::; IYi Iv
Set Ui = X;/Yi
Compute Xi+l = F(Ui, 1) and Yi+! = G(Ui, 1)
Else IYilv < IXilv
Set Ui = Y;/Xi
Compute xi+l = F(l, Ui) and Yi+l = G(l, Ui)
END MAIN LOOP
Return the Value Green
Figure 5.6: An algorithm to compute the Green function Q.p(x, y).

(b) (z) = Z2 + 1, a = ~.
(c) (z) = 3z 2 - 4, a = 1.
(d) (z)
(e) (z)
= z + -,
z
3z
= z2 _
l'
= 1.
a
= 1 and a = 3. Check that h(3) ~ 4h(1).
5.32. Let K be an algebraically closed field with an absolute value v, let : pI ~ pI

be a morphism of degree d :::: 2, fix a lift of , and for each homogeneous polynomial E E K[x, y], let ).,,E be the associated local canonical height function. (See Theorem 5.60.)
(a) If E I , E 2 E K[x, y] are homogeneous polynomials, prove that
).,,EIE2(P) =
).,,EI
(P)
+ ).,,E2(P)
at all points such that EI (P) =I 0 and E2 (P) =I O.

(b) Let D = ni (QI) + n2(Q2) + ... + nr(Qr) be a divisor on pI, i.e., D is a formal sum
of points with nl, ... ,n r E lZ. Use (a) to associate to D a local height function
(c) Prove that there is a rational function
Iv
E K(z) with the property that
at all points where ).,,v ((P)) and )",v(P) are defined.

(d) Let g(z) E K(z) be a rational function and let D g be the divisorofg, which by definition
is the formal sum
Exercises
321
o,
ordQ(g)(Q).
QElI'l(K)
(Here ordQ (g) is the order of vanishing of 9 at the point Q; see Example 2.2.) Prove that
the function
P f-----+ >".D g (P) + loglg(p) Iv
extends to a bounded continuous function on all of jp>1 (K).
Section 5.10. Berkovich Space and Dynamics

5.33. Let (z) E Cp[z] be a polynomial and let a E D(O, 1). Write (z) as a polynomial
in z - a, say
Prove that
(D(a,r))
D((a),s),
where the radius s of the image disk is given by

s=r.max{lcII, IC2Ir, IC31r2, ... , ICdl r d}.
(Hint. We already proved that (D(a, r)) is a disk; see Proposition 5.16. Now use the maximum modulus principle to find the radius.)
5.34. This exercise develops some elementary properties of bounded seminorms as defined
on page 296.
(a) Let I . Ibe a nonconstant seminorm. Prove that I I = 0 and 111 = 1.
(b) Suppose that I . I is an II . Ilwbounded seminorm. Let f(z) = Cbe a constant polynomial. Prove that if I = [c] is the usual absolute value on Cpo
(c) Suppose that we replace property (3) of bounded seminorm with the usual triangle inequality If + gl < If I + Igl Prove that I . I satisfies (3).
(d) Suppose that we replace property (4) of bounded seminorm with the weaker statement
that there is a constant K such that If I ::; K II f II R for all f E Cp [z]. Prove that (4) is true,
i.e., we can take K = 1.
5.35. Prove that the seminorms associated to points of TypesII, III, and IV are actually norms.
(Hint. For Type IV,use the fact that the limiting radius is positive. See Remark 5.65.)
5.36. Let d 2 2. Prove that the map ( z) = zd has no Type-IVfixed points in AB. Does (z)
have any Type-IV periodic or preperiodic points?
5.37. Let D(a, r) be a disk with 0 ~ D(a, r) and let f(z) =
f(D(a,r))
= {Z-I: Iz-al
II z. Prove that
::;r} =D(a- I,rllaI 2 ) .
5.38. Let
d
(z) =
Lcd
Cp[z]
be a polynomial with ICil ::; 1 and ICdl = 1.
i=O
The polynomial induces a map : DB --+ DB on the Berkovich disk.

(a) Prove that the Gauss point ~O,l is fixed by .
(5.49)
322
Exercises
(b) Let a E Cp be a fixed point of c/> : Cp --+ Cpo Prove that ~a,O is fixed by c/>.
(c) Let a E Cp be a neutral fixed point, i.e., Ic/>'(a) = 1, and let

~ r ~ 1. Prove
that ~a,r is fixed by c/>. (In other words, if a is a neutral fixed point, then the entire line
segment La,o C DB is fixed by c/>.)
(d) Prove that every Berkovich fixed point of c/> of Type I, II, or III is one of the three types
listed in (a), (b), (c). (Hint. Use the explicit description of c/>(~a,r) given in Exercise 5.33.)
(e) Can c/> have fixed points of Type IV?
5.39. Let c/>(z) = L: CiZi E Cp[z] be a polynomial as in (5.49). Prove directly that the Julia
set of c/> is .JB(c/ = {6,0}. (This is a special case of the result described in Example 5.79,
since the conditions on c/> imply that it has good reduction.)
5.40. For any nested sequence of closed disks
regardless of whether the intersection is empty, we define a seminorm in the usual way,
D(ai, r.) is nonempty and a is a point in the

(a) Let r = lim rio If the intersection
intersection, prove that Ifla,r = Ifla,r. Thus every point in DB, regardless of whether it
is of Type I, II, III, or IV, can be represented by a nested sequence of closed disks.
(b) Two nested sequences of closed disks
D(O,l) ::::J D(a1, ri ) ::::J D(a2, r2) ::::J ...

D(O,l)::::J D(b1,Sl)::::J D(b2,S2)::::J""
are defined to be equivalent if the following two conditions are true:

For every i
For every i
21 thereexistsaj 21 suchthatD(bj,sj)
21 there exists aj 2 1 such that D(aj,rj)
C
C
D(ai,ri)'
D(bi,Si)'
Prove that two sequences of disks are equivalent if and only if their seminorms I . la,r
and I . Ib,. are equal.
5.41. Let ~a,r E DB be a Type-IV point. We defined the "line segment" running from ~a,r to
the Gauss point ~0,1 to be the set
00
La ,r
= {~a,r} U U{~ai,t
r,
~ t ~ ri-d
i=l
(Note that ro
= 1 by definition.) Let r = limi--->oo rio Prove that the map

h: [r,l]
--->
La,r,
h(t) =
{~a,r
~ai,t
~ft =
r,
if r, ~ t ~ ri-1,
is a homeomorphism, where [r,l] C R has the usual topology and DB has the Gel'fond
topology. Thus La,r is indeed a line segment.
323
Exercises
5.42. There is a natural metric on the Berkovich disk DB coming from the tree structure. We
first identify the interval [0,1] with each of the line segments
La,o = {~a,r :
.,:;
r .,:;
-B
I} ED,
so each La,o has length 1. We then define the distance between two points ~a,r and ~b,s
to be the length of the shortest path in the tree connecting them. Denote this distance
by 1I;(~a,r, ~b,s). (For Type-IV points, take the limit.)
(a) If ~a,r and ~b,s both lie on some line segment Lc,o, prove that 1I;(~a,r, ~b,s) = Ir - 81 is
simply the distance between them on that line segment.
(b) In general, prove that
1I;(~a,r,~b,s)
= max{lr - 81, 21b - al- r - 8}.
(Hint. How far above ~a,r and ~b,s do the line segments La,r and Lb,s merge? Go up one
line segment and then down the other.)
(c) Prove that the set
{
~ E DB : II;(~, ~o,I) < ~}
contains no Type-I points. Prove that every neighborhood of ~O,l in the Gel'fond topology contains infinitely many Type-I points. Deduce that the path metric II; does not define
the Gel'fond topology, and indeed that II; is not even continuous in the Gel'fond topology!
In Baker and Rumely's terminology, the set DB with the metric II; is called the small mode/.
There is also a big model, in which the edges are reparameterized so that if bt, r) C D(b, 8),
then the distance from ~a,r to ~b,s is !log(r/ 8) In particular, points of Type I are at infinite
distance from each other and from all points of Types II, III, and IV. It is the big model that is
best adapted for doing potential theory on Berkovich space; see [26] for details.
I.
5.43. For points of Type I, II, and III in DB, the Hsia kernel is defined to be
(For points of Type IV, one takes the appropriate limit.) The Hsia kernel is used in studying
potential theory on DB; see [26,209].
(a) Prove that 8(~a,r, ~a,r) = r.
(b) Prove that 8(~a,o, ~b,O) = la - bl. Thus 8 extends the usual norm on !Cp , where we
identify the unit disk in !Cp with the Type-I points in DB.
(c) Let ~c,t be the point where the line segments La,r and Lb,s first meet. Prove that
8(~a,r, ~b,s)
= t.
(d) Prove that
8(~,C).,:; max{8(~,e'),8(e',(')}
5.44. There are natural inclusions
-
-B
D(O, 1) '---t D ,
In each case, prove that the restriction of the Gel'fond topology on the Berkovich space
yields the usual metric topology on the smaller space, where we use the usual p-adic metric on D(O, 1) and A 1 (!C p ) and the p-adic chordal metric on jp'l (!C p ) .
324
Exercises
5.45. Let be a rational map of degree at least 2, let P E
jp'B, and
let U C
jp'B be
a neighbor-
hood of P with the property that
(U)
and
n(U) = {P}.
n;:>O
Prove that P is a Type-I point and that, considered as a point in jp'l(Cp ) , the point P is an
attracting fixed point for .
Chapter 6
Dynamics Associated to
Algebraic Groups
In the forest of untamed rational maps live a select few whose additional structure
allows them to be more easily domesticated. They are the power maps, Chebyshev
polynom ials, and Lattes maps, whose complex dynamics were briefly discussed in
Section 1.6. The underlying structure that they possess comes from an algebrai c
group , namel y the multiplicative group for the power maps and Chebyshev polynomial s and elliptic curves for the Lattes maps. Althou gh such maps are special in
many ways, they yet provide important examples , testing grounds, and boundary
condition s for general results in dynamic s. In this chapter we investigate some of
the algebraic and arithmetic propertie s of the rational maps associated to algebraic
groups.
6.1
Power Maps and the Multiplicative Group
The simplest rational maps are the power maps given by monic monomials,
where the integer d may be positive or negative. These maps obviously commute
with one another under compositi on,
A more intrinsic description of the maps associated to the monic monomial s M d is

that they are endomorphisms of the multiplicati ve group ,
More preci sely, there is an isomorphi sm of rings,

325
326
The fact that the M d are endomorphisms of the multiplicative group G m makes it
quite easy to describe their preperiodic points.
Proposition 6.1. Let d E Z with

map Md(Z) = zd. Then
PrePer(Md) = (Gm)tors
Idl 2:
2 and let M d
= {( E Gm : C
pI
-+
1for some n 2:
p I be the power
1} =
U J.Ln ,
n~ 1
where recall that J.Ln denotes the group ofnIh roots ofunity.
Proof We proved this long ago for any abelian group G and homomorphism z t--+ zd
with d 2: 2; see Proposition 0.3. The prooffor d :::;; - 2 is similar and left to the
reader.
0
The iterates of Md are given by
so the periodic points of M d are also easy to characterize,
Proposition 6.2. Let Idl 2: 2 and let ( E Per~* (Md ) be a point of exact period n ;::: 2. Then the multiplier of Md at ( is given by
Proof Using M'd(z) = zd" , we can directly compute
In particular, if we are working over C, then every periodic point of Md in C* is

repelling. On the other hand, over a p-adic field with p f d, the multiplier d" is a unit,
so the periodic points are indifferent. And if p I d, then all of the periodic points are
attracting. Of course, there are also the two superattracting fixed points 0 and 00.
It is not hard to find all rational maps that commute with the power maps. In
particular, we can compute the automorphism group Aut (Md)'
Proposition 6.3. Let K be a fi eld and let .ft!Id(z ) = zd be the d lh -power map for
some Idl 2: 2. Further, if K has finit e characteristic p, assume that p f d.
(a) The set ofrational maps that commute with Md(z) is given by
{(z ) E K (z ) : 0 Md = Md 0 } = {cz e : c E J.Ld-1 and e E
Z}.
6.1. PowerMaps and the Multiplicative Group
327
(b) The automorphism group ofM d is
Aut (Md) = {az : a E ltd-I} U {bz- I : bE Itd-d ,

where we recall that the automorphism group Aut () ofany rational map is
the set of f E PGL 2 (K ) satisfying f = . In particular, Aut (Md) is a dihedral group oforder 2n , where n is the number of (d - 1)51roots ofunity in K*.
Proof (a) It is clear by a direct computation that the indicated maps cz" commute
with Md(z ), so it suffices to prove that they are the only commuting maps. Suppose
that (z) E K (z ) commutes with Md(Z) , so
(zd) = (z) d.
Let ( E K be a primitive cfh root of unity. (This is where we use the assumption
that p f d if K has positive characteristic p.) Then ((z)d = (z)d, so
for some cfh root of unity ( k .
( (z) = (k ( z)
Consider the function 'l/J (z) = z- k(z). It satisfies
'l/J((z)
= ((z)-k((z) = (( z)- k(k (z) = z-k(z) = 'l/J(z) .
Hence 'l/J is a function of zd. In other words, there is a rational function 'l/JI(z) E K (z)
such that 'l/J(z) = 'l/JI (zd), and thus (z) = zk'l/JI (zd).
n
More generally, for any n 2: 1 we have 0 j\;f :l = M:l 0 , so ( zd ) =
n
(z) d . The above argument then yields an integer 0 :S kn < dn and a rational
function 'l/Jn(z) E K (z) such that
n
(z) = zkn'l/Jn(Zd ).
We write 'l/Jn(z) = zj An(Z) for some integer j and some An(Z) E K (z) satisfying An(O ) =f. 0 and An(O ) =f. 00. Then
deg( (z))
= deg(zkn'l/Jn(zd
))
n
n
n
= deg(zkn+j d An(zd )) ;::: deg(An( Zd
) )
= d" deg(An(z)).
Hence deg(A n) = 0 for sufficiently large n, which proves that (z) has the
form (z) = cz" for some c E K* and some e E Z. With this information in hand,
it remains only to observe that (zd ) = (z)d if and only if c = cd, i.e., if and only
if either c = 0 or c E ltd- I .
(b) By definition, Aut( ) is the set of rational maps of degree 1 that commute
with . It follows from (a) that Aut ( ) is the set of all CZ I with c E ltd-I ' In
particular, if we let fa(z) = az and g(z ) = Z- I , then
Aut (lVfd ) = {fa : a E Itd-d U {fa 0 9 : a E
ltd-I} '
and the dihedral nature of the group law is evident from the identities
f a 0 f b = f ab ,
fa
9= 9
f a-I.
328
Example 6.4. We can use the map Md(z) = zd to illustrate the construction of
dynamical units in Section 3.11. First we use Theorem 3.66, which says that if 0: has
exact order n and gcd(i - j , n ) = 1, then
0:
di
- 0:
dj
0:
Taking j
.
IS
- 0:
a umt.
= 0 and gcd( i , n) = 1, this implies that
:d-l
di_ l
~1
is a unit for all primitive (dn - 1)st roots of unity
0:.
These are examples of classical cyclotomic units.

Similarly, let m and n be positive integers with m n and n m . Then Theorem 3.68 says that if 0: is a primitive (dm - L)" root of unity and if (3 is a primitive (dn - 1)st root of unity, then 0: - (3 is a unit. These are again classical examples
of cyclotomic units.
Example 6.5. Recall that a nontrivial twist of a rational map ( z) E K (z ) is a

rational map 'ljJ(z ) E K (z) such that 'ljJ(z ) is PGL 2 (K )-conjugate to ( z), but 'ljJ(z )
is not PGL 2 (K )-conjugate to (z ). See Section 4.9 for the general theory. Since
the power maps Md(z ) = zd have a large automorphism group, they tend to have
many twists. For example , the twists associated to the subgroup
of Aut ( ) are given by (cf. Example 4.81)
K *j (K *)d- l
---+
{cz : c E J.Ld-l}
Twist (Md),
There are also some rather complicated-looking twists associated to the subgroup
{ Z , Z -l} C
Aut (Md ) .
Each bE K *j (K *)2 leads to a twist
O<~/2 (2~)b'22k /
Ck~ 1)b.z2k+
09 <'f-I)/2
(6.1)
See Example 4.82 for the derivation of this formula.
6.2 Chebyshev Polynomials

The multiplicative group G m has a nontrivial automorphism given by inversion
z 1---+ z- l , and the quotient of G m by this automorphism is isomorphic to the affine
line A 1 via the map
Z ~Z +Z - l.
The inversion automorphism commutes with the ~h_power map Md(z) = zd, so
when we take the quotient of G m , we find that Md(Z) descends to give a map on
the quotient space A I . This leads to the following definition (cf. Section 1.6.2).
6.2. Chebyshev Polynomials
329
Definition. The rfh Chebyshev polynomial is the polynomial Td(W) E Z [w] satisfying the identity
in the field Q(z).
(6.2)
Of course, we need to show that that Td exists. In the next proposition we prove
the existence of the Chebyshev polynomials and describe some of their algebraic
properties.
Proposition 6.6. For each integer d ;::: 0 there exists a unique polynomial T d(w) E
Q [w ]satisfying
in thejield Q(z ).
(6.3)
We call T d the dth Chebyshev polynomial.

(a) Td(W) is a monicpolynomial ofdegree d in Z[w].
(b) Td(Te(w)) = Tde(w)forall d. e > O.
(c) Td(- w ) = (-l)dTd(w ). Thus Td is an oddfunction ifd is odd and it is an even
function ifd is even.
(d) The Chebyshev polynomials satisfy the recurrence relation
(e) For all d ;::: 1, the dth Chebyshev polynomial is given by the explicitformula
'~
"
T d ( w) =
( -1 )
d (d -k k)wd-2k.
kd _ k
(6.5)
0'5,k'5,d j2
Proof Suppose first that there do exist polynomials Td(w) satisfying (6.3). Then
To(z + Z- I) = ZO+ z - o = 2,
T 1 (z + Z- I ) = Z + Z- I,
T 2(z
+ Z- I) = z2 + z-2 = (z + Z- I )2 -
2,
so we see that To(w) = 2, T 1 (w) = w, and T2(w) = w 2 - 2 are uniquely determined

monic polynomials with integer coefficients. Still assuming that the set of Chebyshev
polynomials exists, we next observe that they satisfy
(z
+ Z- I )T d+1 (z + Z- I) -
Td(Z + z - l )
= (z + z - l )(zd+l + z - d- l)
(zd + z -d)
+ z - d- 2
T d +2 ( Z + z - I ).
= z d+l
=
Putting z + Z- 1 = w, this mean s that T d+2(W) = wTd+l(w) - Td(W). Hence if the

Chebyshev polynomials exist, they are unique, because they are completely determined by the recurrence
330
To(w) =2,
T1(w)=w,
ford~O.
Td+2(W)=wTd+l(W)-Td(W)
and
(6.6)
And from this recurrence we see immediately by induction that Td(w) is a monic
polynomial of degree d in Z[w].
We now tum this argument around and use the recurrence (6.6) to define a sequence of polynomials Td(w). We claim that Td(w) then satisfies (6.3). This is clear
for To and T 1, so we assume that (6.3) is true for To,T 1, ... ,Td+l and use (6.6)
with w = z + z-l to compute
Td+ 2(Z + Z-l) = (z + Z-l )Td+l (z + z-l) - Td(Z + Z-l)

= (z + Z-l)(zd+l + z-d-l) _ (zd + z-d) = zd+2 + z-d-2.
Hence (6.3) is true for Td+2, so by induction we have
for all d
O.
This proves that the recurrence defines polynomials satisfying (6.3), so Chebyshev
polynomials of every degree exist. We have now shown that Chebyshev polynomials
exist, are unique, and have the properties in (a) and (d).
Next we make repeated use of (6.3) to compute
Td{Te(z+Z-l))
Td(ze+Z-e)
(ze)d+(ze)-d
zde+z-de
Tde(z+Z-l).
Hence Td{Te(w)) = Tde(W), which proves (b).

To prove (c), we replace z by -z in (6.3) to obtain
Td(-(Z+Z-l)) =Td( -z+(-Z)-l)

= (_z)d
+ (_z)-d = (_l)d(zd + z-d) = (-l)dTd(z + Z-l).
Therefore Td(-w) = (-l)dTd(w), which is (c).

Next we prove the explicit summation formula (6.5) given in (e). Substituting d = 1 and d = 2 into the formula yields the correct values T 1 ( w) = wand
T2(w) = w2 - 2. We now assume that the formula is correct up to Td+ 1 and use the
recurrence (6.4) to check it for d + 2. Thus
Td+2(W)
wTd+l(w) - Td(w)
=w
""'
r:
O~k~(d+l)/2
d+l-k
(d+l-k) wd+l- 2k
k
d_(d k
'r:
(_l)k d+l
""' (_l)k_
s:
d-k
O~k~d/2
""'
(_l)k d+l
s:
d+l-k
O~k~(d+l)/2
""'
L...i
(_l)k-l
1~k~d/2+l
(d+l-k)wd+2-2k
k
d
(d-k+l)wd-2k+2
d-k+l
k-l
T2 = W 2
T3 = w
T4 = w
T5 = w 5
331
3w
4w 2 + 2
5w3 + 5w
+ 9w2 - 2
T7 = w 7 - 7w 5 + l4w 3 - 7w
T s = w S - 8w6 + 20w4 - l6w 2 + 2
T 9 = w 9 - 9w 7 + 27w5 - 30w3 + 9w
T lO = w lO - lOws + 35w6 - 50w4 + 25w2 T ll = Wll - llw 9 + 44w 7 - 77w 5 + 55w3 T6 = w 6
T 12 =
6w 4
12
l2w
10
+ 54w
112w
+ l05w
llw
4
36w2 + 2
Table 6.1: The first few Chebyshev polynomials.
~
~
(d + l) (d + 1 - k) + d (d + 1 - k)
k
(_l)k
k- 1
d+l-k
O:s;k:S;d/2+l
wd+2-2k
'
where we use the standard convention that (;:,) = 0 if n < m or if m < O. A simple
algebraic calculation that we leave for the reader (Exercise 6.4) shows that
(d + l)
(d+ k1 - k) + d (d +k _1 -1 k)
d+l-k
d + 2 (d + 2 - k) .
d+2-k
k
Hence
() =
d+2 W
~
~
O:s;k:S;(d+2)/2
which completes the proof of (e).
(_l)k
+2
d+2_ k
(d + k2 - k) w d+2-2k ,
o
Remark 6.7. As mentioned in Section 1.6.2, the classical normalization for the
Chebyshev polynomials is
or equivalently,
332
Td ( cos B) =
cos(dB)
for all B E R
The two normalizations are related by the simple formula i; (w) = ~ Td(2w ). We
have chosen the alternative normalizationbecause it has better arithmeticproperties.
In particular, the map Td : pI -> pI has good reduction at all primes. The classical
normalization i; has bad reduction at 2.
As with the power maps, it is not difficult to describe the periodic points of the
Chebyshev polynomials and to compute their multipliers. We state the result and
leave the computationas an exercise.
Proposition 6.8. Let T d(w) be the dth Chebyshev polynomial for some d 2: 2.
(a) Thefixedpoints ofTd in AI(C) are
27rj )
d+ 1} {
( 27rj )
{ 2 cos ( d + 1 : 0 S; j S; -2- U 2 cos d _ 1 : 0 < j
d - 1} .
< -2-
(b) The multipliers ofTd at itsfixed points are given by
(2 (}:jl)) =-d
AT (2
(d2:
d
ATd
cos
cos
1) )
d+l
forO
< j < -2-'
forO
< j < -2-'
d-l
ATd(2) = d2 .
(Note that -2 E Fix(Td) if and only if d is odd.)
In general, the periodic points and multipliers ofTd can be derived from the above
formulas using T d = Tdn andPern(Td) = Fix(Td).
Proof See Exercise 6.5.
We now prove an analogue of Proposition6.3 for Chebyshevpolynomials.
Theorem 6.9. Let K be afield and let Td(W) be the dth Chebyshev polynomial for
some d 2: 2. Further, if K has finite characteristic p, assume that p f d.
(a) The automorphism group ofTd is given by
Aut(T =
d)
{I
J.L2
if d is even,
if d is odd.
(b) Assume that K does not have characteristic 2. Let ( w) E K (w) be a rational
map that commutes with Td(w), i.e., (Td(w)) = Td((w)). Then
(w)
= Te(w)
The minus sign is allowed

stronger result.)
for some e 2: 1.
if and only if d
is odd. (See Theorem 6.79 for a
333
Proof (a) The assertion that Aut(Td ) C JL2 is an immediate consequence of (b),
since (b) implies that any f E Aut(Td) satisfies f (w) = T1 (w) = w. However,
since the proof of (b) is somewhat intricate, we give a direct and elementary proof
of (a).
Suppose that f E PGL 2 (K ) satisfies Tl = Td . The polynomial Td has a unique
totally ramified fixed point at 00 (cf. Exercise 6.8), and Tl similarly has a unique
totally ramified fixed point at f- 1(00 ), so the equality Tl = Td tells us that
f- I (00) = 00. Hence f (w) = aw + b is an affine transformation. (The same argument applies to any polynomial not of the form awd .)
Proposition 6.6(c) says that Td(w) satisfies Td(- w) = (- I )dTd(w), so in particular,
T d ( w) = wd + (terms of degree at most d - 2).
(6.7)
The identity Tl (w)
= Td (w) with f(w) = aw + b can be written as
We evaluate both sides using (6.7) and look at the top degree terms. This gives
adwd + dad- Ibw d- 1 + (terms of degree at most d - 2)

= awd
+ (terms of degree at most d -
2).
Hence
and
By assumption, d-O in the field K , so we conclude that ad- 1 = 1 and b = O.
In order to pin down the value of a, we use the explicit formula for Td(w) given
in Proposition 6.6(e). In fact, we need only the top two terms,
Td(W ) = wd - dwd- 2 + (terms of degree at most d - 4).

By assumption we have Td(aw) = aTd(W ), so
Hence ad = a and ad- 2 = a, where we again use the assumption that d-O in the
field K. It follows that a2 = 1. Further, a = -1 is possible only if (_I)d = -1,
so when d is odd. This completes the proof that Aut(Td) is trivial if d is even and is
equal to JL2 if d is odd.
(b) It is easy to verify that the Chebyshev polynomial Td(W ) cannot be conjugated
to a polynomial of the form cw d (Exercise 6.8). It follows that any rational map
commuting with Td(w) is necessarily a polynomial, a fact whose proofwe defer until
later in this chapter; see Theorem 6.80. We now describe a proof due to Bertram [69]
that the only polynomials commuting with T d are Te . We begin with two lemmas.
The first characterizes the Chebyshev polynomials as the solutions of a nonlinear
differential equation, and the second explains how to exploit such equations.
334
Lemma 6.10. Assume that K does not have characteristic 2. Let d 2 1 and let F (w)
be a polynomialsolution to the differentialequation
(6.8)
Then F (w) = Td(W).

Proof We first check that Td(w) are solutions. We differentiate the functional
equation (6.2) defining the Chebyshev polynomials to obtain the identity
T~ ( z
+ Z- I )(1 -
Z- 2) = dzd-I - dz-d- I,
and then solve for T~,
Putting w
= z + Z-I
as usual and noting that w 2
4 = (z d
Z- 1) 2 ,
we compute
_d) 2
(4 - w2)T~(wf = (4 - (z + Z- 1)2)d2 ( Zz ~ ZZ_ l

= _d2(zd _ z- d)2
= d2(4_ (zd + z - d)2)
2(4- Td(w f)
= d
This proves that Td(W) are solutions to (6.8).

Next suppose that F (w) is any polynomial solution to (6.8). If F' (w) is identically 0, then (6.8) implies that F (w) = 2 = To(w), so we are done. We may thus
assume that F' (w) f:. O. We differentiate both sides of (6.8) and divide by 2F' (w) to
obtain
(6.9)
(4 - w 2)F"(w) - wF' (w) + d2F (w) = O.
In particular, Td(w) is a solution to (6.9). Suppose now that F is any polynomial of

degree k that is a solution to (6.9). We write F (w) = aw k + bw k - I +... with a f:. 0
and substitute into (6.9). The leading term is
so we must have k = d. In other words, we have shown that every nonzero polynomial solution of (6.9) has degree d. But F(w) - aTd(W) is a polynomial of
degree strictly less than d that satisfies (6.9); hence F (w) = aTd(w). Finally,
substituting w = 2 into (6.8) yields F (2) = 2, while we know that Td (2) =
Td(1 + 1- 1) = I d + I d = 2. Hence F (w) = Td(W) , which completes the proof
of Lemma 6.10.
0
Lemma6.11. Let A(w) be a polynomial ofdegree r 2 1 and suppose that F (w) is

a polynomial ofdegree d 2 2 satisfying
A (w)F' (wr = dr A(F(w)).
(6.10)
335
Suppose further that G (w) is a polynomial ofdegree e 2: 0 that commutes with F ,

i.e., F (G(w )) = G(F(w)). Then
A(w)G'(wY = eT A(G(w)).
Proof Consider the polynomial
B (w) = A(w)G'(wY - e"A (G(w)).

We assume that B (w) i- 0 and derive a contradiction, which will prove the desired
result. First we observe that the leading coefficients of A(w )G' (w r and e"A (G(w))
cancel , so
(strict inequality).
degB < r e
Next we use the various definitions and given relations to compute
dTB(F(w))
= dTA(F(w))G'(F(w)f - dT eTA(G(F(w)))
= dTA(F(w))G'(F(w)f - dTe TA (F(G(w)))
definition of B,
using F oG
= G 0 F,
= A(w )F' (wYG'(F (w)f - e"A(G(w)) F'(G(w)f
using (6.10) twice,
= A(w)( G 0 F )'(wy - e"A( G(w)) F' (G(w)f
chain rule,
G)'(wy - eTA(G(w)) F'( G(w)f

= A(w )F' (G(w)f G' (wY - eTA (G(w))F'(G(w)f
using F o G
= A (w)(F
= G o F,
chain rule,
= F'(G (w)f [A(w)G'(wr - e"A (G(w))]

= F'( G(w)f B (w )
definition of B.
Taking degrees of both sides gives
(deg B)(deg F) = r( deg F - l)(degG) + (deg B) ,

and the assumption that deg F
2: 2 means that we can solve for
deg B = r (deg G) = reo

This contradicts the earlier strict inequality deg B < reoHence B must be the zero
polynomial, which completes the proof of Lemma 6.11.
0
We now resume the proof of Theorem 6.9(b). Let (w) be as in the statement (c)
with (w) a polynomial and let e = deg(). Lemma 6.10 tells us that
(4 - w2) T~(w)2 = d2(4 - Td(w)2).

Hence we can apply Lemma 6.11 with A(w)
mials and Td to deduce that
= 4 - w2 and the commuting polyno-
Then another application of Lemma 6.10 implies that ( w) = Te (w).
336
Using Theorem 6.9, it is easy to describe all of the twists of the Chebyshev polynomials.
Corollary 6.12. Continuing with the notation and assumptions from Theorem 6.9,
if d is even, then Td has no nontrivial K I K -twists, and if d is odd, then each a E K *
y ields a twist
1
Td,a(W) = ..;aTd( yaw) .
Two such twists Td,a and Td,b are K -conjugate
if and only if alb
is a square in K *.
Proof We use the description of Aut ( ) from (a). If d is even, then the automorphism group Aut( ) is trivial, so Proposition 4.73 says that has no nontrivial
twists. For odd d we have Aut () = {z}, so the desired result follows from Example 4.81 (see also Example 4.75) .
D
Remark 6.13. Over C, there is a short proof that Aut(Td ) C /L2 using the fact
(Exercise 1.31) that the Julia set of Td is J(Td) = [-2,2]. Then the assumption
that Tl = Td implies that f maps the interval [- 2, 2] to itself. Since f is bijective on pI (C), it follows in particular that f permutes the endpoints of the interval [-2,2] . Hence f (2) = 2 and f ( -2) = =f2. Writing f as f (w ) = aw + b, this
gives two equations to solve for a and b, yielding b = 0 and a = 1. Note that this
proof does not carry over to characteristic p, since, for example , working over IFp we
have Aut(Tp ) = PGL 2 (lFp ) ; see Exercise 6.10.
6.3 A Primer on Elliptic Curves

The remainder ofthis chapter is devoted to rational maps associated to elliptic curves .
In this section we give some basic definitions and review, without proof, some of the
properties of elliptic curves that will be needed later. The reader should also review
the summary of elliptic curves over C given in Section 1.6.3. For further reading on
elliptic curves and for the proofs omitted in this section, see for example [96, 198,
248,250,254,257,410,412,420].
6.3.1 Elliptic Curves and Weierstrass Equations

Definition. An elliptic curve E over a field K (of characteristic different from 2
and 3) is described by a Weierstrass equation, which is an equation of the form
2
E : y = x 3 + ax
+b
(6.11)
with a, b E K and 4a3 + 27b2 =1= O. Of course, we really mean that E is the projective curve obtained by homogenizing equation (6.11), so E has one extra point "at
infinity," which we denote by O . If K has characteristic 2 or 3, then equations of the
form (6.11) are insufficient, and indeed they are always singular in characteristic 2,
so one uses the generalized Weierstrass equation
E: y2
+ al XY + a3Y =
+ a2x2 + a4X + a6.
(6.12)
6.3. A Primer on Elliptic Curves
337
Remark 6.14. Let E / K be an elliptic curve defined over a field K. When we write E,
we mean the geometric points of E, i.e., the points in E(K) for some chosen algebraic closure of E. Ifwe want to refer to points defined over K, we always explicitly
write E(K), and similarly we write E(L) for the points defined over some extension
field L of K.
More intrinsically, an elliptic curve is a pair (E, 0) consisting of a smooth algebraic curve E of genus 1 and a point 0 E E. For convenience we often call E an
elliptic curve, with the understanding that there is a specified point o. We say that E
is defined over afield K if the curve E is given by equations with K -coefficients and
the point 0 is in E(K).
Using the Riemann-Roch theorem, one can prove that every elliptic curve E / K
can be embedded in J!D2 by a cubic equation of the form (6.12) with 0 mapping to the
point at infinity. (See [410, III 3].) Then, if the characteristic of K is neither 2 nor 3,
we can complete the square on the left and the cube on the right to obtain the simpler
Weierstrass equation (6.11). In order to simplify our discussion, we will generally
make this assumption.
The discriminant t::.(E) and j-invariant j(E) of the elliptic curve E given
by (6.11) are defined by the formulas
Proposition 6.15. (a) Let a, b E K and let E be the curve given by the Weierstrass
equation (6.11). Then E is nonsingular; and thus is an elliptic curve, if and only
if t::.(E) =J O.
(b) Two elliptic curves E and E' are isomorphic over Kifand only ifj(E) = j(E').
More precisely, E and E' are isomorphic if and only if there is a u E K* such
that a' = u 4a and b' = u 6b
Proof See [410, III 1].
6.3.2 Geometry and the Group Law

There is a natural group structure on the points of E that may be described as follows.
Let L be any line in J!D2. Then counted with appropriate multiplicities, the cubic
curve E and the line L intersect at three points, say
EnL = {P,Q,R},
where P, Q, and R need not be distinct. The group law on E is determined by the
requirement that the sum of the points P, Q, R be equal to 0,
P+Q+R= O.
The point 0 serves as the identity element of the group. The inverse of a point P,
which we denote by - P, is the third point on the intersection of E with the line
through P and O.
338
Theorem 6.16. Let E / K be an elliptic curve defined over a field K.

(a) The addition law described above gives E = E(K) the structure ofan abelian
group.
(b) The group law is algebraic, in the sense that the addition and inversion maps,
E xE
(P,Q)>-+P+Q
I
P>-+-P
)
E,
are morphisms, i.e., are given by everywhere defined rationalfunctions.

(c) The subset E (K) consisting ofpoints ofE that are defined over K is a subgroup
ofE(K).
Proof See [410, m 2,3].
It is not hard to give explicit formulas for the group law on an elliptic curve, as
in the following algorithm.
Proposition 6.17. (Elliptic Curve Group Law Algorithm) Let E be an elliptic curve
given by a Weierstrass equation
Z
E :y = x
+ ax + b,
and let PI = (Xl, Yl) and Pz = (xz, yz) be points on E.

If Xl = Xz and Yl = -Yz, then PI + Pz = 0. Otherwise, define quantities
A = yz - Yl
Xz - Xl'
Xz -
A = 3XI + a
2Yl '
l/
-xi
Xl
+ aXl + 2b
--=------2Yl
'
Then Y = AX + v is the line through PI and P z , or tangent to E

sum of PI and Pz is given by
if Xl =
Xz
if PI = P z, and the
As a special case, the duplication formulafor P = (x, y) is

x([2]P)
4
Z
z
x - 2ax - 8bx a
4x 3 4ax 4b
Proof See [410, m.2.3]
6.3.3 Divisors and Divisor Classes

Definition. A divisor on E is a formal sum of points
D
L np(P),
PEE
339
6.3. A Primeron EllipticCurves
with np E Z and all but finitely many np = o. The set of divisors under addition
forms the divisor group Div(E). The degree of a divisor d is
deg(D)
n.p:
PEE
The degree map deg : Div(E) ----+ Z is a group homomorphism.

There is a natural summation map from Div(E) to E defined by
sum: Div(E)
----t
E,
L np(P)
f------t
PEE
L [np](P).
PEE
(N.B. The two summation signs mean very different things. The first is a formal sum
of points in Div(E). The second is a sum using the complicated addition law on E.)
The zeros and poles of a rational function f on E define a divisor
div(J) =
L ordp(J)(P),
PEE
where ordp(J) is the order of zero of fat P if f(P) = 0, and ordp(J) is negative
the order of the pole of fat P if f(P) = 00. A divisor of the form div(J) is called a
principal divisor. The principal divisors form a subgroup ofDiv(E), and the quotient
group is the Picard group Pic( E). Within Pic( E) is the important subgroup Pico (E)
generated by divisors of degree o.
The next proposition describes the basic properties of divisors on E.
Proposition 6.18. Let E be an elliptic curve.

(a) Every principal divisor on E has degree o.
(b) A divisor D E Div(E) is principal if and only
sum(D) = O.
(c) The summation map induces a group isomorphism
sum: Pico(E)
----t
if both
deg(D)
E.
Proof See [410, III.3A and 111.3.5].
6.3.4
o and
Isogenies, Endomorphisms, and Automorphisms
Definition. An isogeny between two elliptic curves E 1 and E 2 is a surjective

morphism 'ljJ : E 1 ----+ E 2 satisfying 'ljJ( 0) = O. (Note that any nonconstant morphism E 1 ----+ E 2 is automatically finite and surjective.) The curves E 1 and E 2 are
said to be isogenous if there is an isogeny between them.
Remark 6.19. Every nonconstant morphism 'ljJ : E 1 ----+ E 2 is the composition of an
isogeny and a translation (cf. [410, IIIA.7]). To see this, let (P) = 'ljJ(P) - 'ljJ(0).
Then the map : E ----+ E is a morphism, and ( 0) = 0, so is an isogeny. Hence
'ljJ(P) = (P) +'ljJ(0)

is the composition of an isogeny and a translation.
340
Remark 6.20. We observe that an isogeny is unramified at all points. This follows from the general Riemann-Hurwitz formula (Theorem 1.5) applied to the map
'IjJ : E 1 --+ E 2 ,
2g(E 1) - 2 = (deg 'IjJ)(2g(E 2 )
2) +
I: (ep ('IjJ ) -
1).
P EEl
The elliptic curves E 1 and E 2 both have genus 1, and the ramification indices satisfy ep ('IjJ ) ::::: 1, so it follows that every ep('IjJ) is equal to 1, so 'IjJ is unramified.
Theorem 6.21. An isogeny tb : E 1 --+ E 2 is a homomorphism ofgroups, i.e.,
'IjJ (P
+ Q) = 'IjJ (P ) + 'IjJ(Q)
for all P,Q E E 1(K) .
Proof See [410, 111.4.8]
The degree of an isogeny 'IjJ : E 1 --+ E 2 is the number of points in the inverse
image 'IjJ - 1(Q) for any point Q E E 2 . This number is independent of the point Q,
since, as noted earlier, 'IjJ is an unramified map. It is clear that if deg( 'IjJ ) > 1, then 'IjJ
is not invertible, since it is not one-to-one. However, there does exist a dual isogeny
that provides a kind of "inverse" for 'IjJ.
Theorem 6.22. Let 1/J : E 1
isogeny , : E 2
--+
'('IjJ (P )) = [d] P
--+ E 2 be an isogeny ofdegree d. Then thereis a unique

E 1 , called the dual isogeny of 'IjJ, with the propertythat
and
'IjJ( '(Q )) = [d] Q
for all PEEl andQ E E 2 .
Definition. Let E be an elliptic curve. The endomorphism ring of E, which is denoted by End (E), is the set ofisogenies from E to itself with addition and multiplication given by the rules
(In order to make End(E) into a ring, we also include the constant map that sends
every point to 0.) The automorphism group of E, denoted by Aut(E), is the set of
endomorphisms that have inverses. Equivalently, Aut(E) = End(E)* is the group
of units in the ring End(E).
Every integer m gives a multipli cation-by-in morphism in End(E). For m
this is defined in the natural way as
>0
m tenus
[m] : E
----+
E,
[m] (P) = 'p + P ; . . . + P.
For m < 0 we set [m](P) = - [-m ](P), and of course [O](P) = O. This gives an
embedding of Z into End (E ), and for most elliptic curves (in characteristic 0), there
are no other endomorphisms.
341
Definition. An elliptic curve E is said to have complex multiplication if End (E)

is strictl y larger than Z . The phrase "complex multipli cation" is often abbreviated
byCM.
Example 6.23. The elliptic curve E : y2 = x 3 + x has Clvl, since the endomorphism
.ljJ : E
----1
E,
'ljJ( x, y) = (-x ,iy),
is not in Z . An easy way to verify this assertion is to note that
'ljJ2(X, y) = (x , -y) = - (x , y) ,
so tjJ2 = [-1]. This gives an embedding of the Gaussian integers Z [i] into End (E )
via the association m + ni f---+ [m] + [n] 0 'ljJ , and in fact it is not hard to show
that End(E ) is isomorphic to Z [i].
Example 6.24. More generally, there are two special families of elliptic curves that
have CM, namely those with a = 0 and those with b = O. These are the curves
E a' .. Y2 -_
EI: : y2 =
+ ax ,
3
x + b,
X
j (E~ ) = 1728,
End(E~ )
= Z[i],
Aut (E~ ) = JL4 '
j (EI: ) = 0,
End (EI: )
= Z[p],
Au t (EI: ) = JL6 '
Here p = (- 1+A )/2denote s a cube root of unity and JL n is the group of nIh roots
of unity.
Of course , all of the E~ are isomorphic over an algebrai cally closed field, since
they have the same j -invariant, and similarly for all of the E~' . However, the curves
in each family may not be isomorphic over a field K that is not algebraically closed .
This is an example of the phenomenon of twisting as described in Section 4.8 (see
also [410, X 5]).
Proposition 6.25. Let E / K be an ellip tic curve. Then the endomorp hism ring ofE
is one ofthe following three kinds ofrings :
(a) End(E) = Z.
(b) End (E) is an order in a quadratic imaginaryfi eld F. This means that End (E )
is a subring of F and satisfies End (E ) iQl = F. In particular, End (E ) is a
subring offinite index in the ring ofintegers ofF.
(c) End(E) is a maximal order in a quaternion algebra. (This case can occur only
if E is defined over a finite fi eld.)

The automorphisms of an elliptic curve are very easy to descr ibe.
Proposition 6.26. Let K be a fi eld whose characteristic is not equal to 2 or 3 and

let E / K be an elliptic curve. Then
Au t (E)
JL2
if j (E ) # 0 and j (E ) #
JL4
ifj (E)
= 1728,
JL6
i/j (E )
O.
1728,
342
Proof See [410, III 1O].
Remark 6.27. It is easy to make the description of Aut(E ) in Proposition 6.26 completel y explicit. Assuming that E is given by a Weierstrass equation (6.11) as usual,
for an appropriate choice of n there is an isomorphism
[.J: JL n
---+
Au t (E),
(6.13)
Here we take n = 4 if j(E) = 1728, we take n = 6 if j( E) = 0, and we take

= 2 otherwise. Of course, for n = 2 and n = 4 the formula simplifies somewhat
to (x, ~y) and (x, ~ - ly), respect ively.
6.3.5
Minimal Equations and Reduction Modulo p
Let K be a local field with ring of integers R, maximal ideal p, and residue field k
RIp . As in Section 2.3, we write for the reduction of x modulo p.
Definition. Let ElK be an elliptic curve defined over a local field K. A minimal
Weierstrass equation / or E is a Weierstrass equation whose discriminant 6.(E ) has
minimal valuation subject to the condition that the coefficients of the Weierstrass
equation are all in R.
Example 6.28. If k does not have characteristic 2 or 3, then a Weierstrass equation

(6.14)
for E is minimal if and only if
a,bE R
and
min{30rd p (a ),2 0rd p (b)}
< 12.
In general, if the residue field k does not have characteristic 2 or 3, then any Weierstrass equation (6.14) can be transformed into a minimal equation by a substitution
of the form (x, y) I-t (u 2x , u 3 y) for an appropriate u E K *.
If k has characteristic 2 or 3, then a minimal Weierstrass equation may require
the general form (6.12). There is an algorithm of Tate [412, IV 9] that transforms a
given Weierstrass equation into a minimal one.
Definition. Fix a minimal Weierstrass equation for ElK. Then we can reduce the
coefficients of E to obtain a (possibly singular) curve E lk. We say that E has good
reduction if E is nonsingular, which is equivalent to the condition that 6.(E) E R* .
In any case, we obtain a reduction modulo p map on points ,
E (K )
---+
E(k),
Pt-------->P.
Proposition 6.29. If E has good reduction, then the reduction modulo p map
E (K) -> E (k ) is a homomorphism.
Proof See [410, VU.2.1].
343
Remark 6.30. For elliptic curves defined over a number field K, we say that E has
good reduction at a prime p of K if it has a Weierstrass equation whose coefficients
are p-adic integers and whose discriminant is a p-adic unit. Note that one is allowed
to use different Weierstrass equations for different primes. If there is a single Weierstrass equation that is simultaneously minimal for all primes, then we say that E / K
has a global minimal Weierstrass equation. Global minimal equations exist for elliptic curves over (Q, and more generally for elliptic curves over any number field of
class number 1, but in general the existence of global minimal equations is somewhat
subtle; see [410, VIII 8] and [48]. We discussed a related notion of global minimal
models of rational maps in Section 4.11.
6.3.6
Torsion Points and Reduction Modulo p
The kernels of endomorphisms help to determine the arithmetic properties of elliptic

curves.
Definition. Let E be an elliptic curve. For any endomorphism 'l/J E End(E) we
write
E['l/J] = Ker('l/J) = {p E E : 'l/J(P) = O}.
Of particular importance is the kernel of the multiplication-by-m map,
E[m] = {P E E: [m]P = O}.

The group E[m] is called the m-torsion subgroup ofE. The union of all E[m] is the
torsion subgroup ofE,
E tors
U E[m].
m~l
Theorem 6.31. Let E / K be an elliptic curve and assume that either K has characteristic 0 or else that K has characteristic p > 0 and p f m. Then as an abstract
group,
E[m] = Z/mZ x Z/mZ.
In other words, E [m] is the product oftwo cyclic groups oforder m.
Proof See [410, III.6.4].
The next result gives conditions that ensure that the reduction modulo p map
respects the m-torsion points. It may be compared with Theorem 2.21, which tells us
what reduction modulo p does to periodic points of a good-reduction rational map.
Theorem 6.32. Let K be a local field whose residue field has characteristic p,
let E / K be an elliptic curve with good reduction, and let m 2: 1 be an integer
with p f m. Let E(K)[m] denote the subgroup of E[m] consisting ofpoints defined
over K, i.e., E(K)[m] = E[m] n E(K). Then the reduction map
E(K)[m]
-+
E(k)
is injective. In other words, distinct m-torsion points have distinct reductions modulo p.
344

D
Proof See [410, VII.3.1].
Let E j K be an elliptic curve defined over the field K . Then the points in E [m ]
are algebraic over K, so their coordinates generate algebraic extensions of K. An immediate corollary of the preceding theorem limits the possible ramification of these
extensions .
Corollary 6.33. Let K be a local fie ld whose residue fi eld has characteristic p.
let E j K be an elliptic curve with good reduction, and let m 2 1 be an integer
with p m . Then the field K (E [m]) obtained by adjoining to K the coordinates
ofthe m-torsion points ofE is unramified over K .
ProofSketch. Let K' = K (E [m ]), let p' be the maximal ideal of the ring of integers
of K' , and let k' be the residue field. Suppose that CY E Gal( K ' j K ) is in the inertia
group . Then CY fixes everything modulo p', so in particular,
CY(P) == P
(mo d p')
for all P E E[m].
(6.15)
But from Theorem 6.32, the reduction map E[m] --+ E (k' ) is injective, so (6.15)
implies that CY(P ) = P for all P E E [m ]. The points in E [m ] generate K' j K, so CY
fixes K' . Hence Gal (K' j K ) has trivial inertia group , so K ' j K is unramified . (For
further details, see [410, VIlA I].)
D
Remark 6.34. The coordinates of the points in E[m] are algebraic over K , so the
absolute Galois group G K = Gal(K jK ) acts on E [m ] compatibly with the group
structure. In this way we obtain a representation
In order to create a characteristic-O representation , we fix a prime f. and combine all

of the f.-power torsion to form the Tate module
(Here Ze denotes the ring of f.-adic integers.) Then the f.-adic representation of E is
the homomorphism
These representations are of fundamental importance in the study of the arithmetic

properties of elliptic curves .
6.3.7
The Invariant Differential
Definition. Let E : y 2 = x 3 + ax + b be an elliptic curve given by a Weierstrass

equation . The invariant differential on E (associated to the given Weierstrass equation) is the differential I-form
dx
WE
dy
= -2y = 3x 2 + a .
345
The next result explains why the invariant differential is so named and shows that
it linearizes the group law in a useful way.
Theorem 6.35. Let E be an elliptic curve given by a Weierstrass equation and let WE
be the associated invariant differential on E.
(a) For any given point Q E E, let TQ : E ----t E be the translation-by-Q map
defined by TQ (P) = P + Q. The differentialform WE is translation-invariant in
the sense that
for every Q E E.
TQ(WE) = WE
(b) The differential form WE is holomorphic at every point of E.

(c) Up to multiplication by a nonzero constant, WE is the only holomorphic translation-invariant 1-form on E.
(d) For every m E Z the differential form WE satisfies
[m]*WE
= mWE
The invariant differential can also be used to fix an embedding of the endomorphism ring of E into Co Of course, this is of interest only when E has Clvl, since
there is only one way to embed Z into <C.
Proposition 6.36. Let E I<C be an elliptic curve, write E(<C) ~ <CI L for some lattice L as described in Section 1.6.3, and let
R=
{a E <C : aL s;;: L}.
Thenfor each a E R there is a unique endomorphism [a] E End(E) satisfying

[a]*(w) = aw,
(6.16)
and this association defines a unique ring isomorphism
[. ] : R
.s:.. End(E).
(Without the normalization (6.16), the isomorphism R ~ End(E) is unique only up

to complex conjugation ofR.)
Proof We fix the isomorphism E(<C) ~ <CI L so that the invariant differential W
on E corresponds to dz on <CI L. More formally, we use the Weierstrass gJ function
to define an isomorphism
F : <CI L
----7
E(<C),
F(z) = (gJ(Z),
~gJ'(Z)) ;
see Section 1.6.3 and [410, VI 3]. Then

F*(w)
F* (dX)
2y
dgJ(z)
gJ'(z)
= dz.
346
Let 'IjJ E End(E), so using the identification E(C) ~ Cj L, the endomorphism 'IjJ
defines a holomorphic map 'IjJ : Cj L -+ Cj L satisfying 'IjJ(O) = O. We claim that
the analyticity implies that 'IjJ lifts to a map 1[J : C -+ C of the form 'IjJ (z) = o z for
a unique a E C, and hence in particular that 'IjJ is a homomorphism. (Compare with
the algebraic statement of this fact given in Theorem 6.21.) To prove this, we first
observe that the covering map C -+ Cj L is the universal cover of Cj L, so we can
lift 'IjJ to some holomorphic map 1[J : C -+ Co Further, the fact that 1[J lifts 'IjJ means
that 1[J satisfies
1[J(z + w) - 1[J(z) E L
for all z E C and all w E L.
Fixing W E L, we find that the map z f--+ 1[J(z + w) - 1[J(z) is a holomorphic map
from C to the discrete set L, so it must be constant. Thus for each w E L there is a
number c(w) E C such that
1[J(z + w) = 1[J(z) + c(w)
for all z E C.
(6.17)
Writing 1[J(z)
2:aizi as a convergent power series, one easily checks that the
relation (6.17) forces 1[J to be linear, say 1[J(z) = o:z+ (J. Then the assumption 'IjJ (O) =
tells us that {J E L, so o:z and o:z + (J descend to the same map on Cj L. Hence 'IjJ
lifts to a map of the form 1[J(z) = oz. Further, a is unique , since if 'IjJ (z) also lifts
to a' z, then the map z f--+ (a - a') z sends C to L , hence must be constant, so a = a' .
Finally, we observe that in order for az to descend to Cj L , the complex number a
must satisfy al. r;;; L . Thus the association 'IjJ f--+ a gives a map End(E ) -+ R, and it
is clear that the map 'I/J (z) = o z satisfies 'I/J*(dz) = adz, so with our identifications ,
we have 'IjJ *(w) = aw.
Next we check that the resulting map End (E) -+ R is a ring homomorphism.
Let 'l/Jl ' 'l/J2 E End(E) . Then on Cj L we have 'l/Jl (z) = O:I Z and 'l/J2(Z ) = a2Z, so
It remains to check that every a E R comes from some 'IjJ E End(E). By definition any a E R induces a map z f--+ o z on C that descends to a holomorphic
homomorphism C] L -+ Cj L. Using the theory of elliptic functions (see, e.g., [410,
Theorem VI.4.1D, one can show that every such holomorphic map E(C) -+ E(C)
is given by rational functions, which shows that End(R) -+ R is surjective.
0
6.3.8 Maps from E to pI

The quotient of E by a finite group of automorphisms gives a map from E to pl .
These quotient maps play an important role in dynamics.
Proposition 6.37. Let I' be a nontrivial subgroup of Aut (E ). Then the quotient
curve E j f is isomorphic to p I and the projection map 1r : E -+ E j f ~ ]P'1 is given
explicitly by
347
Jr( X Y)
,
iff=JL2
(j (E) arbitrary),
if r
if f
(j(E) = 1728 only),
= JL4
= JL3
{
3
X if I' = JL6
X2
(j(E)
(j(E)
= 0 only),
= 0 only).
Proof By definition, the quotient curve Elf is the curve whose function field is the
subfield of K(E) = K(x, y) fixed by f. Using the explicit description (6.13) of the
action of Aut (E) on the coordinates of E, it is easy to find this subfield. For example,
iff = JL2' it consists ofthose functions that are invariant under (x, y) f---* (x, -y), so
the fixed field K(Et is K(x, y2) = K(x). As a second example, if f = JL6' then
we need functions invariant under (x, y) f---* (px, -y), where p is a primitive cube
root of 1. This fixed field is K (El = K (x 3 , y2) = K (x 3 ) , since in this case the
elliptic curve is given by an equation of the form y2 = x 3 + b. The other cases are
similar.
0
For later use, we prove that the isomorphism class of an elliptic curve E is determined by the critical values of any double cover E ---+ JlDI.
Lemma 6.38. Let E be an elliptic curve defined over a field of characteristic not
equal to 2 and let Jr : E ---+ JlDI be a rational map of degree 2. Then Jr has exactly
four critical values and they determine the isomorphism class of E.
Proof The Riemann-Hurwitz formula (Theorem 1.5) for the map Jr : E

that
2g(E) - 2 = (degJr)(2g(JlD I) - 2) +
(ep() -1).
---+
JlDI says
PEE
The map Jr has degree 2, the elliptic curve E has genus 1, and JlDI has genus 0, so we
find that
(ep() -1) = 4.
PEE
The ramification indices satisfy 1 :S e p ( ) :S deg Jr = 2, so we conclude that there

are exactly four critical points, i.e., four points with e p () = 2 and all other points
satisfy e p ( ) = 1. Further, these four critical points must have distinct images in JlDI ,
since for any point t E JlDI we have
ep()
= deg(Jr).
PE7l'-1(t)
Let iI, t2,t3, t4 E JlDI be the four critical values of n, i.e., the images ofthe critical
points, and let f E PGL 2 be the unique linear fractional transformation satisfying
Explicitly,
348
(If any oft l , t 2 , t 3 equals 00, take the appropriate limit.) The quantity
is called the cross-ratio oft l , t2, iz, i; cf. Section 2.7, page 71.
We let x = f 0 7r, so x is a rational function of degree 2 on E with critical
values 0, 1, 00, and 11,. To ease notation, we let
Taking 0 to be the identity element for the group law on E, we see that
div(x)
= 2(To)-2(0),
div(x-l)
= 2(Tr)-2(0),
div(x-11,)
= 2(T,,)-2(0),
so To, TI , T" are in E[2], i.e., they are points of order 2. The sum of the three nontrivial 2-torsion points on any elliptic curve is equal to 0, so Proposition 6.18 tells
us that there is a rational function y on E with divisor
div(y) = (To)
+ (Tr) + (T,,) - 3(0).
After multiplying y by an appropriate constant, it follows that x and yare Weierstrass

coordinates for E (cf. [198, Iv'4.6] or [410, 111.3.1]). More precisely, the rational
functions x and y map E isomorphically to the curve with Weierstrass equation
E : y2 =
X (x
- 1)(x -
11,).
It is easy to compute the j-invariant of E in terms of 11, (cf. [410, III. 1.7(b)]). We find
that
'(E) = 28 (11,2
J
- 11,
11,2(11, _
+ 1)3
1)2 '
so in particular j(E) is uniquely determined by t l , t2, t3,t4. Then we apply Proposition 6.15 (or [410, IIL1.4(b)]), which says that the isomorphism class of E is detennined by its j-invariant. This completes the proof of Lemma 6.38.
0
6.3.9
Complex Multiplication
Let ElK be an elliptic curve with complex multiplication defined over a number
field. As described in Proposition 6.25, the endomorphism ring of E is isomorphic
to a subring of the ring of integers of a quadratic imaginary field. We briefly recall an
analytic proof of this important fact and then discuss the relationship between complex multiplication and the ideal class group of the associated quadratic imaginary
field. This material is used only in Section 6.6, so may be omitted at first reading.
Proposition 6.39. Let E IC be an elliptic curve with complex multiplication, i.e., the
endomorphism ring End(E) is strictly larger than Z. Choose a lattice L c C such
that E(C) ~ CI L, let
349
R = {a E C : O'L ~ L} ,
and let
[. J: R ~ End (E)
be the isomorphism described in Proposition 6.36. Then R is a subring of the ring
ofintegers ofa quadratic imaginary fi eld F , andfor any 0' E R . the degree of [a] is
given by
deg ]o] = 0'& = NF/Q(O'),
where & denotes the complex conjugate of
0'.
Proof To describe the ring R, we choose a basis for L , say L = ZWl

have R -I Z by assumption, so there exists an a E R with a (j. Z . Write
aWl = aWl
The numbers
WI
+ bW2
and
aW2 =
CWl
+ dW2
with
+ ZW2. We
a, b, e, d E Z .
(6.18)
and W2 are JR.-linearly independent, so the relation
a - a
-b) (WI) (0)
-e a - d
W2
implies that the matrix has determinant 0,
a2
(a + d)a
+ (ad - be) = 0.
(6.19)
Hence a is an algebraic integer in a quadratic field. Further, we must have a (j. JR.,
since if a were real, then the relation (a - a )WI = bw2(and a (j. Z) would contradict
the JR.-linear independence of Wl and W2 . This proves that every element of R is an
algebraic integer in a quadratic imaginary field, and hence R is a subring of the ring
of integers of such a field.
Finall y, in order to compute the degree of the endomorphism [0'] : E ----> E
corresponding to a E R, we observe that
deg(a)
=#
Ker
(elL ~ elL) = (L : O'L).
If a E Z, then it is clear that (L : a L ) = a 2 , since L = Z 2 as an abstract group.

Suppose now that a (j. Z. Then continuing with the earlier notation, the transformation formulas (6.18) imply that the index of eel. in L is (L : a L) = ad - be. On the
other hand , the product a& is the constant term in the minimal equation (6.19) for a
0
over Q, hence also equal to ad - be.
The theory of complex multiplication uses elliptic curves to describe the abelian
extensions of a quadratic imaginary field F in a manner analogous to the description of abelian extensions of Q using torsion points in G m , i.e., using roots of unity.
For a complete introduction to the theory of complex multiplication, see, for example, [257, Part II], [399 , Chapter 5], or [412, Chapter II]. We now describe the tiny
piece of the theory that will be needed in Section 6.6 in order to prove Theorem 6.62.
350
Let F be a quadratic imaginary field, let RF be the ring of integers of F, and

let IF be the group of fractional ideals of F. If we fix an embedding FcC, then
each fractional ideal a E IF is a lattice a C C; hence it determines an elliptic
curve En whose complex points are
(6.20)
We observe that En has complex multiplication by RF, since any a E R F has the
property that ou C a, hence it induces a holomorphic map
[a] : Cia
1----+
CI a,
Z 1----+
az,
which in turn yields an isogeny [a] : En ----t En. In fact, since R F is the maximal
order in F, we have End(En) = R F . We denote by e(R F ) the set
e(R F ) = {isomorphism classes of elliptic curves E with End(E) ~ R F
} .
We thus have a natural map
a 1----+ (isomorphism class of En).
(6.21)
We also observe that if we multiply a by a principal ideal, then the isomorphism

class of En does not change, since for any e E K* there is an obvious isomorphism
Cia ~ C/ea,
1----+
ez.
Hence the map (6.21) induces a natural map from the ideal class group CF
to elliptic curves with complex multiplication by RF,
= IF I F*
Proposition 6.40. Let F be a quadratic imaginary field with ring of integers RF

and ideal class group CF, and let h F = #C F be the class number ofF. Then with
notation as above. the natural map
is a bijection. In particular, there are exactly h F isomorphism classes of elliptic

curves whose endomorphism ring is RF.
Proof See [412, 11.1.2].
6.4 General Properties of Lattes Maps

Chebyshev polynomials arise by restricting the power map z" to the quotient of JlDl
by the finite group of automorphisms {z, z-l }. As already briefly described in Section 1.6.3, quotients of elliptic curves lead similarly to rational maps called Lattes
maps. In this section we define and discuss general properties of these Lattes maps.
For an excellent introduction to Lattes maps over C, including historical remarks and
proofs of their basic geometric and analytic properties, see [300].
351
6.4. GeneralProperties of Lattes Maps
Definition. A rational map : pI ~ pI of degree d 2: 2 is called a Lattes map

if there are an elliptic curve E, a morphism 7/J : E ~ E, and a finite separable'
covering 7r : E ~ pI such that the following diagram is commutative:
(6.22)
pI
..: pl.
Example 6.41. Let E : y2 = x 3 + ax + b be an elliptic curve. Then the classical

formula for x(2P) (Proposition 6.17) and the isomorphism x : E / {l} ~ pI yield
the Lattes map
2
2
2ax - 8bx + a
4x 3 + 4ax + 4b
Here 7/J is the duplication map 7/J(P) = [2]P, and the projection 7r is given by
7r(P) = 7r(x, y) = x.
Example 6.42. Let E be the elliptic curve E : y2 = x 3 + ax with j (E) = 1728 and
again let 7/J(P) = [2]P be the doubling map. Ifwe take 7r(x, y) = x, then we are in
(x)
= x(2P) = x
the b = 0 case of Example 6.41, and we obtain the Lattes map
(x)
x(2P)
(x 2 _ a)2
4 (2
)'
X x +a
However, for this curve we may instead take 7r (x, y)

map 1. We find a formula for 1 using the relation
2
l(X) =(JX) =
((x_a)2)2
4)X(x+a)
= x 2 . This gives a new Lattes
(x - a)4
16x(x + a)2'
Note that the map 7r(x, y) = x 2 corresponds to taking the quotient of E by its
automorphism group Aut(E) ~ 1L4 via the association described in Remark 6.27.
Example 6.43. In a similar manner, the doubling map on the elliptic curve
E: y2
= x3 + 1
with j(E) = 0 and Aut(E) = 1L6 gives various Lattes maps corresponding to
taking the quotient of E by the different subgroups of 1L6' Explicitly, the Lattes maps
corresponding, respectively, to 1L2' 1L3' and 1L6 are
We leave the verification of these formulas to the reader; see Exercise 6.12.
1The assumption that 1r is separable is relevant only when one is working over a field of characteristic p, in which case it is equivalent to the assumption that 1r does not factor through the p-power Frobenius
map.
352
We begin with an elementary, but useful, characterization of the preperiodic

points of a Lattes map (cf. Proposition 1.42).
Proposition 6.44. Let be a Lattes map associated to an elliptic curve E. Then
PrePer()
= Jr(Etors).
Proof Let ( E pi and let PEE be any point satisfying Jr(P)

orbits of ( and P. Thus
= (. We consider the
Jr(01jJ(P)) = Jr ((~n(p): n ~ a}) = {Jr~n(p): n ~ o}

=
{nJr(p): n ~ o} = {n((): n ~ o}
Oq,(().
The map Jr is finite, so this shows that 01jJ(P) is finite if and only if Oq,(() is finite.
Hence
PrePer() = Jr(PrePer(~)),
and it is left to prove that PrePer( ~) = Etors.
We observe that the map ~ : E ~ E has the form ~(P) = ~o(P) + T for
some ~o E End(E) and some point TEE. (See [410, III.4.7].) We are going to
prove Proposition 6.44 in the case that ~ = ~o E End(E), i.e., assuming that T = O.
For the general case, which requires knowing that the point T is a point of finite order, see Exercise 6.14.
Suppose first that P E Etors, say [n]P = 0 for some n ~ 1. Consider the images
of the iterates ~, ~2 , ~3 , ... in the quotient ring End (E) / n End (E). It follows from
the description of End( E) in Proposition 6.25 that this quotient ring is finite, so we
can find iterates i > j ~ 1 such that
~i
==
~j
(mod nEnd(E)).
In other words, there is an endomorphism f3 E End(E) such that

~i
= ~j + f3n.
Evaluating both sides at P and using the fact that [n]P = 0 allows us to conclude
that ~i(p) = ~j (P). Hence P E PrePer( ~), which proves that Etors C PrePer( ~).
Next suppose that P E PrePer(~), say ~i(p) = ~j(P) for some i > j. We
rewrite this as (~i - ~j) (P)
Theorem 6.22 to obtain
=0
-----
and apply the dual isogeny ~i - ~j described in
[deg(~i - ~j)](P)
= O.
We know that ~i -I ~j, since deg(~) = deg() ~ 2 and i > j, so ~i - ~j

has positive degree. This proves that P E E tors, which gives the other inclusion PrePer(~) C Etors.
0
Many dynamical properties of a rational map can be analyzed by studying the
behavior of the critical points under iteration of the map. This is certainly true for
Lattes maps, whose postcritical orbits have a simple characterization, which we give
after setting some notation.
6.4. General Properties of Lattes Maps
353
Definition. Let </J : C I ----7 C2 be a nonconstant rational map between smooth

projective curves. The set of critical points (also called ramification points) of </J is
denoted by
CritPt1> = {P E C I
</J is ramified at P} = {P E C I
ep(</J) 2: 2}.
The set ofcritical values of </J is the image of the set of critical points and is denoted
by
Critval, = </J(CritPt1.
If </J : C ----7 C is a map from a curve to itself, the postcritical set is the full forward
orbit of the critical values and is denoted by
00
00
n =O
n =I
U </In(CritVal1>) = U CritVal1>n .
PostCrit1> =
(See Exercise 6.15.)
Proposition 6.45. Let </J : pI

diagram (6.22). Then
----7
pI be a Lattes map that fits into a commutative
CritVal1r
PostCrit .
In particular, a Lattes map is postcritically finite.

Proof The key to the proof of this proposition is the fact that the map 'Ij; : E ----7 E
is unramified , i.e., it has no critical points, see Remark 6.20. (In the language of
modem algebraic geometry, the map 'Ij; is etale.) More precisely, the map 'Ij; is the
composition of an endomorphism of E and a translation (Remark 6.19), both of
which are unramified.
For any n 2: 1 we compute
Critval, = CritVal1r ,pn
because 'Ij; is unramified ,
= CritVal1>n
from the commutativity of(6.22),
1r
= CritVal1>n U
</In (CritVal
1r )
from the definition of critical value,
:2 CritVal1>n .
This holds for all n 2: 1, which gives the inclusion
00
CritVal1r
:2
U </In (CritVal1> ) = PostCrit1> .

n=O
In order to prove the opposite inclusion , suppose that there exists a point Po E E
satisfying
Po E CritPt"
and
7f( Po) t/: PostCrit1> .
(6.23)
Consider any point Q E 7j; - I (PO) . Then Q is a critical point of 7f'lj;, since 'Ij; is
unramified and 7f is ramified at 7j; (Q) by assumption. But 7f'lj; = </J7f, so we see
that Q is a critical point for </J7f.
354
On the other hand,
so n( Q) is not a critical point for . It follows that Q is a critical point of tt, Further,
we claim that no iterate of is ramified at n (Q). To see this, we use the given fact
that n(Po) is not in the postcritical set of to compute
n(Po) ~ Postcrlt;
===}
===}
===}
===}
===}
n(Po) ~ n(CritPtq,)
n(1/J(Q)) ~ n(CritPtq,)
(n(Q)) ~ n(CritPtq,)
n(Q) ~ n(CritPtq,)
n( Q) ~ PostCritq, .
To recapitulate, we have now proven that every Q E
Q E CritPt1r
1/J-l (Po)
for all n
1,
for all n
1,
for all n
1,
for all n
0,
satisfies
n( Q) ~ PostCrit,p .
and
In other words, every point Q E 1/J-l (Po) satisfies the same two conditions (6.23)
that are satisfied by Po. Hence by induction we find that if there is any point Po
satisfying (6.23), then the full backward orbit of 1/J is contained in the set of critical
points of n, i.e.,
00
CritPt1r =>
U 1/J -n (Po).
n=l
But
1/J is unramified and has degree at least 2 (note that deg 1/J =
deg ), so
This is a contradiction, since n has only finitely many critical points, so we conclude
that there are no points Po satisfying (6.23). Hence
which gives the other inclusion Critval, ~ PostCritq,.
As an application of Proposition 6.45, we show that Lattes maps associated to

distinct elliptic curves are not conjugate to one another.
Theorem 6.46. Let K be an algebraically closed field of characteristic not equal
to 2 and let and ' be Lattes maps defined over K that are associated, respectively, to elliptic curves E and E'. Assume further that the projection maps nand n'
associated to and ' both have degree 2. If and ' are PGL 2 (K)-conjugate to
one another, then E and E' are isomorphic.
355
6.5. Flexible Lattes Maps
Proof Let f E PGL 2 (K ) be a linear fractional transformat ion conjugating ' to .

Then we have a commutative diagram
1r'
. - - E'
We let n" = f 0 n' , Note that since f is an isomorphism, the map

degree 2. This yields the simplified commutative diagram
tt"
still has
showing that is a Lattes map associated to both elliptic curves E and E' .
Applying Proposition 6.45, first to E and then to E', we find that
CritVal1r
= Postcrit, = CritVal
1r "
(6.24)
In other words, the degree-2 maps 1r : E --t pI and n" : E' --t p I have the exact
same set of critical values. Then Lemma 6.38 tells us that E and E' are isomorphic .
o
6.5 Flexible Lattes Maps
A Lattes map is a rational map that is obtained by projecting an elliptic curve
endomorphism down to pi . For any integer m ::::: 2, every elliptic curve has a
multiplication-by-m map and a projection E --t E / { 1} ~ pI , so every elliptic
curve has a corresponding Lattes map. As E varies, this collection of Lattes maps
varies continuously, which prompts the following definition.
Definition. Aflexible Lattes map is a Lattes map : p I --t pI that fits into a Lattes
commutative diagram (6.22) in which the map 'l/J : E --t E has the form
'l/J (P ) = [m](P)
+T
for some m E Z and some TEE
and such that the projection map 1r : E
deg(1r) = 2
and
--t
p I satisfies
1r(P ) = 1r(- P ) for all PEE.
Remark 6.47. The condition that 1r be even, i.e., that it satisfy 1r(- P ) = 1r(P ), is
included for convenience. In general, if 1r : E --t p I is any map of degree 2, then
there exists a point Po E E such that 1r ( - (P + Po)) = 1r(P + Po) for all PEE.
Thus 1r becomes an even function if we use Po as the identity element for the group
law on E. See Exercise 6.16.
356
Remark 6.48. We show in this section that the Lanes maps of a given degree have
identicalmultiplier spectra. This is one reason that these Lattes maps are called "flexible," since they vary in continuous familieswhose periodic points have identical sets
of multipliers. We saw in Section 4.5 that symmetricpolynomials in the multipliers
give rational functions on the moduli space M d of rational maps modulo PGL 2 conjugation. Flexible families of rational maps thus cannot be distinguished from
one another in M d solely through the values of their multipliers.
Example 6.49. We saw in Example 6.41 that the Lattes function associated to the
duplication map 7jJ(P) = [2] (P) on the elliptic curve E : y2 = x 3

by the formula
+ ax + b is given
4
2
2
cPa b(X) = x(2P) = x - 2ax - 8bx + a
,
4x 3 + 4ax + 4b
It is clear that if a and b vary continuously, subjectto 4a3
+ 27b2 i=- 0, then the Lattes
maps cPa,b vary continuously in the space of rational maps of degree 4.

More precisely, the set of maps cPa,b is a two-dimensional algebraic family of
points in the space Rat4, given explicitly by
(a, b) f------+ [1,0, -2a, -8b, a2 , 0, 4, 0, 4a, 4b].

Ifwe conjugate by fu(x)
= UX, the Lanes map cPa,b transforms into
Thus assuming (say) that ab i=- 0, we can take U = b/a to transform cPa,b into
WIith C
,;.,fb/a,l.
'f'a,b
= wc,c
= a 3/b .
2
In other words, the two-dimensional family of Lattes maps {cPa,b} in Rat., becomes
the one-dimensionalfamily of dynamical systems
(6.25)
Of course, it is not clear a priori that the map (6.25) is nonconstant. But if the Lattes
maps cPe,e and cPel,e l are PGL 2 -conjugate, then Theorem 6.46 tells us that their
associated elliptic curves E and E' are isomorphic. The j-invariant of the elliptic
curve E; : y2 = x 3 + CX + c is
.()
J E;
= 2 3 4c + 27'
so we see that j (E e) = j (Eel) if and only if c = c'. This proves that the map (6.25)
is injective, so these flexible Lattes maps do indeed form a one-parameter family of
nonconjugaterational maps with identicalmultiplierspectra,i.e., they are a nontrivial
isospectra1 family.
357
Example 6.50. The elliptic curve E : y 2 = x 3 + ax 2 + bx has the 2-torsion

point T = (0, 0) . To compute the Lanes function : pI -+ pI associated to the
translatedduplication map ljJ(P ) = [2](P) + T, we first use the classical duplication
formula to compute
_ ( x4
2P -
2bx 2
4y2
+ b2
x6
+ 2ax 5 + 5bx 4 -
5b2 x
2ab2 x - b3 )
8y 3
'
Then the addition formula and some algebra yield

(x) = x(2P
+T ) =
4b(x + ax
x 4 - 2bx 2
+ bx ) .
+ b2
As in the previousexample,these Lattes maps form a one-dimensional familyin M 4 .

We begin with a few elementary, but useful, properties of flexible Lattes maps.
Proposition 6.51. Let : pI -+ pI be a flexible Lattes map whose associated map
?j; : E -+ E has the form ?j;(P) = [m]P + T.
(a) The map has degree m 2 .
(b) The point T satisfies [2]T = 0.
(c) Fix a Weierstrass equation (6.11) for E . Then there is a linear fractional transformation f E PGL 2 such that 1r = f o x. Hence f fits into a commutative
diagram
E ~ E
(6.26)
p I ~ p l.
Proof (a) The commutativity of the diagram (6.22) tells us that
deg() deg(1r ) = deg(1r) deg(?j;).

The map e has degree m 2 , since multiplication-by-m has degree m 2 and translationby-T has degree 1. Therefore deg() = m 2 .
(b) We are given that the map 1r : E -+ pI has degree 2 and satisfies 1r(P) =
1r( -P). It follows that 1r(P) = 1r(Q) if and only if P = Q or P = -Q. We use the
commutativity of (6.22) to compute
1r( -[m]P - T)
= 1r([m]P + T) = 1r(?j;(P))
= (1r(P)) = (1r( -P)) = 1r(ljJ (-P)) = 1r(- [m]P + T ).
Hence for every PEE we have either
-[m]P - T = -[m]P + T
or
- [m]P - T = - (-[m]P
+ T ) = [m]P -
Simplifyingthese expressions, we find that every point PEE satisfieseither

[2]T = O
or
[2m]P = O.
T.
358
But there are only finitely many points PEE satisfying [2m]P = 0; hence we
must have [2]T = O.
(c) The map 1f is a rational function on E satisfying 1f( - P) = 1f(P). It follows
that 1f is in the subfield K(x) ofthe function field K(E); see [410,111.2.3.1]. In other
words, there is a rational function I(z) E K(z) such that 1f = I(x). Equivalently,
the map 1f : E ---+ lP'1 factors as
In particular,
2 = deg( 1f)
= deg(J 0 x) = deg(J) deg( x) = 2 deg(J) ,
so we see that deg(J) = 1. Hence 1 is a linear fractional transformation, which

proves the first part of (c). Finally, we compute
<Ii 0 x = 1- 1 0 010 x = 1- 1 0 0 1f = 1- 1 0 1f 0 'IjJ = x 0 'IjJ,
which proves the commutativity of (6.26).
Our next task is to compute the periodic points and multipliers of flexible Lattes
maps. For ease of exposition, we do the pure multiplication case, i.e., for maps of the
form 'IjJ (P) = [m] (P), and leave the general case for the reader.
Proposition 6.52. Let : lP'1 ---+ lP'1 be ajlexible Lattes map and assume that T = 0,
so 'IjJ(P} = [m](P). (See Exercise 6.18for the case T I- 0.)
(a) The set ofn-periodic points of is
(b) Let ( be a periodic point of ofexact period n. Then
if( E 1f(E[mn
if( E 1f(E[mn
if( E 1f(E[mn
(Notice that
1f
1]) and ( rf. 1f(E[2]),
+ 1]) and ( rf. 1f(E[2]),

+ 1]) n 1f(E[2]).
(E[2]) is the set ofcritical values of1f.)
Proof (a) Let ( E lP'1 be a fixed point of and choose a point PEE with 1f(P) = (.
Note that there are generally two choices for P, so we simply choose either one of
them. Then
1f(P) = (
= (() = (1f(P)) = 1f('IjJ(P)) = 1f([m]P).
As noted during the proof of Proposition 6.51(b), we have 1f(P) = 1f(Q) if and only
if P = Q, so we conclude that either
[m]P=P
or
[m]P =-P.
359
Conversely, if [m]P = P, then
(7r(P))
= 7r(W(P)) = 7r([m]P) = 7r(P) = 7r(P),

= 7r(P ) E Fix( ) if and only if
so 7r(P) is fixed by . This proves that (
[m- I]P = O
or
[m +I]P =O ,
and hence
Fix( )
= 7r (E[m - 1])
U 7r(E[m + 1]) .
(6.27)
In order to find the points of period n, we observe that
so n is also a flexible Lattes map. It is associated to the map [rn"] : E ----+ E. (For a
generalization of this observation, see Exercise 6.17.) Applying (6.27) to the Lattes
map n yields the desired result,
(b ) The multipliers of are invariant under PGL 2-conjugation , so we can use

Proposition 6.51(c) to replace by a conjugate satisfying
o x = xow,
where x is the x -coordinate on a Weierstrass equation
E : y2 = x 3 + ax
+ b.
In order to compute the multipliers of , we are going to use the translation-invariant

differential form
dx
dy
w = 2y = 3x 2 + a
(6.28)
on E described in Theorem 6.35. The invariant differential satisfies the formula
w*(w)
= [m]*(w) = mw.
(6.29)
Substituting w = dx/2y and doing some algebra yields
w*
(dx)
yo W
--=m--.
y
dx
(6.30)
Let be the Lattes map associated to W

, let ( E Fix() with ( :j:. 00, and let t
be a coordinate function on pl. Then the multiplier Act> (() of at ( can be computed
using the differential form dt via the equation
*( dt)
dt
I
t =(
d (t )
dt
I
t=(
= '(() = A(( ).
(6.31)
360
Using the relation 0 x = x
x* ( *(dt))
dt
'l/J and formula (6.30), we compute
= x**( dt) =
x*(dt)
(ox)*(dt)
x*(dt )
= (x 0 'l/J )*(dt ) = 'l/J*x*(dt ) = 'l/J*(dx) = m y o 'l/J

x*( dt)
x*(dt)
dx
(6.32)
y .
We lift ( to a point PEE satisfying x( P) = ( and evaluate both sides of (6.32)

at P to obtain
*(dt) I = m (y 0 'l/J ) (P) .

dt t=(
Y
(6.33)
Equating (6.31) and (6.33) gives the useful formula
y o'l/J ) (P)
A,p(() = m ( -y-
for ( = x(P ) E Fix() with (
00 .
Assume first that [2]P i 0 , which ensures that y(P) i 0 and y(P ) i
we can directly evaluate the fraction in (6.34) and conclude that
(6.34)
00.
Then
A (() = m (y 0 'l/J )(P)
y(P) '
We are assuming that ( = x(P ) is a fixed point of , so
x(P) = (x( P)) = x('l/J(P)).

Thus 'l/J(P) = P, and hence y('l/J(P )) = y(P), which proves that A,p(( ) = m.
More precisely, A<t> (() = m if mP = P and A(( ) = - m if mP = -Po To
summarize, we have proven that if ( ~ x (E[2]), then
( E Fix()
A (() = {
m
-m
if ( E x(E [m -1]) ,
if( E x (E [m + 1]).
(6.35)
Next suppose that y(P ) = 0, so [2 ]P = 0 , but P i O. We also have [m]P =

P from the assumption that ( = x(P) E Fix(), so m is odd and 'l/J fixes P. The
functions y and y 0 'l/J both vanish at P , so we can use l'Hopital's rule to compute
(y ~ 1jJ) (P) = (d(Yd~ 'l/J )) (P) ,

assuming that the righthand side has a finite value. (Note that this formula is valid
algebraically, since what we are really doing is looking at the linear terms in the local
expansions of y and y 0 'l/J at P.) We now use the chain rule to compute
d('lj;*y)
dy
361
d('lj;*y)
'lj;*(3x2 + a) 3x2 + a
3x2 + a . dy
'lj;*(3x2 + a)
2+a).
2+a
3x
='lj;* ( dy ). 'lj;*(3x
2
2
3x + a
3x + a
dy
2
'lj;*(w) 'lj;*(3x + a)
-- .
from (6.28),
w
3x 2 + a
'lj;*(3x2 + a)
=m
from (6.29),
3x 2 + a
3(x o'lj;)2+ a
- m --'-----,--'---3x 2 + a .
We evaluate both sides at P = ((, 0). Note that the quantity 3(2 + a is nonzero, since
otherwise P would be a singular point of E. Also, x('lj;(P)) = x(P) = (. Hence
y 0 'lj;) (P) = d('lj;*y) (P) = m 3(x 0 'lj;(p))2 + a = m 3(2

y
dy
3x(P)2 + a
3(2
+a
+a
= m.
Substituting this value into (6.34) yields the desired result .\1' (() = m 2 .
It remains to deal with the case P = O. There are several ways to do this case.
First, we could perform an explicit calculation using local coordinates around O.
Second, since we are missing only one multiplier, we could use Theorem 1.14, although this would require knowing a priori that>. i- 1. Third, at least for odd m, we
could observe that 'lj;(P) = [m]P looks the same locally around each of the points
in E[2], and we already computed>' = m 2 for the nonzero points in E[2]. We leave
as an exercise for the reader (Exercise 6.20) to complete the proof using whichever
argument he or she prefers.
Finally, to compute the multiplier of a periodic point ( E Per., (), we apply the
results that we have just derived to the fixed points of the Lattes map n satisfying n 0 X = X 0 [m n ].
0
Remark 6.53. Let : ]lD1 ----+ ]lD1 be a flexible Lattes map associated to 'lj;(P) = [m]P
as in Proposition 6.52. If we work over C, then the multiplier of every periodic
point ( E Per() satisfies
for some e
= e( () 2':
1.
Hence ( is repelling, so Per() is contained in the Julia set (cf. Exercise 1.27).
Choosing a lattice L and a complex uniformization C/ L ----+ E(C) as described
in Section 1.6.3, it is clear that E(C)tors is dense in E(C). Therefore Per() =
x(E(C)tors) is dense in ]lD1(C) and is contained in .:J(). Further, the Julia set is
closed. This proves that .:J() = ]lD1(C) and F() = 0, which is Lanes's Theorem 1.43 discussed in Section 1.6.3.
On the other hand, if we work over a p-adic field such as Qp or C p , then every
periodic point ( E Per() satisfies
for some e = e(() 2': 1.
362
Thus every periodic point is nonrepelling, so Per ( ) c F () from Proposition 5.20.

Further, ifplm, then I\ t> (() I = Iml e < 1, so in this case every point in Per ( ) is
attracting.
Remark 6.54. Recall that the multiplier spectrum of a rational map : pI -; pI of

degree d is the map that associates to each integer n ~ 1 the set
where we treat Per n ( ) as the set of dn + 1 (not necessarily distinct) fixed points
of n. Two maps with the same multiplier spectrum are called isospectral. (See Section 4.5, page 187.) Proposition 6.52(b) shows that flexible Lattes maps of degree m 2
are isospectral , since their multiplier spectrum depends only on m . A deep theorem
of McMullen [294, 2] (Theorem 4.53) says that these are the only isospectral rational maps that vary in a continuous family.
Not surprisingly, good reduction of Lattes maps is closely related to good reduction of the associated elliptic curve.
Proposition 6.55. Let K be a local fi eld, let R be the ring of integers of K, and
be a flexible Lottes map of degree m 2 associated to an elliptic
let :
curve E / K . Suppose that E has good reduction and that m E R*. Then there exists
an f E PGL 2 (K ) such that i has good reduction.
Pk -; lPk
Proof Since E has good reduction , we can find a Weierstrass equation for E with
coefficients in R and discriminant in R*. We then use Proposition 6.51 to replace
by i so that it fits into a Lattes diagram (6.26). In other words, the Lattes projection
map 7f is the x-coordinate function on a minimal Weierstrass equation for E.
For any n ~ 1 we can find polynomials Fn(X) ,Gn(X ) E R [X] such that
x([nJ P) = Fn{x(P)) .
c; (x(p))
This is easily proven by writing out the first few polynomials explicitly and then
computing the subsequent ones by a recurrence formula. The recurrence also shows
that the leading terms of Fn and G n are
2 n
G nX=nX
()
and
1
-+
... .
(See [96, page 133], [410, Exercise 111.3.7], or Exercise 6.23.)

We note that the roots of Gn(X ) are the x-coordinates of the n -torsion points ,
and one can check that Gn(X ) factors as
Gn(X ) = n 2
II
(X - x(P) ).
P EE [n] , P ol-V
We are assuming that 'l/J(P ) = [mJ(P ) + T for some fixed integer m and
some T E E[2J. For simplicity we prove here the case T = 0 and leave the general
case as an exercise. Then
363
(x(P)) = x(1jJ(P)) = x ([m](P)) ,

We fix an auxiliary prime satisfying f m and E R* and consider the polynomial
H(X) =
II
(Fm(X) - x(Q)Gm(X)).
QEE[R],Qi-O
Notice that H(X) is a monic polynomial, since Fm(X) is monic and deg(Fm ) >
deg(G m ) . We also note that all of the x(Q) are integral over R, since they are roots
ofGR(X) and E R*. It follows that H(X) E R[X]. Further, Proposition 2.13(b)
(see also Exercise 2.6) tells us that the resultant of H(X) and Gm(X) is
II
II
Res(H(X), Gm(X)) = m2degH
H(()
Gm()=O
= m2degH
Fm(( / 2- 1
Gm()=O
Res(Fm(X),Gm(X))
R2~1
Hence in order to show that has good reduction, it suffices to prove that
Res(H(X), Gm(X)) E R*.

Let K' = K (E[m]) be the field extension obtained by adjoining the coordinates of the points of order m to K, let R' be the ring of integers of K', let 1"
be the maximal ideal in R', and let k' = R' /1" be the residue field of R'. The extension K' / K is unramified, because we have assumed that E has good reduction
and m.e is a unit in R; see Corollary 6.33.
Note that H(X) and Gm(X) factor completely in K', and in fact their roots
are in R'. This is clear for Gm(X), since its roots are the x-coordinates of the points
in E[m] and its leading coefficient is m2, which is a unit in R. We now analyze H(X)
more closely.
Claim 6.56. The roots of H(X) are given by

{roots of H(X)}
= x(E[m] "E[m])
R'.
ProofofClaim. The roots of H(X) are the solutions to
for some Q E E[].

Writing a root of H(X) as x(P) for some PEE, this means that
x([m]P)
Fm(x(P))
Gm(x(P))
x(Q),
364
and hence [m]P = Q. But Q E E[], so P E E[m]. This shows that the roots
of H(X) are contained in x(E[m]). Further, if P E E[m], then Gm(x(P)) = 0
and Fm(x(P)) i- 0, so
e2
H(x(P)) = Fm(x(P)) -
i- O.
This gives the inclusion

{roots of H(X)}
c x (E[m] "E[m]).
The other inclusion is clear from the definition of H(X), since
E[m] "E[m]
=?
[m]P E E[]
<,
{O}.
Thus x(P) is a root of Fm(X) - x([m]P)Gm(X), which is one of the factors in the
product defining H(X).
Finally, we note that K' contains the x-coordinates of the points in E[m] by
construction. Further, these x-coordinates are the roots of the polynomial Fme(X) E
R[X] whose leading coefficient is m 2 2 E R*, so the roots are integral over R, hence
are in R'.
D
We now resume the proof of Proposition 6.55. We assume that the resultant
Res (H (X), G m (X)) is not a unit in R and derive a contradiction. This assumption means that H(X) and Gm(X) have a common root modulo p', so we can
find Xl, X2 E R' such that
and
Xl
==
X2
(mod p').
From our description of the roots of H(X) and Gm(X), this means that we can find
points
PI E
E[m] "E[m]
and
P2
E[m] ,,{O}
satisfying
PI
== P2 (mod p").
(In principle, we might get PI == - P2 , but if that happens, then just replace P2
by - P2 .) Since clearly PI i- P2 , this proves that the reduction modulo p' map
E(K') ~ E(k')
is not injective on E[m]. This is a contradiction, since Theorem 6.32 tells us that
the prime-to-p torsion injects on elliptic curves having good reduction.
D
6.6
Rigid Lattes Maps
In general, a Lattes map : jp'I
--+
jp'I
is defined via the commutativity of a diagram
E~E
(6.36)
6.6. Rigid Lattes Maps
365
where 'lj; is a morphism of degree d 2': 2 and 1r is a finite separable map. Every morphism of an elliptic curve to itself is the composition of an endomorphism and a translation (Remark 6.19), so 'lj; has the form 'lj;(P) = a(P) + T for
some a E End(E) and some TEE. However, it turns out that the commutativity
of (6.36) puts additional constraints on , 'lj;, and 1r. More precisely, it forces the existence of a similar diagram in which 1r has a special form. We state this important
result and refer the reader to [300] for the analytic proof.
Theorem 6.57. Let K be afield ofcharacteristic 0 and let be a Lattes map defined
over K. Then there exists a commutative diagram of the form (6.36) such that the
map 1r has the form
1r :
----+
for some nontrivialfinite subgroup I'
Elf ~
jp'l
Aut(E).
Proof For a proof over C, see [300, Theorem 3.1]. The general case for character0
istic-Ofields follows by the Lefschetz principle, cf. [410, VI 6].
Definition. Let be a Lattes map. A reduced Lattes diagram for is a commutative
diagram of the form
E
(6.37)
E If ~
jp'l
jp'l
~ Elf
Theorem 6.57 says that every Lattes map fits into a reduced Lattes diagram.
Corollary 6.58. Let be a Lattes map given by a reduced diagram (6.37). Then the
point 'lj;( 0) is fixed by every element of I', so in particular, 'lj;( 0) E E tars .
Iffurther j (E) =I- 0 and j (E) =I- 1728, then
f = J.L2'
deg 1r = 2,
and
'lj;( 0) E E[2].
Proof We defer the proof that 'lj;( 0) is fixed by every ~ E I' until Proposition 6.77(b), where we prove it in a much more general setting. (Cf. the proof for
flexible Lattes maps in Proposition 6.51(b).) To see that 'lj;(0) is a torsion point,
let ~ E T be a nontrivial element off. Then ~('lj;(0)) = 'lj;(0), so applying Theorem 6.22 to the isogeny ~ - 1, we find that
[deg(~ -l)J ('lj;(0)) = ( 0 ) 0 (~-1)('lj;(0)) = O.

For the final statement of the corollary, we note that if j(E) is not equal
to 0 or 1728, then Proposition 6.26 tells us that Aut(E) = J.L2' Hence f =
J.L2 and deg 1r = 2. Further, since 'lj;( 0) is fixed by every element of I', we
have [-1]'lj;(0) = 7/;(0), so [2]7/;(0) = O.
0
366
Remark 6.59. The proof of Theorem 6.57 in [300] actually shows something a bit
stronger. Suppose that is a Lattes map fitting into the commutative diagram (6.36).
It need not be true that the map 7T : E - t p I is of the form E - t Elr, i.e., the given
diagram need not be reduced , and indeed the map 7T may have arbitrarily large degree.
However, what is true is that there are an elliptic curve E' , an isogeny E - t E' , and
a finite subgroup I" c Aut (E' ) such that 7T factors as
E ~ E' ~ E' /r
9'! pl.
Further, this factorization is essentially unique . See [300, Remark 3.3].
Remark 6.60. The proof of Theorem 6.57 is analytic and does not readily generalize
to characteristic p. A full description of Lattes maps in characteristic pis still lacking.
Aside from the curves having j-invariant 0 or 1728, every Lattes map has
and deg n = 2, so after a change of coordinates, the projection 7T : E - t pI is 7T(X, y) = x. For simplicity, we will concentrate on this situation,
although we note that the two special cases with Aut(E) = /-L4 and Aut(E) = /-L6
have attracted much attention over the years for their interesting geometric, dynamical, and arithmetic properties.
Our next task is to describe the periodic points of (rigid) Lattes maps and to
compute their multipliers.
r = /-L2 = Aut(E)
Proposition 6.61. Let : pi - t pI be a Lanes map and fix a reduced Lottes

diagram (6.37) for . We assume that j(E) -:j:. 0 and j (E ) -:j:. 1728. Wefurther
assume that 7jJ is an isogeny, i.e., with our usual notation 7jJ (P ) = [a](P ) + T, we
are assuming that T = CJ. (See Exercise 6.24 for the other cases.)
(a) The set offixed points of is given by
Fi x ( ) = 7T(E[a + 1] U E[a -1]).
(6.38)
(b) The intersection satisfies
E[a + 1]
n E[a
- 1] C E[2].
If deg(a-I) is odd, then the intersection is O.

(c) Let 7T(P) E Fix(). The multiplier of at 7T(P) is
if P E E[a - 1] and P rf. E[a + 1],

if P E E[a + 1] and P rf. E[a - 1],
if P E E [a + 1] n E [a - 1].
(6.39)
Proof (a) We have 7T(P ) E Fix( ) ifand only if
7T(P ) = (7T(P) ) = 7T(1jJ(P)) .

Our assumption on j (E ) means that r = Aut(E) = /-L2' so 7T(P ) is fixed by if
and only if 1jJ (P ) = P. Since we are also assuming that 1jJ (P ) = [a](P ), this is the
desired result.
6.6. Rigid Lattes Maps
367
(b) Let P E E[a: - 1] n E[a: + 1]. Adding [a: - l](P) = 0 to [a: + l](P) = 0
yields [2]P = 0, so P E E[2].
To ease notation, let m = deg(a: - 1). Then using Theorem 6.22, we find that
[m](P) = [c;=-r] 0 [a: - l](P) = [c;=-r](0) = 0,

so P E E[m]. Hence P E E[2] n E[m]' so ifm is odd, then P = O.
(c) The proof is identical to the proof of Proposition 6.52. The only difference is
that'ljJ = [a:] may no longer be multiplication by an integer, but we still have the key
formula
'ljJ*(w)
[a:]*(w)
a:w
giving the effect of'ljJ on the invariant differential w of E. Using this relation in place
offormula (6.29) used in proving Proposition 6.52 and tracing through the argument
yields the desired result.
D
We recall from Section 4.5 that O";n) () denotes the i th symmetric polynomial
of the multipliers of the points in Per n ( ), taken with appropriate multiplicities.
For d ~ 2 and each N ~ 1, we write
(6.40)
for the map defined using all of the functions O";n) with 1 :::; n :::; N. McMullen's
Theorem 4.53 says that for sufficiently large N, the map a d,N is finite-to-one away
from the locus of the flexible Lattes maps. As noted by McMullen in his paper and
stated in Theorem 4.54, rigid Lanes maps can be used to prove that U d,N has large
degree. For the convenience of the reader, we restate the theorem before giving the
proof.
Theorem 6.62. Define the degreeOfO"d,N to be the number ofpoints in O"d,}Y(P)for
a generic point P in the image U d,N(Md). One can show that the degree of U d,N
stabilizes as N ----; 00. We write deg(ud)for this value. Thenfor every E > 0 there is
a constant OE such that
for all d.
In particular, the multiplierspectrum ofa rationalfunction E Rat., determines the
conjugacy class of only up to DE (d~ -E) possibilities.
Proof We prove the theorem in the case that d is square free and leave the general
case for the reader.
Let F = Q( R), let R F be the ring of integers of F, and let 01, ... , 0h be
fractional ideals of F representing the distinct ideal classes of R F . Consider the
elliptic curves E 1 , ... , E h whose complex points are given by
1:::; i
Each E, has End(R i )
9;!
:::; h.
R F (Proposition 6.40), and we normalize an isomorphism
368
6. DynamicsAssociated to Algebraic Groups
as described in Proposition 6.36. We fix a Weierstrass equation for each E, and we

define a Lattes map cPi by
cPi 0 X = X 0 [yCd].
Then deg(cPi) = d from Proposition 6.39, and Proposition 6.61 tells us that the
multipliers of cPi are given by (6.39). In particular, they are the same for every cPi'
i.e., the set of maps {cPl' ... , cPh} is isospectral, so we see that
Next we observe that cPl' ... ,cPh give distinct points in M d , because Proposition 6.40 says that E 1 , ... , Eh are pairwise nonisomorphic, and then Theorem 6.46
tells us that cPl' ... ,cPh are pairwise nonconjugate. This proves that (J"d,N is generically at least h-to-l, where h is the class number of the ring of integers of Q ( yCd).
(Note that the cPi are not flexible Lattes maps, and McMullen's Theorem 4.53 tells
us that a d,N is finite-to-one away from the flexible Lattes locus.)
To complete the proof we need an estimate for this class number. Such an estimate is given by the Brauer-Siegel theorem [258, Chapter XVI], which for quadratic
imaginary fields says that
lim
d---HXJ
d squarefree
log (class number of Q( yCd ))
logd
(Note that this is where we use the assumption that d is squarefree, since it implies
that the discriminant of Q(R) is equal to either d or 4d.) In particular, the class
number is larger than d 1j 2 --- E for all sufficiently large squarefree d, which completes
the proof of Theorem 6.62 for squarefree d.
In the general case, there are two ways to proceed. The first, which is sketched in
Exercise 6.25, is to find a quadratic imaginary field F whose discriminant is O(d 1 --- E )
and whose ring of integers contains an element of norm d. The second is to write d =
ab2 with a squarefree and use elliptic curves whose endomorphism rings are isomorphic to the order R b = Z + bRF in the field F = Q( v=a). The class number of Rb
is equal to hFb times a small correction factor; see [399, Exercise 4.12].
D
6.7
Uniform Bounds for Lattes Maps
A fundamental conjecture in arithmetic dynamics asserts that there is a constant

C = C(d, D) such that for all number fields K/Q of degree D and all rational
maps cP(z) E K(z) of degree d ~ 2, the number of K-rational preperiodic points
of cP satisfies
# PrePer(cP, ]P'l(K)) < C(d, D).
(See Conjecture 3.15 on page 96.) Aside from monomials and Chebyshev polynomials, the only nontrivial family of rational maps for which Conjecture 3.15 is known
6.7. Uniform Bounds for Lattes Maps
369
is the collection of Lattes maps. The proof uses the following deep theorem, whose
demonstration is unfortunately far beyond the scope of this book.
Theorem 6.63. (Mazur-Kamienny-Merel) For all integers D 2: 1 there is a constant B(D) such that for all number fields K/Q ofdegree at most D and all elliptic
curves E / K we have
#E(K)tors < B(D).

Discussion. This deep result was first proven by Mazur [292] for K = Q, then
by Kamienny [225] for [K : Q] = 2, and then was extended to various specific
larger degrees before the proof was completed for all degrees by Merel [297]. The
proof uses the theory of modular curves and Jacobians, which do have counterparts
in arithmetic dynamics (cf. Sections 4.2--4.6). However, the proof also relies in a
fundamental way on the fact that E is a group, and hence that there exist a large
number of commuting maps E ---> E. This is in marked contrast to the situation
for a general rational map rjJ : jp'l ---> jp'l, for which only the iterates of rjJ commute
with rjJ. The inclusion Z c End(E) leads to the existence of Heeke correspondences
on elliptic modular curves, and these correspondences provide an essential tool in
the proof of Theorem 6.63. Unfortunately, there does not appear to be an analogous
theory of correspondences for the dynamical modular curves and varieties attached
D
to non-Lattes maps on jp'l.
Corollary 6.64. For all integers n
curves E / K we have
#(
>
1, all number fields K/Q, and all elliptic
U E(L)tors)::; B(n[K : Q])3,
(6.41 )
[L:K]:Sn
where B(D) is the constant appearing in Theorem 6.63.

Proof To ease notation, we let D = [K : Q]. Every field L appearing in the union
in (6.41) satisfies
[L : Q] = [L : K][K : Q] < nD,
so Theorem 6.63 tells us that #E(L)tors ::; B(nD). In particular, E(L) contains
no points of order strictly larger than B(nD). This is true for every such L, so we
conclude that
U E(L)tors C
[L:K]:Sn
E[b].
l:Sb:SB(nD)
Then using #E[b] = b2 yields
#(
U E(L)tors)::; L
[L:K]:'On
l:'Ob:'OB(nD)
#E[b] =
L
l:'Ob:'OB(nD)
b2
::;
B(nD)3.
370
We now use Theorem 6.63 to prove uniform boundedness of preperiodic points

for Lattes maps. This bound is in fact independent of the degree of the Lanes map ,
which may be surprising at first glance. However, it is easily explained by the fact
that Lanes maps associated to the same elliptic curve all commute with one another,
so they have identical sets of preperiodic points.
Theorem 6.65. Let D 2: 1 be an integer. There is a constant C(D) such that for all
numberfields K /Q ofdegree D and all Lottes maps : pI -+ pI defined over K we
have
#PrePer(,pI(K))::; C(D).
Proof Without loss of generality we fix a reduced Lanes diagram (6.37) for .
Then Proposition 6.26 says that the projection map 7r : E -+ pI has degree at
most 6, and indeed if j (E) i- 0 and j (E) i- 1728, then deg( 7r) = 2.
Proposition 6.44 tells us that
PrePer(,pI)
= 7r(Etors),
so the fact that deg( 7r) ::; 6 yields

PrePer(,pI(K)) C
7r(E(L)tors).
(6.42)
[L:K]::;6
Corollary 6.64 says that the set on the righthand side of (6.42) has size bounded
D
solely in terms of D, hence the same is true of # PrePer(, pl (K)).
Example 6.66. The rational map
x4
a,b(X) =
2ax 2 - 8bx + a 2
4x3 + 4ax + 4b
is the Lattes map associated to multiplication-by-2 on the elliptic curve
Ea,b : y2 = x 3 + ax + b.
The j-invariant and discriminant of Ea,b are given by the usual formulas
j(Ea ) = 1728 4a 3
4a 3
+ 27b2
and
Theorem 6.65 tells us that # PrePer( a,b, pI (K)) is bounded solely in terms of the
degree d = [K : Q]. In general, the best known bounds are exponential in d, but
if j (Ea,b) is an algebraic integer, then much stronger bounds can be proven as in the
following result.
Theorem 6.67. Let K be a number field of degree D 2: 2, let E / K be an elliptic

curve whose j-invariant is an algebraic integer, and let be a Lattes map associated
to E. Then there is an absolute constant c such that
371
Proof. The assumption that the elliptic curve E has integral j-invariant means that it
has everywhere potential good reduction. Replacing K by an extension of bounded

degree, we may assume that E has everywhere good reduction. (In fact, it suffices
to go to the field K(E[3J), a field of degree at most 48 over K.) Then a result of
Hindry-Silverman [204] impliesa bound slightly strongerthan
#E(K )tors ~ 22 1 D log D.

Finally, we note that as in the proof of Corollary 6.64, a bound for E( K)tors of the
form #E(K)tors ~ B ([K : QJ) for all numberfields K impliesa bound of the form
U E(L)tors) < B(n[K : QJ) 3.
#(
[L:K) :=; n
Hence as in the proof of Theorem6.65 we have
PrePer(,lP'l(K)) C
7r(E(L)tors) ~ c(D log D)3
[L :K ]:=; 6
for an absolute constantc.
Theorem 6.65 proves uniformity for rational preperiodic points of Lattes maps.
In the other direction,recall that we proved(Theorem3.43) that the orbitsof rational
wandering points contain only finitely many integersexcept in a few preciselyspecified situations. In particular, Lattes orbits contain only finitely many integer points,
since Lattes maps are not polynomial maps. Using deep results from the theory of
elliptic curves, it is possible to obtain strong uniformityestimates for the number of
integerpoints lying in Lattes orbits.
For simplicity we state results over Q and Z, but we note that an appropriately
formulated versionis true for rings of S-integers in numberfields.
Definition. Let E /Q be an elliptic curve. Recall that a global minimal Weierstrass
equation for E is a Weierstrass equationthat is simultaneously minimalat all primes
(Remark 6.30). We define a quasiminimal Weierstrass equation for E /Q to be an
equation of the form
E : y2
= x 3 + ax + b,
a,b E Z,
(6.43)
such that 14a3 + 27b2 j is as small as possible. Equivalently, the equation (6.43) is
quasiminimal ifthere are no primes p such that p4ja and p6lb.
Remark 6.68. Givenan arbitrary Weierstrass equation
E : y 2 = x3
+ ax + b,
a.b E Z,
it is easy to create a quasiminimal equation. Simply let u be the largest integer such
that U 12 divides gcd(a3 , b2 ) , and then
372
is a quasiminimal equation for E /Q. Elliptic curves over Q have global minimal
Weierstrass equations, see Remark 6.30, and it is not hard to show that a quasiminimal equation is minimal at every prime p ::::: 5, and that it is almost minimal at 2
and 3; see Exercise 6.26.
The following theorem is a conditional resolution of a conjecture of Lang [254,
page 140].
Theorem 6.69. (Hindry-Silverman) Let E /Q be an elliptic curve given by a quasiminimal Weierstrass equation and let E(Z) be the set of points in E(Q) having
integer coordinates. Also let v(E) be the number ofprimes dividing the denominator
ofthe j-invariant of E.
(a) There is an absolute constant C such that for any subgroup r c E(Q),
# (r n E(Z)) < cv(E)+rankr.

(b)
If the "ABC conjecture" is true.' then there is an absolute constant C such that
for any subgroup r c E(Q),
# (r n E(Z)) < c
rankr.
Proof The proof of (a) is given in [407] and the proof of (b) is in [202].
We can use Theorem 6.69 to prove a uniform bound for integer points in orbits
of flexible Lattes maps (cf. Conjecture 3.47).
Theorem 6.70. Let E / Q be an elliptic curve given by a Weierstrass equation with

integer coefficients, let m ::::: 2 be an integer, and let (z) E Q(z) be the Lattes map
satisfying
for all PEE.
(x(P)) = x([m]P)
Assume further that is affine minimal in the sense that
Res() =
min
Res(!).
(6.44)
!EPGL2(iQ)
!(z)=az+b
(See page 112 for the definition ofthe resultant Res() ofa rational map.) Thus the
assumption (6.44) says that we cannot reduce the resultant of by conjugation by an
affine linear transformation j(z) = az + b. Let ( E Q and consider the orbit O(()
of( by .
(a) There is an absolute constant C such that
where v( E) is the number ofprimes dividing the denominator ofthe j-invariant
ofE.
2The ABC conjecture of Masser and Oesterle says that if A, B, C
integers satisfying A + B = C, then C TIplABC pH.
> 0 are pairwise relatively prime
(b)
373
If the ABC conjecture
is true, then the number of integer po ints in 0 4> (() is

bounded by an absolute constant independent ofE and (.
Proof Write the given Weierstrass equation for E as

with a , b Z .
We begin by showing that the minimality assumption (6.44) implies that there are no
primes p with p21a and p3lb. The rational function (x ) = F (x )/G (x ) is associated
to the rnultiplication-by-rn map, so it is given by polynomials
F (a,b;x ),G(a,b ;x ) E Z [a , b,x]

that are weighted homogeneous in the sense that
For example, if m = 2, then
(x ) = x
2
2
2ax - 8bx + a
4x 3 + 4ax + 4b
Hence ifp2 a andp3 lb, then conjugating (x ) by f (x ) = px yields

1
f (x ) =p_1F(a,b;px )
G(a, b;px )
= F (p- 2a ,p- 3b;X) .

G(p- 2a, p- 3b;x )
The assumption that p2ja and p31b implies that these polynomials have integer coefficients, and then homogeneity yields
Res(f ) = Res(F(p- 2a , p- 3b;x), G(p-2 a , p- 3b;x ))

2
2_1
= p_ m (m
) Res(F(a ,b;x) ,G(a,b ;x))
= p_m (m _ 1) Res ( ).
This contradicts (6.44), so we have proven that there are no primes p satisfying p 2 1a
andp 3 lb.
We would like to apply Theorem 6.69 to the rank-I subgroup generated by a
point P = ((, TJ) of E lying above (. Unfortunately, although ( E Q, there is no
reason that TJ need be rational. So it is necessary to move to a twist of E.
We are given a point ( E Q and we choose a point P = (( , TJ ) E E lying above (.
We do not assume that TJ =
(3 + a( + b is rational. We write
then we factor
with u 1 squarefree,
and consider the elliptic curve
374
(6.45)
(In the terminology of Section 4.7, E' is a twist of E; cf. Example 4.71.) Notice that
the point
P{ = (UIXI,uiv l) E E'(iQ!)
is a point of E' having integer coordinates.
We claim that the Weierstrass equation (6.45) for E' is quasiminimal. To prove
this claim, let p be any prime. We showed earlier that either
or
Since
UI
ordp(b) < 3.
is squarefree by construction, it follows that either

or
which shows that the Weierstrass equation (6.45) is quasiminimal.

This means that we can apply Theorem 6.69 to E' and the rank-l subgroup generated by P' to conclude that
#{ n 2:
1 : [n]P' E E'(Z)} :S
ClI(E')+I.
(6.46)
Further, if the ABC conjecture is true, then the upper bound may be replaced by C.
The two elliptic curves E and E' are isomorphic, although the isomorphism is
defined only over iQ! (JUl). This isomorphism, which we denote by F, is given
explicitly by
E : y2 = x 3 + ax
(x,y)
+b
In particular, j(E) = j(E'), so v(E) = v(E').

In order to relate integers in Oq'>(() to integer points in E' (iQ!), we write
and
P~ = [n]P{ = (x~, y~).
Since the isomorphism F respects multiplication by n, we have
In particular, since P{ E E' (iQ!), itfollows that[n]P{ = P~ E E'(iQ!), so F maps the

multiples of PI, which, note, are not in E(iQ!), to points in E'(iQ!). Further, if X n E Z,
then it is clear from the definition of F that x~ = UIX n E Z, and hence y~ is also
in Z, since we just showed that y~ is in iQ! and the equation of E' shows that y~ is
the square root of an integer.
To summarize, we have proven that
Xn
=}
P~ =
F(Pn ) E E'(Z).
(6.47)
6.8. Affine Morphisms and Commuting Families
375
= x([mk]p ) = Xmk, and hence
By con struction we have qi (()
#(()<t>(p)nz) = #{ k ?O : Xmk EZ }
< # { k ? 0 : P;"k E E'(Z)}
from (6.47),
:s: #{n ? 0 : P~ E E' (Z )}

< cv (E' )+l
from (6.46),
= cv (E )+l
since E and E' are isomorphic.
Further, if the ABC conjecture is true, then we may replace the upper bound by C.
o
Remark 6.71. We note that something like the affine minimality of is necessary in
the statement of Theorem 6.70 . Indeed, without some kind ofminimality condition,
we saw in Proposition 3.46 that we can make # (() (() n Z ) arbitrarily large by
replacing (z) with B(B- l z) . This conjugation has the effect of multiplying every
point in the orbit by B, hence allow s us to clear an arbitrary number of denominators.
Remark 6.72 . Continuing with notation from the statement of Theorem 6.70, we
note that there is a cutoff value ko such that
k(() E Z
for
O :S: k
:s: k o
and
k(( ) :c Z
for
> k o.
This reflects the more general fact that if x( [n] P) E Z and if r ln, then x( [r]P) E Z
([4 10, Exerc ise 9.12]). Note that no such cutoff statement holds for general rational
maps that are not non-Lattes map s.
6.8
Affine Morphisms, Algebraic Groups, and

Commuting Families of Rational Maps
Power maps and Chebyshev maps are attached to endomorphisms of the multiplicative group lG m and its quotient lG m I {z = z - l }, and similarly Lanes maps are
attached to maps of quotients of elliptic curves. In this section we put these constructions into a general context and state a classical theorem on commutativity of
one-variable rational maps.
Definition. Let G be a commutative algebraic group. An affine morphism of G is

the composition of a finite endomorphism of degree at least 2 and a translation.
Remark 6.73. The reason for this terminology is as follows. Let G Ie be a connected
commutative algebraic group of dimension g. Then its universal cover is e 9 and
every affine morphism 'ljJ : G --+ G lifts to an affine map 9 --+ 9 , i.e., there are a
matrix A and vector a such that the following diagram commutes:
e9
z ....... A z + a )
e9
376
Example 6.74. Every affine morphism of the multiplicative group G m has the form
'ljJ(z) = az d for some nonzero a and some dE Z. More generally, for any commutative group G, any a E G, and any dE Z there is an affine morphism 'ljJ(z) = az",
Notice that it is easy to compute the iterates of this map,
Proposition 6.75. Let ib : G ----7 G be an affine morphism ofan algebraic group G,

so 'ljJ has theform 'ljJ(z) = a a(z)for some a E End(G) and some a E G.
(a) The endomorphism a and translation a are uniquely determined by 'ljJ.
(b) Let a and a be as in (a). Then the iterates of i] have the form
Proof The definition of affine morphism tells us that there are an element a E G
and an endomorphism a of G such that the map 'ljJ has the form 'ljJ(z) = aa(z).
Evaluating at the identity element e E G yields 'ljJ(e) = aa(e) = a, so a is uniquely
determined by 'ljJ. Then a(z) = a-I'ljJ(z) is also uniquely determined by 'ljJ. This
proves (a). The proof of (b) is an easy induction, using the commutativity of G and
0
the fact that a is a homomorphism.
Definition. A self-morphism of an algebraic variety : V ----7 V is dynamically

affine if it is a finite quotient of an affine morphism. What we mean by this is that
there are a connected commutative algebraic group G, an affine morphism 'ljJ : G ----7
G, a finite subgroup I' c Aut (G), and a morphism G If ----7 V that identifies G If
with a Zariski dense open subset of V (possibly all of V) such that the following
diagram is commutative:
G
7jJ
------7
1
cit
------7
ott
(6.48)
1
1
q,
------7
Example 6.76. Examples of dynamically affine rational maps : pI ----7 pI include

the power maps ( z) = z" with G = Gm and I' = {I}, the Chebyshev polynomials Tn(z) with G = G m and I' = {z, Z-I}, and Lattes maps with G an elliptic
curve E and f a nontrivial subgroup of Aut(E).
Proposition 6.77. Let : V
----7 V be a dynamically affine map and let 'ljJ : G ----7 G

and I' c Aut( G) be the associated quantities fitting into the commutative diagram (6.48).
(a) For every ~ E I' there exists a unique E I' with the property that 'ljJo~ = o'ljJ.
(b) Write'ljJ(z) = a . a(z) with a E G and a E End(G) as in Proposition 6.75.
Then ~(a) = afor every ~ E f.
377
(c) Assume that #f ::::: 2 and that C is simple. (An algebraic group is simple if its
only connected algebraic subgroups are {I} and C.) Then a E C tars, i.e., the
translation used to define 'Ij; is translation by a point offinite order.
Proof (a) The uniqueness is clear, since if'lj; 0 ~ = 6 o'lj; = 6 0 sb, then 6 = 6
because the finite map 'Ij; : C ----+ C is surjective.
We now prove the existence. The commutativity of (6.48) tells us that for all z E
C and all ~ E I',
(n
'Ij; 0 O(z) = ( 0 n
~)(z) =
( 0 n)(z) = (n 0 'Ij;)(z).
Thus ('Ij;o~)(z) and 'Ij;(z) have the same imagefor the projection map n : C ----+ C If,
so there is an automorphism
E f satisfying
'Ij;(~(z))
= (('Ij;(z)).
e,
We claim that the automorphism

which a priori might depend on both ~ and z,
is in fact independent of z. To see this we fix ~ and write 'Ij; (~( z)) = ~~ ( 'Ij; (z)) to
indicate the possible dependence of on z. In this way we obtain a map (of sets)
------t
I',
Since I' is finite, there exists some C E f such that ~~ = C for a Zariski dense
subset of z E C. (Note that a variety cannot be a finite union of Zariski closed proper
subsets.) It follows that 'Ij; 0 ~ is equal to Co 'Ij; on a Zariski dense subset of C, and
hence they are equal on all of C.
(b) From (a) we see that there is a permutation off defined by the rule
T :
I'
------t
I',
Evaluating both sides of'lj; 0 ~ = T(~) o'lj; at the identity element 1 E C and using
the fact that ~(1) = 1 and 'Ij;(1) = a a(l) = a, we find that
a = 'Ij;(~(1)) = T(O('Ij;(l)) = T(O(a).

But T is a permutation of I', so as ~ runs over I', so does T (0. Hence a is fixed by
every element off.
(c) From (b) and the assumption that #f ::::: 2, there exists a nontrivial ~ E I'
with ~(a) = a. It follows that a is in the kernel of the endomorphism
------t
C,
The kernel is not all of C, since ~ is not the identity map, so the simplicity of C tells
0
us that the kernel is a finite subgroup of C. Hence a has finite order.
Remark 6.78. In this book we are primarily interested in dynamically affine maps
of pI, but higher-dimensional analogues, especially of Lanes maps, have also been
studied. See for example [68, 134, 145,439].
378
The commutativity of (6.48) implies that deg() = deg(7jJ). It follows that all
dynamically affine maps for the additive group G a have degree 1, since every affine
morphism ofG a has the form 7jJ(z) = az + b. Hence nonlinear dynamically affine
maps on pI are attached to either the multiplicative group G m or to an elliptic curve,
since these are the only other algebraic groups of dimension 1.
We note that over a field of characteristic 0, the endomorphism ring End(G)
of a one-dimensional algebraic group G is commutative.' More precisely, the multiplicative group has endomorphism ring End(G m ) = Z, and the endomorphism
ring End(E) of an elliptic curve E is either Z or an order in a quadratic imaginary
field. The commutativity of End( G) means that dynamically affine maps commute
with many other maps. An appropriately formulated converse of this statement is a
classical theorem of Ritt.
Theorem 6.79. (Ritt and Eremenko) Let , 7jJ E q z) be rational maps ofdegree at
least 2 with the property that 0 7jJ = 7jJ 0 . Then one ofthe following two conditions
is true:
(a) There are integers m, n 2: 1 such that n = ib":
(b) Both and 7jJ are dynamically affine maps, hence they are either power maps,
Chebyshev polynomials, or Lottes maps.
In all cases, the commuting maps and 7jJ satisfy
F()
= F(7jJ),
:J() = :J(7jJ),
and
PrePer() = PrePer( 7jJ).
Proof The first part of the theorem, in somewhat different language, is due to
Ritt [371]. See Eremenko's paper [152] for a proof of both parts of the theorem
and some additional geometric dynamical properties shared by commuting and 7jJ.
A higher-dimensional analogue is discussed in [135]. We remark that the equality
PrePer() = PrePer( 7jJ) is a formal consequence of the commutativity of and 7jJ
and the fact that the preperiodic points of a nonlinear rational map are isolated; see
Exercise 1.15.
D
Although we do not give a proof of Ritt's theorem, we conclude this section by

proving the easier statement that only polynomial maps can commute with polynomial maps. This result was used in our description of the rational maps commuting
with the Chebyshev polynomials (Theorem 6.9).
Theorem 6.80. Let K be afield, let (z) E K[z] be a polynomial ofdegree d 2: 2,
and let 7jJ(z) E K(z) be a nonconstant rational map. We assume that both and 7jJ
are separable, i.e., neither ofthe derivatives ' (z) and 7jJ' (z) is identically O. Suppose
further that and 7jJ commute under composition, 0 7jJ = 7jJ 0 . Then one of the
following is true:
(a) 7jJ(z) E K[z], i.e., 7jJ is also apolynomial.
3Evenin characteristicp, most elliptic curves have commutative endomorphism ring. However, there
are a finitenumberof ellipticcurveswhoseendomorphism ring is a maximalorder in a quatemionalgebra.
These supersingular curves are all definedover IFp2. See [410, V 3].
379
(b) After simultaneous conjugation by an affine map f (z)

z + (3. the polynomial (z) has the form (z) = azd and the rational map 'ljJ(z) has the
form 'ljJ(z) = bz" for some r < O.
Proof The proof is an application of ramification theory and the Riemann-Hurwitz

formula (Theorem 1.1). By assumption, the map is a polynomial, so 00 is a totally
ramified fixed point of . Suppose that 'ljJ(z) is not a polynomial. This means that we
can find a point a E 'ljJ-l(00) with a=/=- 00. We use the commutativity of and 'ljJ to
compute
ea(n
'ljJ)
= ea('ljJ)
n-l
rr eqhj;(a)() = ea('ljJ)eoo(t = ea('ljJ)dn
i=O
(6.49)
II
ea('ljJ
Hence
n) =
Cg
ei(a)()) en(a) ('ljJ).
nrr-l ei(a)() __
i=O
ea('ljJ) > _1_

en (a) ('ljJ) - deg 'ljJ
for all n :::: 1.
(6.50)
Every ramification index ei(a) () is an integer between 1 and d, so letting n --+

00, we see that ei(a)() = d for all sufficiently large i. On the other hand, is
a polynomial and a =/=- 00, so i (a) =/=- 00 for all i. Hence there is at least one
point (3 =/=- 00 with e{3 () = d. The Riemann-Hurwitz formula then implies that (3
and 00 are the only two points at which is ramified. It follows that i (a) = (3 for
all sufficiently large i, which implies that ((3) = (3. In other words, (3 and 00 are
both totally ramified fixed points of , i.e.,
(6.51 )
and
and has no other ramification points. In particular, since by construction we

have i(a) = (3 for some i, it follows that a = (3. But a =/=-00 was an arbitrary
point in 'ljJ-l(00), so we have also proven that 'ljJ-l(00) C {(3, oo}.
Next let, E 'ljJ-l((3). We use the fact that i'ljJ(r) = (3 and ee () = d to repeat
the calculation (6.49) with a replaced by v. This again leads to the inequality (6.50),
but with, in place of a, and hence to the conclusion that is totally ramified at
some iterate i (,). It follows that i (,) E {(3, 00} for some i, and hence from (6.51)
that, E {(3,00}.
We have now proven that
'ljJ-l({(3,OO}) C {(3,00}.
Thus 'ljJ is totally ramified at (3 and 00, and since 'ljJ((3) =/=- 00 by assumption, the
map 'ljJ must switch (3 and 00. Since we also know that (3 and 00 are totally ramified
fixed points of , it follows that and 'ljJ have the form
(z) = (3 + a(z - (3)d

Then conjugation by f(z)
and
'ljJ(z) = (3 + b(z - (3y
= z + (3 puts them into the desired
for some r
form.
< O.
D
380
Exercises
Exercises
Section 6.1. Power Maps and the Multiplicative Group
6.1.
(a)
(b)
(c)
Let K be a field of positivecharacteristic p.

Let Mp(z) = z", Prove that the automorphism group of Mp over K equals PGL 2(lFp ) .
More generally, if q is a power of p, prove that Aut(Mq ) = PGL2(lFq).
Again let q be a power of p, and let d be an integerwith p f d. Describe Aut(Mq d ) .
6.2. Let K be an algebraically closed field, let d E Z, and let a E K*. Further, if K has
positive characteristic p, assume that p f d. Describe all rational functions (z) E K (z) that
commutewith az d under composition.
6.3. ** Let Md(z) = zd be a power map for some Idl 2: 2, and if K has positivecharacteristic p, assume that p f d. Example6.5 describestwo types of twists of Md(Z). The first type has
the form a(Z) = az d and the second type 'l/Jb(Z) is given by the complicatedformula (6.1).
Does Md(z) have any other twists? If so, describe all of the twists of Md(z).
Section 6.2. Chebyshev Polynomials
6.4. Completethe proof of Proposition6.6(e) by verifyingthe identity

1
[( d+ 1) (d + 1 - k) + d(d + 1 - k)] = d+ 2 (d + 2 - k) .
d+l-k
k
k-l
d+2-k k
6.5. Let Td(w) be the dth Chebyshevpolynomial for some d 2: 2.

(a) Prove that the fixed points ofTd( w) are as describedin Proposition6.8(a).
(b) Prove that the multipliers of Td(W) at its fixed points are as described in Proposition 6.8(b).
(Hint. For (a) use the trigonometric identity
cos(A) _ cos(B) = sin ( B ; A) sin ( B ; A) ,
and for (b) differentiate Td(z
+ z ~ 1) = Zd + Z-d
/
Zd - Z-d
-1
Td(z
to obtain the identity
+Z )=d z _
Z-1 .)
6.6. Proposition 6.8 describes the multipliers of the fixed points of the Chebyshev polynomial Td(w). Prove directly that the multipliers satisfy the summation formula described in
Theorem 1.14,
(EFix(Td)
= 1.
1
1-
ATd (()
6.7. Let K be a field of characteristic p 2: 3, let n 2: 1 be an integer with p f n, and

let I-t n C K* be the nth roots of unity. There is no "cosine function" for tile field K, but we
can define a set of cosine values by
Cos.,
a + a2
{
We also let 2 Cos; = {2( : ( E Cosn } .

Let d 2: 2 be an integer with p f d(d2
mial.
: a E I-t n
1) and let Td(w) be the a;h Chebyshevpolyno-
381
Exercises
(a) Prove that
Fix(Td)
= 2 COSd+l U2 COSd-1 .
Also compute the intersection 2 COSd+1 n2 COSd-l.

(b) Prove that the multipliers of Td at its fixed points are given by
if ( E 2 COSd+1 and (
if ( E 2 COSd-1 and (
f 2,
f 2,
if( = 2.
(c) Give a similar description of the fixed points and their multipliers in the case that
d == 1 (modp).
6.8. We stated during the proof of Theorem 6.9 that for d ~ 2, the Chebyshev polynomial Td(W) is not equivalent to a monomial, i.e., no conjugate (i-I 0 Td 0 f)(w) has the
form cu/". Prove this assertion.
6.9. Prove that the (formal) derivatives of the Chebyshev polynomials satisfy the following
identities:
+ dwTd(W) = 2dTd-dw).
(4 - w2)T~f(W) - wT~(w) + d2Td(W) = O.
(a) (4 - w2)T~(w)
(b)
6.10. Let K be a field of positive characteristic p.

(a) Prove that the pth Chebyshev polynomial Tp(w) is equal to w P in K[w].
q)
(b) In general, if q is a power ofp, prove that Tqd(W) = Td(wF = Td(w for all d ~ 1.
(c) Again letting q be a power of p, deduce that Aut(Tq) = PGL2 (IF q). (Cf. Exercise 6.1.)
6.11. Let K be a field of characteristic 2 and let d ~ 1 be an odd integer. Prove that
wT~ (w) = Td(w). What is the derivative T~ (w) if d is an even integer?
Section 6.4. tattes Maps - General Properties

6.12. Let E be the elliptic curve E : y2 = x 3 + 1 with j(E) = 0, so Aut(E) = 1-t6 is cyclic
of order 6. Let 1/J(P) = [2]P be the doubling map.
(a) Let 7f : E --> E / 1-t2 ~ pl. Prove that we can take 7f( X, y) = x and that the Lattes map
corresponding to 1/J is
tih(z)
Z(Z3 - 8b)
4(z3 + b) .
(b) Let 7f : E --> E / 1-t3 ~ pl. Prove that we can take

A,
Z4
,+,2 Z
7f (
+ 18bz2 8z 3
x, y) = y and that the Lattes map
2
27b
(c) Let 7f : E --> E/l-t6 ~ pl. Prove that we can take 7f(x,y) = x 3 and that the Lattes map
z(z - 8b)3
cP3(Z)
= 64(z + b)3
Compute the conjugate cP3 (z - b) + b of cP3 (z), compare it to cP2 (z), and explain.
6.13. Let cP be a Lattes map. Prove that there does not exist a linear fractional transformation f E PGL 2 such that the conjugate cP f is a polynomial. (Cf. Exercise 6.8.)
382
Exercises
6.14. Complete the proof of Proposition 6.44 in the general case that 'l/J(P ) = a( P ) + T
with a E End (E) and T EE not necessarily equal to O . However, you may assume that
T E Etars, i.e., T is a point of finite order.
6.15. Let : C --.... C be a nonconstant rational map from a smooth curve to itself. Recall
that Critval, denotes the set of critical values of . Prove that
00
00
n =O
n= l
Section 6.5. Elliptic Curves and Flexible Lattes Maps

6.16. Let E be an elliptic curve and let Jr : E --.... p I be a map of degree 2.
(a) Let R be any point on E . Show that we can define a new group law (call it *) on E by
the rule
P*Q = P+Q-R.
Show that R is the identity element for the group (E, *).
(b) Prove that there exists a point Po E E such that tt ( - (P + Po)) = tt (P + Po) for
all PEE.
(c) Conclude that after choosing a new identity element for E, the map Jr is even, i.e., satisfies Jr (P ) = Jr ( - P ) for all PEE.
6.17. Fix an elliptic curve E and and a degree-2 map Jr : E --.... p I satisfying Jr (P) = Jr(- P ).
For any integer m and any point T E E [2], let m,T : pI --.... p I be the flexible Lattes map
associated to the map 'l/J(P ) = [m](P ) + T as in the commutative diagram (6.22).
(a) Prove that m,TOm' ,T' = mm',mT'+T . In particular, the maps m,O commute under
composition.
(b) Prove that cP':n.,T is either cPmn,T or cPmn, O. More precisely, if m is odd and n is even,
prove that ':n. ,T = m n,O, and prove in all other cases that ':n.,T = mn,T . (Of course,
ifT = 0, the cases are all the same.)
(c) It follows from (a) that the collection of maps { m,T : m ~ 1, T E E[2]} is closed
under composition. Prove that cP I,O is the identity element and that the associative law
holds. Thus this set of flexible Lattes maps for E is a noncommutative monoid.
6.18. Let : pI --.... pI be a flexible Lattes map associated to 'l/J (P )
point T E E[2] is not necessarily equal to O.
(a) Prove that the set of fixed points of is given by
Fix()
= x([m-
= [m]P + T, where the
lr I(T)) u x([m + l r I(T)).
(b) Compute the multiplier of at each point in Fix().

(c) Use the results from (a) and (b) and the formula for the composition of Lattes maps in
Exercise 6. I7 to describe the periodic points of and to compute their multipliers.
(Hint. Mimic the proof of Proposition 6.52, which dealt with the case T = 0 .)
6.19. Proposition 6.52 describes the multipliers of a flexible Lanes map. Using these values,
verify directly that the formula
from Theorem 1.14 is true for flexible Lattes maps.
Exercises
383
6.20. Complete the proof of Proposition 6.52(b) by computing the multiplier A(00) at the
fixed point 00 = x(O). (Hint. Move 0 to (0,0) using the change of variables z = x/y
and w = l/y. Then write the invariant differential in terms of z and wand mimic the proof in
the text.)
6.21. Let K be an algebraically closed field and let and ' be flexible Lattes maps defined
over K that are associated, respectively, to elliptic curves E and E'. Suppose that and '
are PGL 2(K)-conjugate to one another. We proved (Theorem 6.46) that if the characteristic
of K is not equal to 2, then E and E' are isomorphic. What can be said in the case that K has
characteristic 2? (Note that in characteristic 2 it is necessary to use a generalized Weierstrass
equation (6.12) to define E.)
6.22. We proved Proposition 6.55 in the case that 'IjJ( P) = [m](P).
(a) Prove Proposition 6.55 for general flexible Lattes maps, i.e., Lattes maps associated to
maps oftheform 'IjJ(P) = [m](P) + Twith T E E[2].
(b) Formulate and prove a version of Proposition 6.55 for rigid Lattes maps.
(c) ** To what extent is the converse of Proposition 6.55 true? More precisely, if is a
Lattes map fitting into a reduced Lattes diagram (6.37) and if f has bad reduction for
every f E PGL 2(K), does the elliptic curve E necessarily also have bad reduction?
6.23. Let E be an elliptic curve given by a Weierstrass equation
E : y2 = x
+ ax + b.
Let m ~ 1 be an integer and write x ([m] p) as a quotient of polynomials
_ Fm(x(P))
x ( [mJP) c.; ( x(P) ).
(6.52)
(a) Prove that Fm and G, can be taken to be polynomials in x, a, and b. More precisely,
prove that there are polynomials Fs, G, E Z[a, b, x] satisfying (6.52) and that they are
uniquely determined by the requirement that F m be monic in the variable x.
(b) Prove that deg(Fm ) = m 2 and deg(G m ) = m 2 - 1 and that their leading terms
m2
+ ... and Gm(x) = m 2xm2- 1 + ....
are Fm(x) = x
(c) If m is odd, prove that there is a polynomial 'ljJm(X) E Z[a, b,x] such that Gm(x) =
'ljJm(X)2. Similarly, ifm is even, prove that there is a polynomial 'ljJm(X, y) E Z[a, b,x, y]
such that G m (x) = 'ljJm (x, y?, where in the computation we replace y2 by x 3 + ax + b.
The polynomial 'ljJm is called the m" division polynomial for E, since its roots are the
nontrivial points of order m.
(d) Prove that Fm and G m satisfy
2
m Fm(a,b;x)
Fm(t 2
a,t 3
b;tx)=t
and
2
G m (2
)
t a,t 3 b;tx ) =t m _ 1 G m ( a,bjx.
Thus Fm and G m are homogeneous if x, a, and b are respectively assigned weights 2, 4,

and 6.
(e) Let !::>.(E) = -16(4a 3 + 27b2 ) . Prove that the resultant of F m and G m with respect to
the variable x is given by
384
Exercises
Section 6.6. Elliptic Curves and Rigid t.attes Maps

6.24. This exercise extends Proposition 6.61. Let : jp'l --> jp'l be a Lattes map and fix a
reduced Lattes diagram (6.37) for . Write 'IjJ(P) = [o:](P) + T as usual, where we use
the standard normalization described in Proposition 6.36 to identify End(E) with a subring
of C.
(a) Prove that the fixed points of are given by
Fix()
= U{1r(P) : [0: - ~](P) = -T}.
(6.53)
~Er
(b) Let 1r(P) E Fix(). Prove that P is a critical point for 1r if and only if P is fixed by a
nontrivial element of~. More generally, prove that the ramification index is given by
ep(1r) = {~E I": [~]P =
pl.
In particular, if P is not a critical point, then there is a unique ~ E I' that fixes P.
(c) Assume that T = O. Let 1r(P) E Fix() and choose some automorphism ~ E f such
that 'IjJ(P) = [WP). Compute the multiplier of at 1r(P) as in the following table (we
have given you the first four values):
ifep(1r) = 1,
iff
= JL2 and ep(1r) = 2,
iff = JL3 and ep(1r) = 3,

iff
= 1-L6 and ep(1r) = 2,
iff = 1-L6 and ep(1r) = 3.

6.25. In the text we proved Theorem 6.62 under the assumption that d is squarefree. This
exercise sketches an argument to eliminate the squarefree hypothesis. We set the notation S(b)
for the squarefree part of the integer b 2 1.
(a) For each integer d 2 2, let Dd 2 1 be an integer with the property that d is a norm from
the ring Z [vi- D d] down to Z. In other words, there are integers u and v such that
+ D d v 2 = d.
Then with notation as in the statement of Theorem 6.62, prove that for every
is a constant CE such that
> 0 there
for all d.
(Hint. Use elliptic curves with CM by the ring Z [vi- Dd] and Lattes maps associated
to the endomorphism
(b) Prove that for every E
[u + vvl- D d ]
and follow the proof of Theorem 6.62.)
> 0 there is a constant C~ > 0 such that

max S(d - u 2 )
C~dl-E
for all d.
O:O;u<.Jd
(Hint. It suffices to prove that for sufficiently large d the average satisfies
Exercises
385
~
c:
va1
logS(d-u):::: (l-E)logd.
O"Ou<Vd
Write this as two sums using ord, (S( b)) = ord, (b) - 2 ~ ord, (b)J and show that the
first sum is asymptotic to log (d) and the second is bounded as d ---> 00.)
(c) Combine (a) and (b) to complete the proof of Theorem 6.62.
Section 6.7. Uniform Boundedness for t.attes Maps
6.26. Let E /Q be given by a quasiminimal Weierstrass equation
E : y2
= x
+ ax + b,
i.e., the discriminant 116(4a3 + 27b2 ) I is minimized subject to the condition that a and bare
integers.
(a) Show that the equation for E is minimal at every prime p :::: 5.
(b) Let 113(E) be the discriminant of a general Weierstrass equation (6.12) for E that is
minimal at 3. Prove that
0::; ord 3(4a 3
+ 27b2 ) -
ord, ( 113(E))
< 6.
(c) Let 112(E) be the discriminant of a general Weierstrass equation (6.12) for E that is
minimal at 2. Prove that
6.27. Theorem 6.70 suggests that there should be an absolute upper bound for the number of
integer points in the orbits of affine minimal Lattes maps defined over Q.
(a) Let E be the elliptic curve
E : y2 = x 3
48907
+ 8481094
and let (x) be the Lattes map associated to multiplication-by-2, i.e., fox = x 0 [2].
Verify that the orbit 0</>(2363) contains five integer points, but that 5(2363) tf- 2::. Also
verify that there is a point in E(Q) with x-coordinate 2363.
(b) Let E be the elliptic curve
E : y2 = x 3
40467
+ 4120274
and again let (x) be the Lattes map associated to multiplication-by-2. Verify that the
orbit 0</>(193) contains five integer points, but that 5(193) tf- 2::. In this case E(Q) does
not contain a point with x-coordinate equal to 193.
(c) ** Find an affine minimal Lattes map and an initial point ( E 2:: such that 5 (() E 2::,
or prove that none exist. (This will force k (() E 2:: for all 0 ::; k ::; 5; see Remark 6.72.)
6.28. Prove a version of Theorem 6.70 for a Lattes map satisfying
(x(P))
x ([m]P + T)
for all PEE,
where T is a fixed 2-torsion point of E. (You may need a more general version of Theorem 6.69; see [202,407].)
Chapter 7
Dynamics in Dimension
Greater Than One
Up to this point our primary focus has been on arithmetic dynamics of rational maps
on JlDI . In this chapter we take a look at dynamics in higher dimension s. Even over <C,
althou gh there is now a significant body of knowledge , it seems fair to say that complex dynam ics on JlDN is still in its infancy. And arithmetic dynamics in higher dimensions is at present a patchwork of results from which a general theory is yet
to emerge. Our goal in this chapter is to provide a glimpse into two aspects of this
developing theory by highlighting two ways in which higher-dimensional dynamics
differs significantly from the one-dimensional case.
The first difference arises from the fact that rational maps JlDN ----> pN for N :::: 2
need not be everywhere defined, i.e., they need not be morphisms. In Section 7.1 we
study the dynam ics of rational maps 1> : lP'N ----> lP'N having the propert y that they
restrict to automorphisms on AN . The geometry and arithmetic of such maps can be
quite complicated, despite the fact that they are bijective on AN .
The second difference arises due to the far greater variety of varieties in higher
dimensions. Thus in dimension 1, only self-maps of p ) and of elliptic curves are
dynamic ally interesting, since the only self-maps of a curve of genus greater than 1
are automorphisms of finite order. But even in dimension 2 there is an abundance
of varieties that admit self-maps of infinite order, and the dynamical properties of
these maps are extremely interesting , although as yet imperfectly understood. In
Section 7.4 we study the arithmeti c dynamics of certain surfaces that adm it a pair
of noncom muting involutions L ) and /'2 . The composition <P = L ) 0 /'2 is an automorphism of infinite order.
The theory of height functions that we developed in Sections 3.1-3 .5 provides a
powerful tool for studying arithmeti c dynamics on pl . One of the recurring themes
of this chapter is the use of height function s in a higher-d imensional setting and on
varieties other than projective spaces.
387
388
7.1 Dynamics of Rational Maps on Projective Space

Recall that a rational map </J : lP'N - t lP'N is described by homogeneous polynomials
with no common factor, and that </J is a morphism if the polynomials have no common root in lP'N (K). (See page 89 in Chapter 3 for the precise definition.) As noted
in the introduction to this chapter, height functions are a powerful tool for studying
the arithmetic of morphisms </J : lP'N - t lP'N. The situation is considerably more complicated if the map </J : lP'N - t lP'N is required to be only a rational map. Notice that
we did not run into this situation when studying rational functions </J(z) E K (z) of
one variable, since every rational map </J : lP'I - t lP'I is automatically a morphism. But
in dimensions 2 and higher, there are many rational maps that are not morphisms.
Example 7.1. The rational map

(7.1)
is not a morphism, since it is not defined at the point [0,1,0]. Notice that if we
discard [0,1,0], then </J fixes every point on the line X o = X 2 , and </J sends every
point on the line X o = to the single point [0,0,1]. This kind of behavior is not
possible for morphisms lP'2 - t lP'2.
Continuing with this example, recall that if </J were a morphism, then Theorem 3.11 would tell us that h(</J(P)) = 2h(P) + 0(1) for all P E lP'2(Q). But this
is clearly false for the map (7.1), since for all a, b E Q* we have
</J([a, b, aD
[a 2 , ob, a2 ]
[a, b, a].
Thus
h(</J([a, b, aD) = h([a,b, aD,

so we cannot use Theorem 3.7 to conclude that </J has only finitely many Q-rational
periodic points. Of course, that's good, since in fact </J has infinitely many Q-rational
fixed points!
An initial difficulty in studying the dynamics of a rational map </J : lP'N - t lP'N
arises from the fact that the orbit Gq,(P) of a point may "terminate" if some iterate </In(p) arrives at a point where </J is not defined. This suggests looking first at
maps </J for which there is a large uncomplicated (e.g., quasiprojective, or even affine)
subset U C lP'N with the property that </J(U) c U and studying the dynamics of </J
on U. As a further simplification, we might require that </J be an automorphism of U,
since quasiprojective varieties often allow interesting automorphisms.
7.1.1
Affine Morphisms and the Locus of Indeterminacy
In this section we study rational maps lP'N - t lP'N with the property that they induce
morphisms of affine space Pi" N - t Pi" N. Concretely, an affine morphism
is a map of the form
7.1. Dynamics of Rational Maps on Projective Space
389
To avoid trivial cases, we generally assume that at least one of the F; is not the zero
polynomial.
Definition. The degree of a polynomial
il, ... ,iN
is defined to be
In other words, the degree of F is the largest total degree of the monomials that appear in F. (By convention the zero polynomial is assigned degree -00.) The degree
ofa morphism = (F l , ... , F N) : AN ---+ AN is defined to be
deg
= max{ deg F l , ... , deg FN}.
Homogenization of the coordinates of an affine morphism : AN ---+ AN of degree d yields a rational map : lP'N ---+ lP'N of degree d. For each coordinate function F; of , we let
Notice that each Pi is a homogeneous polynomial of degree d (or the zero polynomial), so the map
dN
N
=[XO , F l , F 2 , .. ,FNJ:lP' ---+lP'
is a rational map of degree d. We call
map need not be everywhere defined.
Definition. Let : AN
---+
the rational
map induced by . A rational
AN be an affine morphism of degree d and let
be the rational map that it induces. The locus ofindeterminacy of is the set
(To ease notation, we write and Z () instead of and Z ().) This is the set of
points at which is not defined. Notice that Z() lies in the hyperplane Hi,
{X o = O} at infinity, since is well-defined on AN.
The polynomials PI, ... ,PN can be used to define a morphism
The map is called a lift of . If we let
7r
be the natural projection map,
7. Dynamics in Dimension GreaterThan One
390
then
11" ,
cI>, and
fit together into the commutative diagram
Example 7.2. The map
induces the rational map
and has indeterminacy locus Z ()
7.1.2
= {[O,0, I]} consisting of a single point.
Affine Automorphisms
Of particular interest are affine morphisms that admit an inverse.
Definition. An affine morphism : AN -; AN is an automorphism if it has an

inverse morphism. In other words, is an affine automorphism if there is an affine
morphism - I : A N -; AN such that
Somewhat surprisingly, and -I need not have the same degree , nor does deg(n )
have to equal (deg) n .
Example 7.3. Consider the map (x, y ) = (x, y + x 2 ) . It has degree 2 and is an
automorphi sm, since it has the inverse - I (x , y ) = (x, y - x 2 ) . The composition 2
IS
2(x l y)
= (x , y + x 2 ) = (x, Y + 2x 2 ) ,
so deg(2) = 2 = deg(). More generally, n( x, y) = (x ,y + nx 2 ) has degree 2,

so the degree of n does not grow. This contrasts sharply with what happens for
morphism s of jp'N.
Example 7.4. Let a E K * and let f (y ) E K [y] be a polynomial of degree d
2.
The map
(x, y) = (y , ax
+ f(y )),
is called a Henan map. It is an automorphism of A 2 , since one easily checks that it

has an inverse - I given by
391
Henon maps, especially those with deg(f) = 2, have been extensively studied since
Henon [200] introduced them as examples of maps R'' -7 ]R2 having strange attractors. There are many open questions regarding the real and complex dynamics
of Henon maps; see, for example, [132, 2.9] or [211], as well as [212,413] for a
compactification of the Henon map.
The rational maps J!D2 -7 J!D2 induced by and -l are
([Xo, Xl, X 2]) = [xg, Xg- lX 2, aXg-lXl + f(XO,X2)],

-l ([X o, Xl, X 2 ]) = [xg, a-I xg- l X 2 - a-I f(x o, Xd, xg- l Xd,
where we write f(u, v) = ud f (v/ u) for the homogenization of f. It is easy to see
that the loci of indeterminacy of and -l are
Z()
= {[a, 1, oj}
and
Z(-l) = {[O,O, 1J}.
In particular, the locus of indeterminacy of is disjoint from the locus of indeterminacy of -1. Maps with this property are called regular; see Section 7.1.3.
Example 7.5. Consider the very simple Henon map
(x, y) = (y, -x + y2).

The extension = [xg, X OX2 , - XOXI + Xi] of to J!D2 has degree 2, but it is not
a morphism, since it is not defined at the point [0, 1,0]. And just as in Example 7.2,
there is no height estimate of the form h (( P)) = 2h(P) + 0(1) for . We can see
this by noting that
-( [b, a, b] )
[b 2,b2,-ab + b2] = [b, b, -a + b],
so if a,b, E Z with gcd(a, b) = 1 and b > a > 0, then [b, a, bJ and ([b,a, bJ) have
the same height. Hence for every E > 0 even the weaker statement
h((P)) ::::: (1 + E)h(P)
+ 0(1)
for all P = (x, y) E A 2(Q)
is false. It turns out that has only finitely many Q-rational periodic points (Theorem 7.19), but the proof does not follow directly from a simple height argument.
Example 7.6. More generally, if : AN -7 AN is an affine automorphism, then it is
not possible to have simultaneous estimates of the form
h((P)) ::::: (1
+ E)h(P) + 0(1),
h(-l(p)) ::::: (1 + E)h(P)
+ 0(1),
(7.2)
for some E > 0 and all P E AN (K). To see this, suppose that (7.2) were true. Then
we would have for all P E AN (K),
392
Thus h(P ) would be bounded, leading to the untenable conclusion that AN (K ) is

finite. So it is too much to require that both (P) and - l(p ) have heights larger
than the height of P. However, as we shall see, it is often possible to show that some
combination of h( (P )) and h( -I (P )) is large, which is then sufficient to prove
that P er ( ) is a set of bounded height.
We conclude this section with two useful geometric lemmas . The first relates the
locus of indeterminacy of an affine automorphism and its inverse, and the second
characterizes when the degree of a composition is smaller than the product of the
degrees .
Lemma 7.7. Let : AN ----; AN be an affine automorphism ofdegree at least 2 and

denote the hyperplane at infinity by Hi, = {X o = O} = IF'N <, AN, Then
Proof Let
d
cI> = (Xo,Fl ,Fz, ... , FN)
and
cI>
-1
= (XO ,Gl ,GZ, .. . , G N )
be the lifts of ([> and ([>- 1, respectively. The fact that and - l are inverses of one
another implies that there is a homogeneous polynomial f of degree de - I with the
property that
xge, so we see that f = xge- Thus

(xge, xge- l Xl , xge- l X l , .. . ,xge- l X N ),
1
But the first coordinate of the composition is

(cI>- 1 0 cI (Xo, . . , , X N ) =
or equivalently,
-
Gj(XO' F l , .. , F N )
= X od e-l x,
for aliI 5:. j 5:. N.
Now let P = [0, Xl, .. " XN] E Hi, -, Z(), so ([>(P)

with at least one Fi(P) # O. From (7.3) we see that
(7.3)
[0, F\ (P), ... , FN(P )]
Hence
so ([>- 1 is not defined at ([>( P) . Therefore ([>(P) E Z ( - l ).
Lemma 7.8. Let : AN ----; AN and 1fJ : AN ----; AN be affine morphisms, and
let H o = {X o = O} = IF'N -, AN be the usual hyperplane at infinity. Then
deg(1fJ 0 ) < deg(1fJ) deg() if and only if ([> (H o " Z ( )) C Z (1fJ ).
393
Proof Let d = deg( 1, let e = deg( 'ljJ), and let 
will be strictly less than de if and only if there is some cancellation in the coordinate
polynomials of \fJ 0 <P. Since the first coordinate is xg e , this shows that
deg('ljJ
1 < deg('ljJ) deg( 1
{::::::}
X o divides j for every 1 ::; j ::; N.
Suppose now that Xolj for every j and let P

Since is defined at P, some coordinate of
[0, Xl, ... , XN] E H o <, Z(1)).
is nonzero. On the other hand, the assumption that Xolj implies that
(\fJ
0 <P )(P) =
(0, 1 (<p(P)),
2( <p(P)), ... ,N( <p(P))) = (0,0,0, ... ,0).
Hence if; is not defined at (P), so (P) E Z( 'ljJ). This completes the proof that
ifdeg('ljJ 0 1 < de, then (Ho " Z(1))) C Z('ljJ).
For the other direction, suppose that (Ho " Z(1))) c Z('ljJ). This implies that
for (almost all) points of the form (O,XI, ... ,XN), the map if; is not defined at the
point ([O, Xl, ... , XN]). Hence
so j(O, Xl, X 2 , ... , X N)
= for all j. Therefore Xolj for all j.
Example 7.9. Let 1> be the map 1>(x, y) = (x, y+x 2 ) that we studied in Example 7.3.
Dehomogenizing 1> yields
so the locus of indeterminacy for
1> is Z (1
= {[ 0, 0, I]}. Notice that
Hence (Hi, <, Z( 1) = Z( 1, so Lemma 7.8 tells us that deg( 1>2) < deg( 12. This
is in agreement with Example 7.3, where we computed that deg( 1>2) = 2.
394
7.1.3
The Geometry of Regular Automorphisms of AN
In this section we briefly discuss the geometric properties of an important class of

affine automorphisms.
Definition. An affine automorphism : AN ----t AN is said to be regular if the

indeterminacy loci of and - 1 have no points in common,
The following theorem summarizes some of the geometric properties enjoyed

by regular automorphisms of AN. We sketch the proof of (a) and refer the reader
to [401] for (b) and (c).
Theorem 7.10. Let : AN

(a) For all n 2:: 1,
----t
A N be a regular affine automo rphism.
n is regular,
and
(b) Let
d1
= deg e, d2 = deg - l ,
= dimZ()+l ,
= dimZ(-I )+1.
Then
1 + 2 = N
and
d~l = dI2
(c) Forall n 2': 1 thesetofn -periodicpointsPer n () is a discrete subset ofAN (C).

Counted with appropriate multiplicities,
Proof (a) We first prove by induction on n that
This is trivally true for n = 1, so assume now that it is true for n - 1. Let P E Z (n),
so in particular P E H. Suppose that P ~ Z(). The induction hypothesis tells us
that P ~ z(n-1), so applying Lemma 7.7 to the map n-1, we deduce that
(For the last equality we have again used the induction hypothesis.) On the other
hand, we have that n- 1 is defined at P and n is not defined at P, which implies
that n-1(p) E Z ( ). This proves that n- 1(p) is in both Z (-l ) and Z () ,
contradicting the assumption that is regular. Hence P E Z ( ), which completes
the proof that z (n) c Z ( ). Similarly, we find that z (- n) C Z (-l ).
Having shown that z (n) C Z () and z (-n) C Z (- l ), we see that the
regularity of implies that
SO
395
n is also regular.
Next suppose that deg(n) < deg()n for some n 2 2. We take n to be the
smallest value for which this is true, so in particular deg( n-1) = deg( )n-1, and
hence
We apply Lemma 7.8 with 7/J = n-1 to conclude that
where the last inclusion was proven earlier. On the other hand, Lemma 7.7 says that
(Ho" Z()) C Z(-l). Hence
(Ho" Z())
Z() n Z(-l)
0.
This is a contradiction, which completes the proof that deg( n)

It remains to show that Z () C Z (n). Let
= deg( )n.
be a lift of , so
By a slight abuse of notation, we say that P E Z () if and only if cI>( P) = O. (To be

precise, we should lift P to AN+1 .)
We proved that deg( n) = deg( ), which implies that the coordinate functions
of cI>n have no common factor. Thus n can be computed by evaluating cI>n and mapping down to lP'N. Hence just as above we have P E Z (n) if and only if cI>n (P) = O.
Therefore
This proves that Z() C Z( n) and completes the proof of (a).

(b) See [401, Proposition 2.3.2].
(c) See [401, Theorem 2.3.4].
Remark 7.11. If : A2 ---.. A2 is a regular automorphism of the affine plane, then

Theorem 7.10(b) tells us that =
= 1 (which is clear anyway since the indeterminacy locus of a rational map has codimension at least 2) and that d 1 = d2 . Thus
planar regular automorphisms satisfy deg( ) = deg( -1). In the opposite direction,
if d 1 = d2 , then Theorem 7.10(b) says that
=
and hence that N =
+
is even. In other words, a regular automorphism : AN ---.. AN with N odd always
satisfies deg( ) i= deg( -1).
"1 "2
"1 "2,
"1 "2
396
Example 7.12. Let : A 3
-.
A 3 be given by
One can check that the inverse of is
Homogenizing x = XI! X o, y = X 2 / X o, z = X 3 / X o, we have the formulas
from which it is easy to check that

Z() = {Xo = X 2 = X 3 = O] = {[O, 1,0, O]},
Z(-l) = {X o = Xl = O} = {[O,O,u,v]}.
Thus Z () consists of a single point, while Z ( -1) is a line. In the notation of
Theorem 7.10, we have N = 3 and
d1 = deg e = 2,
1 = dimZ()
d2
+ 1 = 1,
The map is regular, since Z()
= deg-l = 4,
2 = dimZ(-l) = 1 = 2.
n Z(-l) = 0.
Remark 7.13. Let : AN -. AN be an affine morphism and let : A N+1

be a lift of . The map is called algebraically stable if
n ({ X o = O}) -1= {O}
-.
A N+ 1
for all n 2: 1.
In other words, is algebraically stable if for every n 2: 1, some coordinate

of n(xo, ... ,XN ) is not divisible by X o. Since the first coordinate of n is a
power of X o, this implies that there can be no cancellation among the coordinates,
so an algebraically stable map satisfies
Further, an adaptation of the proof of Theorem 7.1o(a) shows that
Regular automorphisms are algebraically stable, but there are algebraically stable
automorphisms that are not regular. For a discussion of the complex dynamics of
algebraically stable maps, see [174, 187, 401].
397
Remark 7.14. For arbitrary rational maps : JP>N ----> JP>N, the dynamical degree of
is defined to be the quantity
and its logarithm log dyndeg () is called the algebraic entropy of . (One can show
that the dynamical degree is in fact the infimum of deg( n)l / n.) The dynamical
degree provides a coarse measure of the stable complexity of the map , and presumably it has a major impact on the arithmetic properties of . See [10, 199,290]
for an indication of this effect in certain cases.
The dynamical degree need not be an integer, or even a rational number; see
Exercise 7.4 for an example . However, Bellon and Viallet [49] have conjectured that
it is always an algebraic integer.
The dynamical degree , and more generally the sequence of integers
dn = deg( n),
n = 0, 1,2, ... ,
can be quite difficult to describe. See [10, 45, 46, 49, 77, 133, 199] for work on
this problem . In many cases the sequence ( dn)n~o satisfies a linear recurrence with
rational coefficients , or equivalently, the generating function L n>o dnT n is in ((Jl(T).
However, see [46] for an example of a birational map : JP>N ~ JP>N whose degree
generating function is not in ((Jl(T).
7.1.4 A Height Bound for Jointly Regular Affine Morphisms

In this section we prove a nontrivial lower bound for the height of points under
regular affine automorphisms. The theorem is an amalgamation of results due to
Denis [131], Kawaguchi [230, 231], Marcello [287, 288, 289, 290], and Silverman [413,418]. Before stating the theorem , we need to define what is meant by
the height of a point in affine space.
Definition. The height h(P ) of a point P = (X l , ... , X N) E AN (Q) in affine space
is defined to be the height of the associated point in projective space using the natural
embedding AN ----> JP>N,
Eventually we will apply the following height estimate to a regular affine automorphism and its inverse - l , but it is no harder to prove the result for any pair
ofjointly regular maps , and working in a general setting helps clarify the underlying
structure of the proof.
Theorem 7.15. Let l : AN
the property that
---->
AN and 2 : AN
(We say that l and 2 are jointly regular.) Let
---->
AN be affine morphisms with
398

and
There is a constant C
= C((P1, 2) such that for all P
AN (Q),
(7.4)
Remark 7.16. We recall that the upper bound
h(1j;(P)) ::; (deg1j;)h(P)
+ 0(1)
(7.5)
is valid even for rational maps 1j; : lP'N ~ lP'N (see Theorem 3.11), since the proof
of (7.5) uses only the triangle inequality. Thus Theorem 7.15 may be viewed as
providing a nontrivial lower bound complementary to the elementary upper bound
ProofofTheorem 7.15. Write the rational functions

and 2 as
lP'N ~ lP'N
induced by l
and
where the Pi are homogeneous polynomials of degree dl and the Gi are homogeneous polynomials of degree d2 The loci of indeterminacy of l and 2 are given
by
Z(d
Z(2)
=
=
{Xu
{Xu
PI =
PN
Gl
GN
We define a rational map 1j; : lP'2N ~
lP'2N
=
=
a},
a}.
of degree d l d2 by
The locus of indeterminacy of 1j; is the set
since by assumption Z (d and Z (2) are disjoint. Hence 1j; is a morphism, so we

can apply the fundamental height estimate for morphisms (Theorem 3.11) to deduce
that
for all P E lP'2N (Q).
(7.6)
The following lemma will give us an upper bound for the height of 1j; (P).
Lemma 7.17. Let u, al, ... , aN, bi, ... , bN E Q with u i=-
a.
Then
399
7.1. Dynamics of Rational Mapson Projective Space

Proof Let ai = aiJu and 13i
we have the trivial estimate
max{ 1, lall v , "
"
= bi/u for 1 :S i :S
N. Then for any absolute value v
laNlv, l13llv,"" I13Nlv}

:S max{ 1, lall v , ... , laNlv} . max{ 1, l13llv, ... , I13Nlv}.
Raising to an appropriate power, multiplying over all absolute values, and taking
logarithms yields
This is the desired result, since the height does not depend on the choice of homogeneous coordinates of a point.
0
We apply Lemma 7.17 to the point
with P E AN (Q), which ensures that Xo(P)
-I- O. The lemma tells us that
h('IjJ(P)) :S h ([XO(p)d 1d2 , FHP)d2 , . . . ,PN(p)d2 ])
+ h ([XO(p)d
1d2
c, (p)d
,GN(p)d 1 ])
= d2h ([ XO(p)d 1 , PI (P), ... ,PN(P)])
+ dlh ([XO(p)d Gl(P), ... ,GN(p)])

= d2h(r/>I(P)) + dlh(2(P)),
2
We combine this with (7.6) to obtain
Dividing both sides by d ld2 completes the proof of Theorem 7.15.
For regular affine automorphisms, it is conjectured that the height inequality (7.4)
in Theorem 7.15 may be replaced by a stronger estimate.
Conjecture 7.18. Let : AN ----+ AN be a regular affine automorphism. Then there

is a constant C = C() such that for all P E AN (Q),
d h((P))
l
+ d h(-l(p))
2
(1
)
+
1
d
ld 2
h(P) ~ C.
(7.7)
Kawaguchi [230] proves Conjecture 7.18 in dimension 2, i.e., for regular affine
automorphisms : A 2 ----+ A 2 ; see also [413]. However, for general jointly regular
affine morphisms, it is easy to see that (7.4) cannot be improved; see Exercise 7.8.
Kawaguchi also constructs canonical heights for maps that satisfy (7.7); see [230]
and Exercises 7.17-7.22.
400
7.1.5
Boundedness of Periodic Points for Regular

Automorphisms of AN
Theorem 7.15 applied to a regular affine automorphism and its inverse implies that
at least one of (P) and -l(P) has reasonably large height. This suffices to prove
that the periodic points of form a set of bounded height, a result first demonstrated
by Marcello [287, 288] (see also [131,418]) using a height bound slightly weaker
than the one in Theorem 7.15.
Theorem 7.19. (Marcello) Let : AN ----7 AN be a regular affine automorphism of

degree at least 2 defined over Q. Then Per() is a set ofbounded height in AN (Q).
In particular,
Per() nAN (K) isfinitefor all numberfields K.

Proof Let
d 1 = deg
d2 = deg-l.
and
Applying Theorem 7.15 with 1 = and 2 = -1 yields the basic inequality

(7.8)
where C is a constant depending on , but not on P E Pi:. N (Q).
We prove the theorem initially under the assumption that d1 d2
function
f(P)
1
1 ( 1
)
d h(P) - ad h - (P) -
0.-
where the real number a > 1 will be specified later. Then
f((P)) - af(P)
(~h(P) _ _
1 h(-l(p))
d1
ad 2
= (:l h((P))
2':
+ Lh(-l(P)))
(1 - ~d -_1_)
h(P)
ad
1
l'
4. Define a
(7.9)
satisfies
~d
h(P) - ~)
0.2
a-I
= (d h((P)) _ a
>
~)
a-I
(~ + a~Jh(P)+C
from (7.8).
Hence if we take
then
a
1
1 -d - -ad
- --0,
1
and our assumption that d 1d2

conclude that
>
4 ensures that a
>
1, so for this choice of a we
401
7.1. Dynamics of Rational Mapson Projective Space

f( (P)) ? o:f( P)
for all P E AN (Q).
Appl ying this estimate to the points P, (P ), ql (p) , . . . , n - l (P), we obtain the
fundamental inequality
for all P E AN (Q) and all n
? O.
(7.10)
Similarly, we define
l I
e
g(P) = - h(P ) - - h( (P)) - d2
(3d l
(3 - 1
(7.11)
and take
(3
= d 1d2 + J (d 1d2 ) 2 - 4d 1d2 .

2d l
Then an analogous calculation, which we leave to the reader, shows that g satisfies
for all P E AN (Q),
from whi ch we deduce that
for all P E A N (Q) and all n
O.
(7.1 2)
We compute
a - nf( n+l( p))
+ (3-n g (- n-l(p ))
? f ((P )) + g(-l (p ))
from (7.10) and (7.12),
l
= ( d h( (P )) - ad h(P ) - a - 1
l
+ (~h (-I (P))

~
_ _ 1 h(P ) _
(3~
~)
(3 - 1
from the definition (7.9) and (7. 11) of f and g,
> (1 -
_1ad
1_) h(P ) _ (1
(3d 1
_1_
+ _1_)
a1
(3 - 1
from (7.8).
Using the definition of f and g and rearranging the tenus, we have proven the inequality
(7.13 )
Now suppose that P E A N (Q) is a periodic point for . Then h (k (P) ) is
bounded independently of k, so lettin g n -+ 00 in (7.13) yields
402
7. Dynamics in Dimension Greater ThanOne

(a(3 - 1)0 > (1 _ _
1 __
1 ) h(P)
(a - 1)((3 - 1) ad 2 (3d 1
'
where we are using the fact that a

also ensures that
1 - _1
ad 2
>
1 and (3
1__
(3d 1 -
> 1. Our
VI _d 4d
assumption that di d2
>
>0
1 2
'
so the height of P is bounded by a constant depending only on . This completes

the proof of the first assertion of Theorem 7.19 under the assumption that d 1d2 > 4,
and the second is immediate from Theorem 7.29(), which says that for any given
number field, JlDN (K) contains only finitely many points of bounded height.
In order to deal with the case d 1 d2 ::; 4, i.e., d 1 = d2 = 2, we use Theorem 7.10,
which tells us that 2 is regular and has degree di. Similarly, deg( -2) = d. Hence
from what we have already proven, the periodic points of 2 form a set of bounded
height, and since it is easy to see that Per() = Per(2), this completes the proof in
0
all cases.
Remark 7.20. We observe that Theorem 7.19 applies only to regular maps. It cannot
be true for all affine automorphisms, since there are affine automorphisms whose
fixed (or periodic) points include components of positive dimension. For example,
the affine automorphism (x,y) = (x,y + f(x)) fixes all points of the form (a,b)
satisfying f(a) = O. Of course, this map is not regular, since one easily checks
that
Z()
= Z(-l) = {[O, 1,0]}.
Definition. Let : V -- V be a morphism of a (not necessarily projective) variety V. A point P E Per() is isolated if P is not in the closure ofPern() <, {P}
for all n ~ O. In particular, if Per., () is finite for all n, then every periodic point is
isolated.
Conjecture 7.21. Let : AN __ AN be an affine automorphism ofdegree at least 2
defined over Q. Then the set ofisolatedperiodic points of is a set ofbounded height
in AN(Q).
A classification theorem of Friedland and Milnor [176] says that every automorphism : .A2 -- .A2 of the affine plane is conjugate to a composition of elementary
maps and Henon maps. Using this classification, Denis [131] proved Conjecture 7.21
in dimension 2. (See also [287,288].)
7.2 Primer on Algebraic Geometry

In this section we summarize basic material from algebraic geometry, primarily having to do with the theory of divisors, linear equivalence, and the divisor class group
(Picard group). This theory is used to describe the geometry of algebraic varieties
and the geometry of the maps between them. We assume that the reader is familiar
403
7.2. Primer on Algebraic Geometry
with basic material on algebra ic varieties as may be found in any standard textbook ,
such as [186, 197, 198,205].
This section deals with geometry, so we work over an algebraically closed field.
Let
K = an algebraically closed field,

V = a nonsingular irreducible projective variety defined over K ,
K {V ) = the field of rational functions on V.
7.2.1
Divisors, Linear Equivalence, and the Picard Group
In this section we recall the theory of divisors, linear equivalence, and the divisor
class group (Picard group).
Definition. A prime divisor on V is an irreducible subvariety W C V of codimension 1. The divisor group of V , denoted by Div{V), is the free abelian group
generated by the prime divisors on V. Thus Div{V) consists of all formal sums
where the sum is over prime divisors W C V , the coefficients nw are integers , and
only finitely many nw are nonzero . The support of a divisor D = L nw W is
[D[ =
U W.
Wwith
nw?"O
If W is a prime divisor of V, then the local ring at W is the ring
Ov,w = {J E K {V ) : f is defined at some point of W} .

It is a discrete valuation ring whose fraction field is K (V ). Normal izing the valuation
so that ord w (K (V) *) = Il, we say that
ordw(f ) = order of vanishing of f along W .

Then
vanishes on W if ordw (f ) 2: 1, and
Definition. Let
the divisor
has a pole on W if ordw (f ) :::; -1.
K{V )* be a nonzero rational function on V . The divisor of f is

(f) =
L ordw (f )W E Div(V ).
w
A principal divisor is a divisor of the form (f ) for some f E K (V ). The principal

divisors form a subgroup ofDiv(V ). The divisor class group (or Picard group) of V
is the quotient group
p ' (V ) =
Div (V)
ic
(principal divisors)
404
Two divisors D 1 , D 2 E Div(V) are linearly equivalent if they differ by a principal

divisor, D 1 = D 2 + (J), i.e., if their difference is in the kernel of the natural map
Div(V)
We write D 1
'"
-----t
Pic(V).
D 2 to denote linear equivalence.
The next proposition follows directly from the definitions and the fact that every
nonconstant function on a projective variety V has nontrivial zeros and poles.
Proposition 7.22. There is an exact sequence
1 -----t K*
-----t
K(V)*
Div(V)
-----t
Pic(V)
-----t
O.
Remark 7.23. The exact sequence in Proposition 7.22 is analogous to the fundamental exact sequence in algebraic number theory,
1
-----t
(units)
umts -----t (mUltiPlicative)
group
(fractional)
Ideals
-----t.
-----t
(ideal class)
group
-----t
1.
Definition. Let : V ~ V' be a morphism of nonsingular projective varieties

and let W' c V' be a prime divisor such that (V) is not contained in W'.
Then -1 (W') breaks up into a disjoint union of prime divisors, say
Letf E K(V') be a unifonnizer at W', i.e.,ordw,(j)

by is defined to be the divisor
1. ThenthepullbackofW'
*W'
= Lordw,(J 0 )Wi
E Div(V).
i=1
More generally, if D' =
nw, W' E Div(V'), the pullback of D' is the divisor

* D'
= L nw'*(W'),
w'
provided that all of the terms with nw,

if and only if(V)
ID'I
rt
i- 0 are well-defined. Thus * D' is defined
There is also a way to push divisors forward.

Definition. Let : V ~ V' be a morphism of nonsingular projective varieties,
let W c V be a prime divisor, and let W' = (W). If dim W' = dim W, then
the function field K(W) is a finite extension of the function field K(W') via the
inclusion
* : K(W') '--------+ K(W),
*(j) = f 0 ,
and we define the pushforward of W by to be the divisor
405
7.2. Primer on Algebraic Geometry

4>, W = [K(W) : K (W' )]W' E Div(V' ).
If dim W' < dim W , we define 4>, W = O. And in general, for an arbitrary divisor
D = L n w W E Div (V ), the pushforward of D is
4>, D =
l: nw4>.(W) .
w
Example 7.24. If 4> : V
----t
V ' is a finite map, then
4>, 4>' D' = deg(4))D'
for all D' E Div (V ' ).
Proposition 7.25. Let 4> : V ----t V' be a morphism of nonsingular proj ective varieties.
(a) Every D' E Div(V' ) is linearly equivalent to a divisor D" E Div (V' ) satisfying 4>(v ) ~ ID"I
(b) If D' and D" are linearly equivalent divisors on V' such that 4>' D' and 4>' D"
are both defined, then 4>' D' and 4>' D" are linearly equivalent.
(c) Using (a) and (b), the map
4>' : {D' E Div(V' ) : 4>(V) ~ ID'I } - - - t Div(V)

extends uniquely to a homomorphism
4>' : Pic(V' )
Pic(V).
---t
Example 7.26. A prime divisor W of ]P' N is the zero set of an irreducible homogeneous polynomial F E K [X o, ... , XN]. Wedefinethe degree ofW to be the degree
of the polynomial F and extend this to obtain a homomorphism
deg(l: n w W) = l: n wdeg(W ).
It is not hard to see that a divisor on ]P'N is principal if and only if it has degree 0, so
the degree map gives an isomorphism
deg : p ic(]P'N)
) Z.
Any hyperplane He ]P'N is a generator ofPic(]P'N ).

Example 7.27. A prime divisor oflP'N X ]P'M is the zero set of an irreducible bihomogeneous polynomial F E K[ X o, .. . , X N , Yo, ... , Y M]. We say that F and W have
bidegree (d, e) if F satisfies
F (oXo, . .. , aXN ,,GYO, ,,GYM) = ad,GeF (Xo, .. . , X N,Yo, ,Y M).

The bidegree map can be extended linearly to give an isomorphism
bideg : Pic(lP'N x ]P'Af) ~ Z x Z.
Let PI : lP'N x ]P'M ----t ]P'N and P2 : ]P'N x ]P'Af ----t ]P'Af be the two projections and
let HI be a hyperplane in lP'N and H 2 a hyperplane in ]P'Af. Then p ic(lP'N x lP'M) is
generated by the divisors
piHl = H I
lP'M
and
P'2H2 = lP'N
H 2.
406
7.2.2 Ample Divisors and Effective Divisors

Definition. A divisor D = LnwW is said to be effective (or positive) ifnw ~ 0
for all W. We write D ~ 0 to indicate that D is effective.
The base locus of a divisor D, denoted by Base(D), is the intersection of the
support of all of the effective divisors in the divisor class of D,
Base(D) =
n lEI
E~D
E ?O
Notice that any divisor is a difference of effective divisors ,
D=
nw W -
w with
(-nw)W.
W with
nw<O
nw>O
Definition. Let D E Div(V). Associated to D is the finite-dimensional K-vector

space
(D) = {J E K(V) : (I) + D ~ o} U {O}.
We write (D ) = dim (D) for the dimension of (D).
Let D E Div(V) be a divisor with (D) ~ 1. We choose a basis
for (D ) and use it to define a rational map
D =
[ft ,... ,fi (D)] : V
---+
fl , , f i (D )
p i(D)-I.
The map D is well-defined up to a linear change of coordinates on p i (D)-I, i.e.,

up to composition by an element ofPGLi(D)(K). Further, if D and D' are linearly
equivalent, then D and D' differ by a change of coordinates.
Conversely, let i : V <.......> fil'N be a morphism (or even a rational map) and let
H C p N be a hyperplane with i (V ) H . Then i is equal to the composition of i' H
with a change of coordinates and a projection.
rt
Definition. A divisor D E Div(V) is very ample if the map D : V -4 fil'i (D)-l is an

embedding, i.e., an isomorphism onto its image. A divisor D is ample if some multiple nD with n ~ 1 is very ample . Ampleness and very ampleness are properties of
the divisor class of D . Notice that ifi : V <.......> fil'N is an embedding and H E Div(fil'N)
is a hyperplane, then * H is a very ample divisor on V .
Example 7.28. Let p! HI and P2H2 be the generators of Pic(fil'N x pM) described
in Example 7.27. Then p!H1 + P2H2 is a very ample divisor on pN x fil'M. The
associated embedding is called the Segre embedding. It is given explicitly by the
formula
fil'N X pAJ
---+
fil'N M+N+M
([Xo, . .. , X N ], [Yo , ... ,YM
])
f----+
[X oYO, X OY1 , .. . , X ) 'j , .. . , X NYM
Now let V be a subvariety ofpN x pM, say : V
*(prHI
+ p;H2) = (P I 0
is a very ample divisor on V.
<.......>
)* HI
pN
+ (P2 0
pM . Then
)* H 2
].
7.3. The WeilHeight Machine
407
7.3 The Weil Height Machine

The theory of height functions that we developed in Sections 3.1-3.5 provides a
powerful tool for studying the arithmetic of morphisms : ]p'N - t ]p'N of projective
space. For example, if has degree d ~ 2 and is defined over a number field K, then
the fundamental estimate (Theorem 3.11)
h((P )) = d h(P ) + 0 (1)
for all P E ]p'N (Q)
(7.14)
and the fact (Theorem 3.7) that there are only finitely many points in ]p'N (K) of
bounded height lead immediately to a proof of Northcott's theorem (Theorem 3.12)
stating that has only finitely many K -rational preperiodic points.
Recall that the height h(P ) of a point P E ]p'N(Q) is a measure of the arithmetic
complexity of P. Similarly, the degree of a finite morphism measures the geometric
complexity of . Thus an enlightening interpretation of (7.14) is that it translates the
geometric statement " has degree d" into the arithmetic statement "h((P)) is
approximately equal to dh(P )."
A natural way to define a height function on an arbitrary projective variety is to
fix an embedding : V '---'> ]p'N and define hv (P) to equal h((P )) . Unfortunately,
different projective embeddings yield different height functions . But letting H denote
a hyperplane in ]p'N , one can show that if the divisors * Hand 1jJ* H are linearly
equivalent, then the height functions attached to : V '---'> ]p'N and 1jJ : V '---'> ]p'M
differ by a bounded amount.
More intrinsically, the projective embedding determines the divisor class of the
very ample divisor * H . This suggests assigning a height function to every divisor
on V . The Weil height machine provides such a construction. It is a powerful tool that
translates geometric facts described by divisor class relations into arithmetic facts
described by height relations. As such , the Weil height machine is of fundamental
importance in the study of arithmetic geometry and arithmetic dynamics on algebraic
varieties of dimension greater than 1.
Theorem 7.29. (Weil Height Machine) For every nonsingular variety V /Q there
exists a map
h v : Div(V) ---. {functions V(Q)
-t
JR},
f--t
hV,D,

(a) (Normalization) Let H C ]p'N be a hyperplane and let h : ]p'N (Q) - t JR be the
absolute logarithmic height fun ction on projective space defined in Section 3.1.
Then
for all P E ]p'N (Q).
(b) (Functoriality) Let : V - t V' be a morphism ofnonsingular varieties defined
over Qand let DE Div (V' ). Then
hV,q,"D(P ) = hV1,D((P )) + 0 (1)
for all P E V(Q).
408
(c) (Additi vity) Let D , E E Div (V ). Then
hV,D+E(P ) = hV,D (P ) + hV,E(P ) + 0 (1)
for all P E V(Q).
(d) (Linear Equivalence) Let D, E E Div(V) with D linearly equivalent to E. Then
hv,o(P) = hV,E(P ) + 0 (1 )
for all P E V (Q).
(e) (Pos itivity) Let D E Div (V ) be an effective divisor. Then
bv.o 'P) ;::: 0 (1)
for all P E V(Q) " Base(D ).
That is, hV,D is bounded below fo r all points not in the base locus of D .
(f) (Finiteness) Let D E Div (V ) be ample. Thenfor all constants A and B , the set
{p E V(Q) : [Q(P) : Q] ::; A

is finite. In particular,
finite extension, then
if V
and hV,D(P)
< B}
is defin ed over a number fi eld K and
{p E V( L)
if L/ K
is a
: hV,D (P ) ::; B}
is a fin ite set.

(g) (Uniqueness) The height functions hV,D are determined, up to 0 (1), by the
properties of (a) normalization, (b) functoriality, and (c) additivity. (It suffices
to assume functoriality for projective embeddings V '-+ jp'N.)
Proof See [76, Chapter 2], [205, Theorem B.3.2], or [256, Chapter 4].
Remark 7.30. All ofthe 0 (1) constants appearing in the Weil height machine (Theorem 7.29) depend on the various varieties, divisors , and morphisms. The key fact
is that the 0 (1 ) constants are independent of the points on the varieties. More precisely, Theorem 7.29 says that it is possible to choose functions hV,D, one for each
smooth projective variety V and each divisor D E Div (V ), such that certain prop erties hold, where those properties involve constants that depend on the particular
choice of functions hV,D. In principle, one can write down particular functions hV,D
and determine specific values for the associated 0 (1) constants, so the Weil height
machine is effective. In practice, the constants often depend on making the Nullstellensatz effecti ve, so they tend to be rather large.
Remark 7.31. Many of the properties of the Weil height machine may be succinctly
summarized by the statement that there is a unique homomorphism
hV
such that if : V
V
P 1c( ) -----+
'-+ jp'N
{functions V( K) -7 R}
{bounded functions V (K) -7 R}
-;-,-------'-.,..---:-....,---- -,------'--:'-::-:-::=::---=-----=-o-
is a projective embedding, then bv, H = h + 0(1).
7.3. The Weil HeightMachine
409
Example 7.32. Let : jp'N - t jp'N be a morphism of degree d and let H E Div(jp'N )
be a hyperplane. Then * H '" dH, so Theorem 7.29 allows us to compute
hpN,H((P )) = hpN,<t> 'H (P ) +0( 1) = hpN,dH (P ) + 0( 1) = dhpN ,H(P)+ O(l).

This formula is Theorem 3.11.
Example 7.33. Let V be a subvariety of jp'N x jp'M, say : V <-t jp'N X jp'M .
Continuing with the notation from Examples 7.27 and 7.28, the height of a point
P = [x, y] E V with respect to the divisors * pi H I and *p'2 H 2 is given by
= hPN,H1 (PI(P )) = h(x ),
hv,<t> ' piHI (P)
hV ,<t>' p;H 2(P ) = hjj> M,H2(P2(P )) = h(y ).

Example 7.34. This example uses properties of elliptic curves; see Sections 1.6.3
and 6.3. Let E be an elliptic curve given by a Weierstrass equation. Then the zcoordinate on E, considered as a map x : E - t jp'I, satisfies
x*(oo)
so we have
hE,(o )(P ) =
2(0),
"2hIl'I ,(OO) (x( P) )
+ 0 (1).
Note that the height h p l ,(OO ) is just the usual height on jp'I from Theorem 7.29(a).
Now let d ~ 2, let [d] : E --+ E denote the multiplication-by-d map, and let
E[d] = {P E E : [d] P = O}.

The map [d] is unramified and
* ((0 )) =
(T ) E Div(E ).
TEE[d]
The group E[d] is isomorphic as an abstract group to Z / dZ x Z/ dZ, so the sum of the
points in E[d] is O . It follows from Proposition 6.18 that there is a linear equivalence
of divisors
*((O)) '" d2 (0 ).
Hence we can apply Theorem 7.29 to compute
hE,(O) ([dJP)
= hE,[dJ' (O)(P) + 0(1)

= hE,d2(O )(P ) + 0(1)
= d2h E ,(o )(P ) + 0 (1)
from functoriality (b),

linear equivalence property (d),
from additivity (c).
Theorem 3.20 then tells us that there exists a function hE,(O) on E satisfying
and
hE,(O)(P) = hE,(o )(P ) + 0(1 ).
The function hE,(O) is called the canonical height on E. It has many applications,
ranging from counting rational points to evaluating L-series. For further information about canonical heights on elliptic curves and abelian varieties, see, for example [205, 8.5], [256, Chapter 5], or [410, VIII 9].
410
Remark 7.35. The reader should be aware that the theory of heights is often
rephrased in the language of metrized line bundles, which offers greater flexibility,
albeit at the cost of additionalwork to set up the general theory.
7.4
Dynamics on Surfaces with Noncommuting

Involutions
An involution Lof a variety V is a rational map L: V ----t V with the property that L2
is the identity map on V. Ifwe look at the quotient variety
W = V/{L(P) =
p},
then the natural projection p : V ----t W is a double cover, and the effect of L on V
is to switch the two sheets of the cover. Conversely, any double cover p : V ----t W
induces an involution L : V ----t V.
The dynamics of a single involution is not very exciting, but some varieties have
two (or more) noncommuting involutions LI and L2 whose composition = LI 0 L2 is
an automorphismof V of infinite order. The dynamics of such maps can be quite
interesting. In this section we study in detail an example of this type. The material in
this section is taken from [409].
7.4.1 K3 Surfaces in jp'2 x
jp'2
We consider a surface S contained in]P'2 x ]P'2 definedby two bihomogeneous equations, one ofbidegree (1,1) and the other ofbidegree (2,2). Thus
S
= {(x,y) E]P'2 X]P'2 : L(x,y) = Q(x,y) = o}
for bihomogeneous polynomials

2
L(x,y)
= LLAijxiYj,
i=O j=O
Q(x, y)
(7.15)
L
0~i~j~2
BijkxiXjYkY
0~k~~2
The surface S is determinedby the coefficients

A
= [ADD, A OI , "
"
A 22] E]P'8
and B
= [Boooo, B OOOI , "
"
B 2222] E ]P'35
of the polynomials Land Q. To indicate this dependence, we write SA,B.

There are two natural projections from S to ]P'2, which we denote by
PI, P2 : S
-------->
]P'2,
PI(X,y)
= x,
P2(X,y) = y.
These projections are maps of degree 2. To see this, choose a generic point a E lP'2.
Then
7.4. Dynamics on Surfaces with Noncommuting Involutions
411
Pll (a) = {(a ,y) E 1P'2 x p 2 : L(a,y) = Q(a ,y) =
o}
consists of two points (counted with multiplicity), since it is the intersection of the
line L (a , y ) = 0 and the conic Q(a , y) = 0 in 1P'2 . And similarly, P2 is a map of
degree 2.
In general, a degree-2 map between varieties induces an involution on the domain given by switch ing the two sheet s of the cover. In our situation the maps PI
and P2 induce involutions LI and L2 on SA ,B . Explicitly, if P = [a, b ] E SA ,B ,
then LI (P) = [a, b'] is the point satisfying
and similarly, L2 (P ) = [a' . b ] is the point satisfying
These involutions are uniquely determined as nonidentity maps S A ,B

isfying
and
PI 0 LI = PI
P2 0 L2 =P2
----7
S A,B sat-
We note that LI and L2 are rational maps on S, i.e., they are given by rational
functions . To see why this is true, obse rve that band b ' are the intersection point s
in p2 of the line and the conic
L(a,y) = 0
and
Q(a ,y) =
o.
Thus each of band b' can be expressed as a rational function in the coordinates of
the other. The following example will help make this clear, or see Exercise 7.25 for
explicit formulas to compute LI and L2.
Example 7.36. We illustrate the involut ions on S A ,B using the example
L (x , y )
= XoYo + X I YI + X2Y2,
Q (x , y )
= x~Y6 + 4X~YOYI
+ 7X~YIY2 + 3XOXIY6 + 3XOX IYOYI

+ XOXIY2 + XIYo +
+ 4 X2IYIY2 - XOX2YI2
+ 5XOX2YOY2 - 4XIX2yi - 4XIX2YOY2 - 2X~YOYI + 3x~y~.
2
- x 6yi
2 2
2 2 2
X I YI
The point P = ([1 ,0,0], [0,7,1]) is in S(Q). In order to compute

tute the value x = [1,0,0] into Land Q and solve for y. Thus
L([I , 0, 0], y ) = Yo = 0 and Q([I , 0, 0], y ) = Y6 + 4YOY I -
LI
(P), we substi-
yi + 7YIY2 = 0,
so the solutions are y = [0, YI , Y2 ], where YI and Y2 are the roots of the polynomial -y~ + 7YIY2 = O. One solution is YI = 7, which gives the original point P ,
and the other solution is YI = 0, which gives LI(P ) = ([1,0,0],[0,0, 1]).
Next we compute L2(P ), To do this, we substitute y = [0, 7, 1] into Land Q to
obtain
412

L(x, [0, 7,1]) = 7XI + X2 = 0,
Q(x, [0,7,1]) = XOXI - 49xoX2 + 126xi - 196xI X2
Substituting X2
+ 3x~ = o.
-7XI into the second equation gives
Q([XO' Xl, -7XI], [0,7,1]) = 344xoXI + 1645xi =
o.
The solution Xl = 0 gives back the original point P. The other solution is [Xo, Xl ]
[1645, -344] , and then setting X2 = - 7XI = 2408 gives
~2 (P)
= ~2 ([1, 0, 0], [0, 7, 1])
= ([1645, -344,2408], [0, 7, 1]) .
We could continue this process , but the size of the coordinates grows very rapidly.
Indeed, the y-coordinates of ~l (~2(P)) are already integers with 12 to 13 digits.
Remark 7.37. The surface S described by (7.15) is an example of a K3 surface.

Formally, a K3 surface is a surface S of Kodaira dimension 0 with the property
that HI (S, Os ) = O. However, all of the information that we will need is contained
in the explicit equations (7.15) defining S. The reader desiring more information
about the geometric properties ofK3 surfaces might consult [40, 44, 178,298]. The
dynamics of K3 surfaces with nontrivial automorphisms are studied by Cantat [93]
and McMullen [296].
Remark 7.38. The collection ofK3 surfaces SA ,B is a 43-parameter family, since the
coefficients (A, B) vary over W8 x W35 . However, many of the surfaces are isomorphic. For example, we can use elements ofPGL 3 to change variables in each of two
factors oflP'2. This reduces the dimension of the parameter space by 16, since PGL 3
has dimension 8. Further, the surface SA ,B really depends only on the ideal generated by the bilinear form L (x ,y) and the biquadratic form Q(x ,y), so the surface
does not change if we replace Q(x , y ) by
Q(x ,y) + L (x ,y) M (x ,y)

for an arbitrary bilinear form M (x, y ). The space of such M is 9-dimensional, so
we see that the isomorphism classes of K3 surfaces SA ,B constitute a family of
dimension at most
8
'-v-"
A Ep8
+ '-v-"
35
B EP35
'-v-"
P G L3
'-v-"
P GL 3
'-v-"
= 18.
AI
One can prove that these are the only isomorphisms between the various SA ,B ,
so there is an 18-parameter family of isomorphism classes of nonsingular surfaces SA,B .
Definition. There are several linear, quadratic, and quartic forms that come up naturally when one is working with the surface S A,B. We define linear and quadratic
forms by setting
7.4. Dynamicson Surfaces with Noncommuting Involutions
Lj(x)
= the coefficient
413
ofYj in L(x, y),
L(y) = the coefficient of Xi in L(x,y),

Q'h(x) = the coefficient ofYkY in Q(x, y),
Qj(y) = the coefficient of XiXj in Q(x, y).
(7.16)
This notation allows us to write the bilinear form L and the biquadratic form
L(x, y) =
Q(x,y)
j=O
i=O
L Lj(x)Yj = L L(y)Xi,
L Q'h(X)YkY L
=
0~k~~2
Q as
Qj(y)XiXj.
0~i~j~2
Then for each triple of distinct indices i, j, k E {O, 1, 2} we define quartic forms
G% = (Lj)2Qfi -
Lf LjQfj + (Ln 2Qjj'
G% = (Lj)2Qi - LLjQj + (Ln 2Qjj'

HfJ
H0 =
(7.17)
+ (Lk) 2Qij,
2LLjQ%k - LL%Qjk - LjL%Qk + (L%)2Qj'
2Lf LjQ%k -
Lf L'hQjk -
Lj L%Qfk
For some choices of A and B, there may be points on the surface SA,B at
which ~l or ~2 is not well-defined. The next proposition, which provides a criterion for checking whether ~l and ~2 are defined at a point, shows how the quartic
forms (7.17) naturally appear.
Proposition 7.39. Let P = [a, b] E SA,B.

(a) The involution ~l is defined at P unless
G~(a)
(b) The involution
= Gf(a) =
~2
G~(a)
= Hg1 (a) = Hg2(a) = Hf2(a)
O.
is defined at P unless
Proof By symmetry, it is enough to prove (a). The map ~l is defined at P = [a, b]

if and only if the fiber PI 1 (a) consists of exactly two points. That fiber is the set of
points [a, y] satisfying
L(a,y) = Q(a,y) = 0,
so as long as these two polynomials are not zero, the y values are given by the
intersection of a line and a conic in lP'2. If a line and a conic intersect properly, then
they intersect in exactly two points, counted with multiplicity. Further, given one
solution y = b, the coordinates of the second solution b' are rational functions of b
and the coefficients of L(a, y) and Q(a, y). Hence ~l is a morphism' except in the
following two situations:
I We leave for the reader to check that everything works in a neighborhood of points where the
line L(a, y) = 0 is tangent to the conic Q(a, y) = O.
414
L( a, y) is identically O.
L( a, y)
= 0 is a line that is contained in the set where Q(a, y) = O.
With the notation defined by (7.16) and (7.17), we use the bihomogeneity of Q to
write
and then we eliminate the variable Yo by substituting LoYo = L - LfYl - L'2Y2.

After some algebra, we obtain an identity of the form
+ Hf2YIY2 + GfY~
+ L{ QooL + (LOQOl - 2LfQoo)Yl + (LOQ02 - 2L'!jQoO)Y2}'
(LO)2Q = G'!jyi
Since we will be interested in studying points [x, y] satisfying L(x, y) = 0, we write

this identity, and the analogous ones obtained by eliminating Yl or Y2, as congruences
in the polynomial ring Z[A i j , Bijk, Xi, Yj]. Thus
+ Gf(x)y~
Lf(x)2Q(X, y) = G2(x)Y5 + Hg2(x)YOY2 + Go(x)y~
L2(X)2Q(x,y) = Gf(x)Y5 + Hg1(x)YOYl + Go(x)yi
LO(X)2Q(X, y) = G'!j(x)yi + Hf2(X)YIY2
(mod L(x,y)), (7.18)

(mod L(x, y)), (7.19)
(mod L(x,y)). (7.20)
Suppose first that L( a, y) is identically O. Substituting x = a into (7.18), we find

that the quadratic form
is identically O. Hence G2(a) = H 12(a) = G1(a) = O. Similarly, substituting x = a into (7.19) and (7.20) shows that all of the other values G'k(a) and Hij (a)
are equal to 0, which completes the proof in this case.
We may now suppose that L( a, y) is not identically O. Then the assumption
that Ll is not defined at [a, b] implies that the line L(a, y) = 0 is contained in
the zero set of Q(a, y).
If L1(a) = L'2 (a) = 0, then the definition (7.17) of Go shows that Go(a) = O.
And if L1(a) and L2(a) are both nonzero, then we let
b' = [O,L2(a), -Lf(a)]

and note that [a, b'] E Sa,b. Hence
A similar argument shows that also G1(a) = G2(a) = O.

Next we evaluate (7.18), (7.19), and (7.20) at x = a and use the fact that we now
know that Go(a) = G1(a) = G2(a) = O. This yields
415
Hf2(a)YIY2 = H~2 (a) yOYz = H~l (a)YoYI =

for all y = [Yo,YI , yz] satisfying L(a, y ) = 0. (7.21 )
Wewill provethat H 12(a) = 0; the others are done similarly. Ifthere is a point on the
line L(a ,y) = with YIY2 i- 0, then (7,21) immediately implies that H 1z(a) = 0.
So we are reduced to the cases in which the line L(a , y ) = is either YI =
or yz = 0. If it is the line YI = 0, then L(a , y ) = CYI for some constant c i- 0,
so Lo(a) = L2(a) = 0, and similarly ifi t is the line yz = 0, then Lo(a) = Ll(a) =
0. In either case, the definition (7.17) of H 1z yields
Hfz(a) =
2Lf (a)L~ (a)Qoo (a)
- Lf (a)Lo (a)Q~o (a) - L2(a)Lo(a)Qfo(a) + Lo(a)2Qfz(a) = 0. 0

Example 7.40, We illustrate Proposition 7.39 using the surface described in Example 7.36. The polynomials G'k and Htj for this exampleare givenin Table7,1, Proposition 7.39 says that [1 is defined at P = [a, b] provided that at least one of the six
polynomials Go, Gf , G2, HOI' Hoz , H 12 does not vanish at a. For convenience we
say that a point a E ]P'2 is degenerate if
Our first observation is that

and
Hence there are no degeneratepoints with ao = 0. (Weassume that K does not have
characteristic 2.) Thus if there exists a degenerate point a, we can dehomogenize a
and write it as a = [1, aI, az] , Weuse a tilde to indicate the dehomogenization Xo =
1 of the G'k and Htj polynomials. So for example,
Now suppose that a = (aI, a2) is a degenerate point. Then Xl = al is a common

root of the polynomials
Hence if we take resultants with respect to the X2 variable, then Xl = a l is a root of

both of the polynomials
R I (X2) = Res X 1 (Gf(X I, X2) , ii~I (Xl , X2)) ,

R 2(xz) = Res X 1 (G2(X I , X2 ) ,ii~I (X I , X2 )) '
Explicitly, these polynomials are
416
y 3 + YOY2
2 2
Go
- - 2YOY13 + 4Y1Y2
+ 4YOY1Y22 + 5Y12Y22 + 4Y1Y23
y
2
2 2
4
2
2 2
7 3
G 1 = - 2Yo3 Y1 + YOY1Y2
- YOY2 + YOY1Y2 - Y1Y2 + Y1 Y2
3
c: = Yo4- 3YOY1
+ 4YOY13 2
y
H 01
4+4YOY1Y2 + 73
Y1
Y1Y2 - YOY1Y22
2
2 2
3
= - 4YOY1
+ 4YOY12Y2 + Y1Y2
+ 7YO2Y22 + 4YOY1Y22 + Y24
Hl;02 = 4YOY1
3 - Y14 + 2YoY2
3 + YoY1Y
2
2
2 + 6YOY1Y2
+ 8YOY1Y22 - Y1Y23
tt:12 = - 4YOY1
2 2
3 - 6YOY1Y2
2
2
3 + 14Y1Y2
2 2
+ YOY13 - 7YoY2
+ 8YOY1Y2
- 2Y1Y2
- YOY23
Table 7.1: The polynomials

R 1 (xd
G~
and H i} for the surface in Example 7.36.
= 4X~2 + 112x P + 11 60x ~ o + 5112 xr + 7052x~
R 2(x d =
- 227 1xi
+ 1 8573x~
+ 2 160xr + 16053x f - 7304xr + 1045x I - 49x I,

4x~6 + 80X ~ 5 + 600X~4 + 2064 x ~ 3 + 2548x }2 - 36 16x P - 1 421 6x ~ o
- 10892xr + 98 56x~ + 2170 8xi + 1 5648x~ + 1000xf - 13986xf
- 10462xr - 3 124xI - 412xI - 18,
and the assumption that R 1 and R 2 have a common root implies that their resultant
must vanish. However, when we comput e it, we find that
Res(R 1 , R 2 )
198929 . . . 3830147072 ~ 1.99 . 1087 .
Hence t 1 is defined at every point of SA ,B unless the characteristic of K divides this

(large) nonzero integer Res(R 1 , R 2 ) .
We can use other resultants to reduce the list of possible bad characteristics.
For example, let R O(X2) = Res X 1 (Go ,HOl )' Then tl is everywhere defined unless
both Res(flo , R 2 ) and Res(R l , R 2 ) vanish. We compute
gcd (Res( flo, R 2 ) , Res( R 1 , R 2 ) ) = 439853213743020234882809856
= 217 . 36 . 317 14521485737273461,
(7.22)
417
which proves that L1 is everywhere defined unless p is one of the four primes appearing in (7.22).
We sketch a similar calculation for L2. Let
= ResY1 ( Gg (Y1, Y2), iIlf1 (Y1, Y2) ) ,

T 1(Y2) = Res Y1 (Gi (Y1, Y2), iIlf1 (Y1' Y2)),
T 2(Y2) = Res Y1 (G~ (Y1, Y2), iIlf1 (Y1' Y2))'
To (Y2)
Then Res(To, T 2 ) ~ 2.57.10 97 and Res(T1 , T 2 ) ~ 2.75.10 114 , and
gcd (Res (To, T 2 ) , Res(T1 , T 2 ) ) = 216 5075932895545793631.

Hence L2 is everywhere defined unless the characteristic p of K is one of the three
primes appearing in this factorization.
A map p : V -> W of degree 2 between varieties always induces an involution L : V -> V, but in general L is only a rational map, it need not be a morphism.
This distinction is quite important. For example, height functions transform well for
morphisms, but not for rational maps. We now show that for most choices of (A, B),
the involutions on S A,B are morphisms.
Proposition 7.41. There is a proper Zariski closed set Z C
if(A, B) ~ Z, then the involutions
lP'8 X lP'35
such that
are morphisms.
Proof According to Proposition 7.39, the involution
provided that the system of equations
L1
is defined on all of SA,B
(7.23)
has no solutions in lP'2. A general result from elimination theory (see [198, I.5.7A])
says that there are polynomials h, ... , I- in the coefficients of
such that the equations (7.23) have a solution if and only if h = ... = ir = O.
The coefficients of Go, ... ,H'f2 are themselves polynomials in the coefficients
of L(x, y) and Q(x, y), so we can write each ii as a polynomial in the variables A
and B. There are then two possibilities:
The set of ii consists only of the zero polynomial, and hence every surface S A,B has some point at which L1 is not defined.
The set of ii contains at least one nonzero polynomial
defined on SA,B provided that h(A, B) # o.
h, and then L1 is well-
418
In order to eliminate the first case, it suffices to write down a single surface SA,B
for which the system of equations has no solutions in JP'2. We gave such a surface in
Example 7.40, at least provided that the characteristic of K is not equal to 2, 3, 317,
or 14521485737273461. Similarly, the above argument and Example 7.40 show
that L2 is defined on a Zariski open set of (A, B) as long as the characteristic of K
is not equal to 2, 507593, or 2895545793631. This completes the proof of Proposition 7.41 except for fields having one of these six characteristics. We leave as an
exercise for the reader to find other examples to cover the remaining cases.
0
Remark 7.42. See Exercise 7.28 for a less computational proof of Proposition 7.41.
7.4.2 Divisors and Involutions on SA ,B

In this section we study how the involutions LI and L2 act on divisors on S A,B. Later
we use this information to study how iterates of the involutions act on points. This
prompts the following definitions.
Definition. Let LI and L2 be the involutions of the surface S A,B defined by (7.15).
These involutions generate a subgroup (possibly all) of Aut(SA,B). We denote this
subgroup by A. Then for any point P E SA,B, the A-orbit ofP is the set
A(P)
{7,b(P): 7,b
A}.
Let H E Div(JP'2) be a line. As described in Example 7.28, pulling back using

the two projections gives divisors on JP'2 x JP'2,
and
and the Picard group ofJP'2 x JP'2 is isomorphic to ,;2 via
(By abuse of notation, we write nlHI + n2H2 for its divisor class.) We note
that nlHI + n2H2 is a very ample divisor on JP'2 x JP'2 if and only ifboth nl and n2
are positive.
Next we define two divisors D I , D 2 E Div(SA,B) using the two projections
of SA,B to JP'2,
and
Wehler [448] has proven that the Picard group of a general surface SA,B satisfies
PiC(SA,B) ~ ,;2 and that D I and D 2 are generators.? but for our purposes it will
not matter ifPic(SA,B) is larger than ,;2, we will simply use the part ofPic(SA,B)
generated by D I and D 2 .
We now compute the action of LI and L2 on D I and D 2
2What this means is that the set of coefficients (A, B) E lP'8 X lP'35 for which Pic(SA,B) is strictly
larger than ;Z2 forms a countable union of proper Zariski closed subsets of lP'8 x lP'35. This implies that
most (A, B) in lP'8(C) x lP'35(C) have Picard group ;Z2, but it does not directly imply that there are any
such values in lP'8(1Qi) x lP'35(1Qi), since IQi is countable.
419
Proposition 7.43. Let D l = P~ Hand D 2 = p'2H. The involutions ~l and ~2 act

on the subspace ofPic(SA,B) generated by D l and D 2 according to the following
rules:
~~Dl
~iD2
= D l,
= 4D l - D 2,
~'2Dl
-o, + 4D 2,
(7.24)
~2D2 = D 2
(7.25)
Proof The involution ~l switches the sheets of the projection Pl, so it is clear
that Pl 0 ~l = Pl. This allows us to compute
This proves the first formula in (7.24).

Next we observe that for any P E SA,B, the two points in the set PIl (Pl (p))
are P and ~l(P), Thus if we start with a divisor on SA,B, use Pl to push it down
to ]P'2, and then use Pl to pull it back to SA,B, we get back the original divisor plus
its translation by ~l. In other words,
Using this formula with D
= D 2 allows us to compute
(7.26)
The divisor Pl*P'2H on]P'2 is linearly equivalent to some multiple of H. For simplicity, let H be the line Y2 = O. Then P'2H is the curve in ]P'2 x ]P'2 (lying on SA,B)
given by the equations
Y2 =
o.
We solve the linear equation L = 0 to express Yo and Yl as linear functions

of [xo, Xl, X2], and then substituting into the quadratic equation Q = 0 yields a
homogeneous equation of degree 4 in xo, Xl, X2. SO when we use Ph to push P'2H
down to ]P'2, we get a curve of degree 4 in ]P'2. Hence
where this is an equality in Pic(]P'2). Substituting into (7.26) yields the second formula in (7.24).
By symmetry, or by repeating the above argument, the two formulas in (7.25) are
also true.
D
Remark 7.44. It is not hard to prove that the only relations satisfied by compositions
of ~l and ~2 are ~i = 1 and ~ = 1. In other words, A is isomorphic to the free
product of the groups of order 2 generated by ~l and ~2. An alternative description is
that A is isomorphic to an infinite dihedral group. See Exercise 7.31.
420
7.4.3 Height Functions on SA,B

In this section we use the WeiI height machine to translate the divisor relations and
transformation formulas from Proposition 7.43 into relations among height functions. We recall from Example 7.33 that the height functions associated to the divisors D 1 and D 2 are given at a point P = [x, y] E SA,B by
h D 1 (P)
h D 2(P)
=
=
Proposition 7.45. Assume that
hpI H(P)
hp~H(P)
SA,B
=
=
hH(P1P)
hH(P2P)
=
=
h(x),
(7.27)
h(y).
is defined over a numberfield K. Let
a=2+V3
and define functions h +, h - : S A,B (K) ----; lR by the formulas
h+([x,yJ)
-h(x)
+ ah(y)
and
h-([x,yJ) = ah(x) - h(y).
Then h+ and h: transform according to the following rules:

h+
0 [1
= ah- + 0(1),
t.: 0
[1
= a- 1h+ + 0(1),
h+
0 [2
= a- 1h- + 0(1),
h-
[2
= ah+ + 0(1).
Remark 7.46. Before starting the proof of Proposition 7.45, we pause to explain
why the number a and the functions h+ and h- arise naturally. Consider a twodimensional real vector space V with basis elements D l and D 2 , where we view V
as a subspace of Pic(SA,B) @ R Then the formulas (7.24) and (7.25) in Proposition 7.43 tell us how [i and [2 act on V. In terms of the given basis, they are linear
transformations that act via the matrices
*
[1
(10-14)
and
[2
(-10)
4 1 .
We now look for a new basis {E 1 , E 2 } for V with the property that
change the basis. More precisely, we ask that
[i and [2 inter-
for some constants a, b, c, d. This problem can be solved directly, but it is easier
to observe that [2[i E 1 = adE l and [2[i E 2 = bcE2. Thus E 1 and E 2 must be
eigenvectors for the linear transformation [2[i, whose matrix is
* *
[2[1
(10-14) (-1410) = (15-4 -14) .
It is easy to check that

and
421
are a pair of independent eigenvectors with eigenvalues a 2 and a- 2 respectively.

This explains the appearance of a, and then one checks that these eigenvectors satisfy
[2*E 1
= a -lE2,
(7.28)
It is then natural to define height functions h+ and ti: corresponding to the divisors E 1 = -D 1 + aD 2 and E 2 = aD 1 - D 2 , since the divisor relations (7.28)
and the Weil height machine should then yield corresponding relations for the height
functions.
ProofofProposition 7.45. Having given the motivation, we commence the proof of

Proposition 7.45, which is a formal calculation using the additivity and functoriality of height functions (Theorem 7.29(b,c)) and the transformation formulas (7.24)
and (7.25) in Proposition 7.43. Note that
h(x) = h D1([x, vl)
and
h(y) = h D2([x, y])
from (7.27). We compute

h+
0 [1
+ ahD 2 0 [1
= -h'~Dl + ah'~D2 + 0(1)
= -h D1 + ah4D,-D2 + 0(1)
= (-1 + 4a)h D1 - ah D2 + 0(1)
2hD
= a
1 - ah D2 + 0(1)
= oh" + 0(1).
= -h D1 0
[1
by definition of h +,
from Theorem 7.29(b),
from Theorem 7.29(c),
since a 2
= 4a
- 1,
Similarly
h+
0 [2
-h D1 0
[2
+ ah D2 0
[2
by definition of h - ,
= -h'~Dl + ahL~D2
= -h- D1+4D2 + ah D2
from Theorem 7.29(b),
+ (-4 + a)h D2
= h D1 - a- 1h D2 + 0(1)
= a- 1h- + 0(1).
from Theorem 7.29(c),
= h D1

since a 2
4a - 1,
This proves the transformation formulas for h +. The proof for h - is similar and is
left for the reader.
0
We can use Proposition 7.45 and the general theory of canonical heights (Theorem 3.20) to construct two heights on SA,B that are canonical with respect to both [1
and [2.
functions
SA,B
be defined over a number field K. There exist unique
422

and
satisfying both the normalization conditions
i: =
and
obo, - h D 2 + 0(1)
(7.29)
and the canonical transformation formulas
Proof Let = ~1
~1
h+O~l=ah-,
h-
h+
i: O~2 =
0 ~2
~2 = a -1
h- ,
= a-1h+,
(7.30)
ah+.
be the composition of the two involutions on SA,B and let

and
be the functions defined in Proposition 7.45. Then the transformation formulas in

Proposition 7.45 allow us to compute
h+ 0 = h+ 0 ~1
~2 + 0(1)
= ah-
~2 + 0(1)
= a 2h+ + 0(1).
The constant a 2 satisfies a 2 ~ 13.93 > 1, so we may apply Theorem 3.20 to the
functions and h+ to deduce the existence of a unique function h+ satisfying
h+ = h+ + 0(1).
and
Repeating this construction with
h-
0 -1
= h"
~2
~1
-1
= ~2
+ 0(1) = ah+
Applying Theorem 3.20 to the functions

tion h- satisfying
-1
and
~1, we find that
~1
+ 0(1) = a 2h- + 0(1).
and h: , we find that there is a func-
h-
= tc:
+ 0(1).
The functions h+ and h- that we have just constructed satisfy (7.29). In order to
check the transformation formulas (7.30), we first note that
h+ 0 ~1 = h+ 0 ~1 + 0(1) = ah- + 0(1) = ah- + 0(1).

In order to get rid of the 0(1), we compose both sides with -n and use the formula
to compute
anh+ O~l = h+ on 0 ~1 = h+ O~l o-n = ak- o-n +0(1) = an+lk- + 0(1).

Divide both sides by an and let n ----t 00 to obtain the desired result h+ 0 ~1 = ak-.
This proves the first of the transformation formulas (7.30). The others are proven
similarly.
423
7.4. Dynamicson Surfaceswith Noncommuting Involutions

Finally, in order to prove uniqueness, suppose that
isfying (7.29) and (7.30). Then
g+
and
g-
are functions sat-
and similarly g- 0 J-1 = a 2 g- . Hence g+ and g- have the same canonical properties as 11,+ and 11,-, so the uniqueness assertion in Theorem 3.20 tells us that g+ = 11,+
andg- = 11,-.
0
Remark 7.48. In practice, it is infeasible to compute the canonical heights 11,+ and 11,to more than a few decimal places using their definition as a limit. As with the other
canonical heights studied in Sections 3.4, 3.5, and 5.9, it is possible to decompose 11,+
and 11,- as sums oflocal heights that may then be computed using rapidly convergent
series (cf. Exercise 5.29). See [89] for details.
7.4.4
Properties and Applications of Canonical Heights
The next proposition describes various useful properties of the canonical height
functions 11,+ and 11,- and their sum. As an application, we prove that there are
only finitely many K -rational points with finite A-orbit. This is the analogue for
the K3 surfaces SA,B of Northcott's Theorem 3.12 on preperiodic points ofmorphisms on lP'N and of Theorem 7.19 on periodic points of regular affine automorphisms.
Proposition 7.49. Let SA,B be defined over a numberfield K, let 11,+ and 11,- be the
canonical height/unctions constructed in Proposition 7.47, and let
(a) The set
{p
SA,B(K) : h(P) < c}
is finite. (N.B. This is not true if we replace

see Exercise 7.35.)
(b) Let P E SA,B(K). Then
h+(P)
=0
-==}
h-(P)
=0
-==}
11, by either 0/the heights 11,+ and 11,-,
h(P)
=0
-==}
P has finite A-orbit.
(c) There are only finitely many points PESA,B (K) with finite A-orbit.
Proof (a) Using the properties of 11,+ and
11,-, we find that
11,=11,++11,= (-h D 1 + ah D 2 )
+ (ah D 1 - h D 2 ) + 0(1)
= (a -1)(h D 1 + hD 2 ) + 0(1).
As noted earlier, the heights h D 1 and h D 2 are given by
by definition of 11"
424
hD 1 ([x, vl) = h(x )
and
where h(x ) and h(y ) are the standard heights ofx and yin jp'2 . Hence
it ([x, y]) = (0 - l )(h(x ) + h(y )) + 0 (1 ),

so if it( [x, vl) is bounded, then both h(x) and h(y ) are bounded. (Note that 0 satisfies 0 > 1, which is crucial for the argument to work.) This completes the proof
of (a), since Theorem 3.7 tells us that lP2( K) contains only finitely many points of
bounded height.
(b) Since it = it+ + it- and both it+ and it- are nonnegative , it is clear that
Suppose next that it+(P) = O. Let = ~l
~2 as usual. Then
it(n(p)) = it+(n(p)) +it-(n(p))

= 0 2nit+(P ) + 0- 2nit- (P )
=
0 -
2nit- (P ).
The righthand side is bounded (indeed, it goes to 0) as n --t 00, so we see

that { n(p ) : n ~ O} is a set of bounded it-height. It follows from (a) that it is
a finite set. Since is an automorphism, we deduce that P is periodic for . We now
perform a similar calculation using - n,
h(- n(p )) = h+( - n(p )) + A- (- n(p ))

= 0 - 2nh+(P) + 0 2nh- (P )
=
2nit- (P ).
The lefthand side is bounded , since P is periodic for , so letting n --t 00 implies
that h- (P) = o.
This proves that it + (P) = 0 implies it- (P) = 0, and a similar argument gives
the reverse implication, which completes the proof that
In order to study A-orbits of points , we make further use of the formula
Suppose first that P has finite A-orbit. Then it(n(p )) is bounded, since it takes on
only finitely many values. Letting n --t 00 in (7.31) and using the fact that 0 > 1,
we deduce that h+(P) = o.
Finally, suppose that h(P) = O. Then it+(P) = it- (P) = 0, so (7.31) tells
us that h(n(p )) = 0 for all n E Z. In particular, { n(p ) : n E Z } is a set of
bounded h-height, so (a) tells us that it is a finite set. But the A-orbit of P is equal to
425
so A (P ) is also finite.
The canonical height functions on S A ,B can also be used to count the number of
points of bounded height in an A-orbit, as in our next result. See Exercise 7.21 for
an analogou s (conditional) estimate for regular affine automorphisms of ]P'N .
Proposition 7.50. Let S A ,B be defin ed over a numberfield K. andf oranypoint P
[x, y] E S A ,B( K), let h(P ) be the height fun ction
AIso let
let
0:
2 + V3 as usual. Fix a point Q E SA ,B (K) with infinite A-orbit and

JL (Q )
= #{ 7jJ E A
: 7jJ(Q)
= Q}
be the order ofthe stabilizer ofQ. Then

2
#{ P
E A (Q ) : h(P ) ~ B } =
JL
1 logo (
(Q)
h+(Q )h-(Q)
+ 0 (1) as B
-+ 00,
where the 0 (1) constant is independent ofboth Band Q .
The key to proving Proposition 7.50 is the following elementary counting lemma.
Lemma 7.51. Let a, b > 0 and u
> 1 be real numbers. Then

as t
-+ 00,
where the 0 (1) constant depends only on u.

Proof We start by writing the real number log., ( vr;ra) as the sum of an integer
and a fractional part,
log.,
If
= m
+r
with m E Z and
Irl
~ ~.
(The reason that we do this is because the function au X + bu : " has a minimum
at x = logu (vr;ra).) Then replacing n by n + tti in the expression au" + bu- n
yields
Hence
It thus suffices to prove that if c, dE 1R are both between u -
1 2
/
and
1 2,
U /
then
426
as t
~
We note that if n
--+ 00 .
(7.32)
0, then
and similarly if n ::::: 0, then
Here the 0 (1 ) bounds depend only on u, since by assumption c and d are bounded
in terms of u. Therefore
#{n
Z: cu" +du- n
:::::
#{n E Z: logu (cu n +du- n ) ::::: logu(t)}

=#{n E Z: Inl + 0(1) ::::: logu(t)}
t} =
= 210gu(t)
+ 0(1).
This is the desired inequality (7.32), which completes the proof of Lemma 7.51.
ProofofProposition 7.50. We do the case that JL (Q) = 1 and leave the similar
case JL(Q) = 2 to the reader. (It is easy to check that JL (Q) ::::: 2; see Exercise 7.29.)
Let 4> = ~ I 0 ~2 . Every element of A is given uniquely as an alternating composition of ~I 's and ~2 's, so
A
OUT
A splits up as a disjoint union

= {n : n E
Z} U {n 0
~I :
n E Z}.
assumption that JL (Q) = 1 then implies that the A-orbit of Q is a disjoint union
(7.33)
Let h+ and h: be the canonical height functions constructed in Proposition 7.47

and let h = h+ + h-. We note that Proposition 7.47 tells us that h+ 04> = o:h+
and h- 0 = 0:- 1 h-. This allows us to compute
#{P
O(Q) : h(P) ::::: B}
B}
#{ n E Z : h+(nQ) + h-(nQ) ::::: B}
#{ n E Z : 0:2nh+(Q) + 0:- 2nh- (Q) ::::: B}
= #{ n
=
=
Z : h(nQ) :::::
1
= -100'
bet
B
)
h+(Q)h-(Q )
+ 0 (1)
since p,(Q) = 1,
definition of h,
from Lemma 7.51.
Further, if we replace Q with ~ I (Q), then we get exactly the same estimate, since
Hence using the decomposition (7.33), we find that
Exercises
427
#{p E A(Q): h(P):::; B}

= #{ P E O</>(Q) : h(P) < B} + #{ P E O</>(tlQ) : h(P)
:::; B}
~ log. (j,+(~~_(Q)) + 0(1)

Finally, in order to replace the canonical height
that
h with the naive height h, we note
h = h+ + h- = (ah D1 - hD2) + (-h D1 + ah D2) + 0(1)

= (a - 1)(hD1 + hDJ + 0(1) = (a - l)h + 0(1).
Thus
#{ P E A(Q) : h(P)
:::; B} =
#{ P E A(Q) : h(P)
:::; (a - l)B + 0(1)},
and replacing B with (a - l)B affects only the 0(1), since a> 1.
Exercises
Section 7.1. Dynamics of Rational Maps on Projective Space
7.1. Let a, b, c, d, e E iC and let : A 3
-->
A 3 be given by
(x,y,z) = (ax+ by2+(cx 2+dz)2, ey+(ax+ by2)2, dz+cx 2).
(7.34)
(a) Prove that is invertible if and only if ade =1= 0.

(b) Prove that is a regular automorphism if and only if abcde =1= 0.
(c) Clearly (0,0,0) is a fixed point of . Let b = -1, d = 1, and e = 1 - t 3 . Prove
that (0, t, t) is also a fixed point of tb. Hence there are infinitely many maps E Q[x, y, z]
of the form (7.34) such that Fix( ) n A,.3(Q) contains at least two points.
(d) Let b = -1 and d = 1. Find all of the (complex) fixed points of . If a, b, c, d, e E K,
describe the field K (Fix( . What are its possible Galois groups over K? (Hint. It is
easier to do the computations if you set e = 1 - t 3 .)
(e) Suppose that E lR[x, y, z] and that d = 1 and b > 0. Prove that has only one real
fixed point, i.e., show that Fix( ) n A3(lR) = {(O, 0, On. In particular, has only one
rational fixed point.
7.2. Let : A3
-->
A3 be the map
(x,y,z) = (x 2z,xy,yz).
(a) Calculate the indeterminacy locus of .
(b) What are the values of
. f
I im III
(x,y,z)EZ 3
h(x,y,z)~oo
h((x,y,z)
h(x, y, z)
and
lim sup
(x,y,z)EZ3
h(x,y,z)~oo
h((x,y,z)
h(x, y, z)
428
Exercises
(c) Same question as (b), but with the points (x , y, z ) E Z3 restricted to satisfy x yz
i= o.
7.3. Let : AN ---> AN be a regular affine automorphism and let n ~ 1. Prove that P er n ( )
is a discrete subset of AN (C), and that counted with appropriate multipl icities,
(This is Theorem 7.10(c). Hint. Rewrite Nn( p) = Pas l2 n (P) = ,p-(N- l 2)n(p ), show
that the homogenizations of l2 n and (N- (2 )n have the same degree, and use Bezout 's theorem to count the number of solut ions.)
3
2
---> A be the map ( x , y, z) = (y, Z, x ) .
(a) Find an explicit expression for n(x, y, z) . (There may be more than one case.)
7.4. Let : A3
(b) Calculate the dynamical degree of ,

dyndeg( )
lim deg(n)l /n.

n~oo
(See Remark 7.14 for a discussion of the dynamical degree.)

(c) Let dn = deg ( n ). Compute the generating function L n>odnT n and prove that it is
in (jJl(T) .
(d) Prove that PrePer ( ) C { P E A3 (Q) : h(P )
(e) Let 8
= dyndeg( ) and P
= a}.
E A 3 (Q). Find real numbers b > a
> 0 such that
for all (sufficiently large) integers n .

(f) With notation as in (d), if P ~ PrePer () , prove that
# {n ~ a: h(n(p )) < T}
~ oo
~T
lim
7.5. Let : 1P'3 --->
= - -.
~8
Jr3 be the rational map
(a) Prove that is a birational map, i.e., find a rational map 'IjJ so that
the identity map at all points where they are defined.
(b) Compute Z () and Z ( - 1). Where do they intersect?
'IjJ and 'IjJ
are
(c) * Let dn = deg ( n ). Prove that the generating function L n>odnT n is not in Q(T ).
The map in this exercise and the map in the previous exercise are examples of monomial maps,
see (199].
7.6. Let u , al , .. . , a N , bl , .. . , bN E
Q with u i= o. We proved in Lemma 7.17 that
Prove that this inequality need not be true if u =
a.
Exercises
429
7.7. This exercise generalizes Theorem 7.15. Let </> 1,. .. , </> t : AN
phisms with the property that
-+
AN be affine automor-
Let d; = deg(</>i) for 1 ~ i ~ t. Prove that there is a constant C = C (rP l , .. . , </>t) so that for
all P E AN (Q),
I I I
d h( </>I (P))
l
+ d2h(</>2(P )) + ... + dt h( </> t(P )) ?
h( P) - C.
7.8. Let <

/JI , </> 2 : A2 -+ A 2 be the maps
and
(a) Prove that rP1 and rP2 are jointly regular.
(b) Let a a positive integer and P = (0, a) E A2 (1Q). Prove that
This proves that the lower bound in Theorem 7.15 cannot be improved in general for
jointly regular affine morphisms .
(c)
** Can the lower bound in Theorem 7.15 be improved for jointly regular affine automorphisms , i.e., if we add the requirement that rP1 and </> 2 be invertible, although not
necessaril y inverses of one another?
7.9. Let rP : AN -+ AN be an affine automorphism (not necessarily regular) and let d l

deg </> and d2 = deg rP- 1. Prove that
. {h( (P )) h( - l (P ))} > h(P.)
mill
d1
'
da
- d 1d2
0 (1) "orallP E
"
~N (If1,).
""
"'>e
Exercises on Integrability and Reversibility

The notions of integrability and reversibility play an important role in classical real and complex dynamics. Their algebraic analogues lead to dynamical systems with interesting arithmetic properties, which we explore in Exercises 7.10-7.14.
Definition. An affine automorphism </> : AN -+ AN is said to be algebraically reversible if
there is linear transformation 9 E G LN satisfying
det (g) = -1 ,
and
The terminology is meant to reflect the idea that conjugation by the involution 9 has the effect
of reversing the flow of the map </>.
,2
7.10. Assume that rP is reversible, say </> 9 = </> - 1. Let , = rP 0 g. Prove that
is the
identity map. Thus 9 and , are both involutions, so a reversible map can always be written as
a composition = , 0 9 of two, generally noncommuting, involutions.
430
7.11. Let a
Exercises
i- 0, let f (y) be a polynomial of degree d ~ 2, and let

: A2 -----t A?,
(x,y) = (y,ax + f(y))
be the associated Henon map. Suppose that is reversible. Prove that and its reversing
involution 9 E GL 2 have one of the fol1owing forms:
(a) a = 1,
g(x, y) = (y, x).
(b) a = 1,
g(x, y) = (-y, -x),
f satisfies f( -y) = f(y)
(c) a=-I,
g(x,y) = (-y,-x),
f satisfies f( -y) = - f(y)
7.12. The real and complex dynamics of reversible maps are in some ways less chaotic than
nonreversible maps. Similarly, reversibility (and integrability) appear to have a significant
effect on arithmetic dynamics. For an affine automorphism : AN -> AN, we let
Cp ()
= number of distinct orbits of in A2 (IFp).
For each of the fol1owing Henon maps, compute C p () for all primes 2 < p < 100 (or
further) and make a graph of p versus Cp ():
(a) (x, y) = (y, x + y2).
(b) (x,y) = (y,2X+y2).
(c) (x, y) = (y, -x + y3).
Do you see a difference in behavior? Try plotting the ratio C p () / p. (Notice that Exercise 7.11
says that the maps in (a) and (c) are reversible, while the map in (b) is not reversible.)
Definition. Let : AN -> AN be a rational automorphism, by which we mean that
is a rational map (but not necessarily a morphism) and that there is an inverse rational map
-I : AN -> AN such that 0 -I is the identity map wherever it is defined. The map
is said to be algebraically integrable if there is a nonconstant rational function I : AN -> Al
satisfying I 0 = I.
7.13. Let : A 2
->
A 2 be the rational map
(x,y)
(y,-X-
Y::ll).
(a) Prove that is a rational automorphism.

(b) Let and -1 be the extensions of and -1 to maps jp'2 -> jp'2. Compute Z ( )
and Z ( -1), the sets of pointes) where and -1 are not defined, and verify that
Z() n Z(-I) = 0.
(c) Prove that is integrable by the function
I(x, y) = x 2y + xy2 + x 2 + y2 + X + y.
In other words, verify that! 0 ( x, y) = I (x, y).
(d) Prove that for all but finitely many values of c E C, the level curve I(x, y) = c is an
elliptic curve. Find the exceptional values of c for which the level curve is singular.
7.14. This exercise generalizes Exercise 7.13. Let a, b, c, d, e E K and define a rational
map : p2 -> jp'2 (using dehomogenized coordinates on A 2) by
e)
by2 + dy+
(x, y) = ( y, -x 2
b
ay + y + C
Prove that is integrable by the function
I(x, y) = ax 2y2 + b(x 2y + xy2)
+ c(x 2 + y2) + dxy + e(x + y).
Exercises
431
7.15. Assume that is integrable by the function I. For each c E K, the set I(x) = c is
called a level set of .
(a) Prove that maps each level set to itself. Thus the dynamics of may be studied by
investigating the behavior of the iterates of on the lower-dimensional invariant level
sets that give a foliation ofjp'N.
(b)
* Let N = 2 and assume that has infinite order, i.e., no iterate of is the identity map.
Prove that the level sets of are curves of genus 0 or 1.
The following result will be helpful in doing Exercise 7.16.
Theorem 7.52. ([172, Proposition 4.2]) Let : jp'N ---+ jp'N be a morphism ofdegree d ::::: 2
and let V C jp'N be a completely invariant hypersurjace, i.e., -l(V) = V = (V). Then V
has at most N + 1 irreducible components.
7.16. Let = [o, ... , N 1be a morphism : jp'N ---+ jp'N of degree d given by homogeneous
polynomials i E qXo , ... , XN]. We say that such a map is a polynomial map if its last
coordinate function is equal to x'fv. Equivalently, is a polynomial map if the inverse image
of the hyperplane H = {X N = O} is simply the hyperplane H with multiplicity d.
(a) Assume that is a morphism and suppose that there is an n ::::: 1 such that the iterate n
is a polynomial map. Prove that n is already a polynomial map for some n :::; N + 1.
This generalizes Theorem 1.7. (Hint. Use Theorem 7.52.)
(b) Show that (a) need not be true if we assume only that the map : jp'N ---+ jp'N is a rational
map of degree d. More precisely, prove that for all d ::::: 2 and all n ::::: 2, there exists a
finite rational map : jp'N ---+ jp'N of degree d such that n is a polynomial map, but i
is not a polynomial map for all 1 :::; i < n.
Exercises on Canonical Heights for Regular Affine Automorphisms
Exercises 7.17-7.22 describe Kawaguchi's construction [230] of canonical heights for regular
affine automorphisms assuming the validity ofConjecture 7.18, which is presently known only
in dimension 2 [230, 413]. Let : AN ---+ AN be a regular affine automorphism of degree at
least 2 defined over Q and let
d1
= deg()
and
We assume that Conjecture 7.18 is true, i.e., we assume that there is a constant C = C( ) ::::: 0
such that for all PEA N (Q),
Assumption:
11 h((P))
+ 12 h(-1(P))::::: (1+
1dJh(P)-C.
dl
(7.35)
For any point P E AN (Q), Kawaguchi defines canonical heightfunctions by the formulas
h+(P) = lim sup

n-too
d~h(n(p)),
h-(P) = lim sup
h(P)
n-tCX)
= h+(P) + h-(P).
d~h(-n(p)),
(7.36)
(7.37)
7.17. Assuming that (7.35) is true, prove that the canonical height functions h +, h- , and h
defined by (7.36) and (7.37) have the following properties:
(a) h+(P) :::; h(P)
(b) h(P)
+ 0(1)
and
h-(P):::; h(P)
+ 0(1) < h(P) < 2h(P) + 0(1).
+ 0(1).
432
Exercises
(c) h+(P) 2 0
and
(d) h+(P) = 0
h-(P)20
and
h-(P) = 0
h(P) 20.
h(P) = 0
P E Per().
(Hint. Before proving (d), you may find it advantageous to do the next exercise.)
7.18. Assuming that (7.35) is true, prove that the canonical height functions satisfy the following transformation formulas:
h+((P))
= d1h+(P),
i: ( -l(p)) = d2h- (P),
11 h((P)) + 12 h(-l(p)) =
(1 + d1~J h(P).
(7.38)
(7.39)
7.19. Suppose that

and
are two functions satisfying (7.39), and suppose further that
hi = hI! + 0(1).
Prove that hi
= hI!.
7.20. Let : AN ~ AN be a regular affine automorphism satisfying (7.35) and let

PEA N (Q) be a wandering point for , i.e., P is not a periodic point. Prove that
Hence the constant 1

larger constant.
dl
1d2
appearing in the inequality (7.35) cannot be replaced by any
7.21. Let : A N ~ AN be a regular affine automorphism satisfying (7.35) and let

P E AN (Q) be a wandering point for . We define the (two-sided) orbit-counting function
of P to be
Prove that
N p(T) =
,
(_1_ + _1_)
log d1
log d2
10gT- (IOgh+(P)
log d1
+ IOgh-(P))
log d2
+0(1),
where the 0 (1) constant depends only on the map and is independent of both the point P
and the number T.
7.22. Let : AN ~ AN be a regular affine automorphism satisfying (7.35). Define sequences

(An) and (En) by the formulas
and
Prove that
Exercises
433
(Hint. Verify that An and En satisfy the linear recurrences
A o = 0,
dlA i
d2Ei
Eo = 0,
(1 + d ld2)A i - l
+ d2Ai - 2 = 0,
(1 + d ld2)E i - l + d lE i - 2 = 0,
and use a telescoping sum argument.)

7.23. ** Let : AN ~ AN be an automorphism defined over Qand denote the dynamical
degree of by
8() = lim deg(n)l/n.
n~oo
We associate to the number
Remark 7.16 tells us that S () satisfies

S()
< 2.
If is regular, then 8() = deg() and 8(-1) = deg(-l). If in addition satisfies

assumption (7.35), then Exercises 7.18 and 7.20 imply that
1
S()
= 1 + 8()8(-1)
(a) Do there exist automorphisms : A N ~ A N of degree at least 2 satisfying S() = I?

What if we require that be algebraically stable? (See Remark 7.13.)
(b) Do there exist automorphisms : A N ~ AN of degree at least 2 satisfying S () = 2?
(c) What are the possible values of S () for automorphisms of AN?
(d) What are the possible values of S () for algebraically stable automorphisms of AN?
7.24. Let K be a field that is complete with respect to a nonarchimedean absolute value and
let : ]P'N (K) ~ ]P'N (K) be a morphism. Prove that is an open map, i.e., the image of an
open set is an open set.
Section 7.4. Dynamics on Surfaces with Involutions
7.25. Let G'k and H;*j be the quartic forms defined by (7.17). Prove that the following algorithm computes Ll and L2.
(a) Let [x, y] E SA,B and write Ll([x, vl) = [x, y']. Then
[YoGo(x), -Yo Hal (x) - ylGO(x), -YOH02(X) - y2GO(x)] if Yo ::j= 0,

v' =
[-ylHal (x) - Yo Gf(x), ylGf(x), -Y1H12(X) - y2Gf(x)]
ifYl ::j= 0,
[-y2Ho2(x) - YoG~ (x), ~Y2Hf2(X) ~ Y1G~(X),Y2G~(X)]
ifY2 ::j= 0.
(b) Let [x, y] E
x' =
SA,B
and write Ll([x,
vl)
= [x', y]. Then
[xoG!j(y), -xoHgl(y) - xlG!j(y), -x OH02(Y) - X2G!j(y)]
ifxo ::j= 0,
[-xlHgl(y) - xoGi(y),X1GJ!(y), -x lH12(y) - x2GiCy)]
if Xl ::j= 0,
[-x 2Hg2(y) - xoG(y), -x 2Hf2(y) - xlG~(y), X2G~(y)]
ifx2 ::j= 0.
Exercises
434
7.26. The K3 surface given in Example 7.36 contains the following 12 points of small height:
PI
= ([0,1,1],[1,1,-1]),
P2 = ([1,0,0], [0,0,1]),
P3
= ([0,1,0],[0,0,1]),
= ([0,0,1],[0,1,0]),
Pg = ([8,6,9],[-6,5,2]),
P6 = ([0,0,1], [1,0,0]),
P lO = ([1,0, -1]' [9,1,9]),
P5
P7
= ([3,1,3],[-3,3,2]),
P4 = ([1,0, -1], [0,1,0]), Ps = ([1,0,0], [0,7,1]),
Pll
= ([3,8,11],[1,1,-1]),
P12 = ([12,1, -20], [2,-4, 1]).
(a) Which of these 12 points lie in the same A orbit? How many distinct A orbits do they
generate?
(b) Which of the points in the list are fixed by a nontrivial element of A?
(c) The list includes all points in S(Q) having integer coordinates at most 40. Extend the
computation to find all points in S(Q) having integer coordinates at most 100. (Hint.
Loop over x with Ix; I :s; 100, substitute into Land Q, eliminate a variable, and check
whether the resulting quadratic equation has a rational solution.)
7.27. For each of the primes in the set
{2, 3, 317, 507593,2895545793631, 14521485737273461}

find an example of a surface SA,S defined over IFp such that [1 and [2 are defined at every
point of SA,S (JFp ) . (These examples can be used to complete the proof of Proposition 7.41.)
7.28. This exercise sketches a noncomputational proof of Proposition 7.41 using more advanced methods from algebraic geometry.
(a) Let Sand S' be nonsingular projective K3 surfaces and let : S -> S' be a birational
map, i.e., a rational map with a rational inverse. Prove that is a morphism. (Hint. Find
a surface T and birational morphisms 'ljJ : T -> Sand 'ljJ' : T -> S' so that 0 'ljJ = 'ljJ'
[198, v'5.5]. Do this so that 'ljJ is a minimal number of blowups and let E be an exceptional curve of the last blowup. Deduce that q(E) is a curve C on S'. Then show that the
intersection of C with the canonical divisor on S' satisfies C K s' :s; E Ks = -1,
which contradicts the fact that K s ' = 0, since S' is a K3 surface.)
(b) Prove that there is a proper Zariski closed set Z C lP's X lP'35 such that for all (A, bf B) :
Z, the surface SA,S is nonsingular. (Hint. Elimination theory says that the set of
(A, bfB) E lP's X lP'35 such that SA,S is singular is a Zariski closed set. Thus it suffices
to find a single (A, bfB) for which SA,bj B is nonsingular.)
(c) Combine (a) and (b) to prove Proposition 7.41.

7.29. Let P E SA,S with infinite A-orbit. Prove that the A-stabilizer of P,
{'ljJ
A : 'ljJ(P) = P},
has order either 1 or 2.

7.30. This exercise describes intersections on the surface SA,S. For the basics of intersection
theory on surfaces, see, for example, [198, V 1].
(a) Let D: = piH and D 2 = P2H be the usual divisors in Pic(SA,S). Prove that
and
435
Exercises
(b) Let 0: = 2 + J3 and define divisors E+ and E- in PiC(SA,B) 0lR by the formulas
E+
= -D l + o:D2
= o.I),
E-
and
Prove that ~iE = o:l E~ and ~2E = o:~l E~.

(c) Prove that E+ . E+ = E- . E- = 0 and E+ . E-
- D2 .
120:.
7.31. (a) Prove that under composition, the involutions ~l, ~2 E Aut(SA,B) satisfy no relations other than ~i = ~~ = 1. Thus A is the free product of the subgroups generated
by ~l and ~2. (Hint. Use Exercise 7.30. Apply a composition of ~l'S and ~2'S to E+ + Eand intersect with E+ .)
(b) Show that A is isomorphic to the infinite (discrete) dihedral group
Vt
=
oo
{t
i, j E Z}
= 1 and ts = rlt}
via the map
s
(t
f---+
f---+
~l~2) .
~l
7.32. Let P E SA,B be a point whose A-orbit A(P) is an infinite set. Prove that A(P) is
Zariski dense in SA,B. (Hint. If A(P) is not dense, find a curve C C SA,B fixed by some
nontrivial element 'lj; E A and consider the intersection of C with the divisors E+ and Edefined in Exercise 7.30.)
7.33. Let 1>
= ~l
0 ~2
and fix a nonzero integer n. Prove that the set
is a finite set. (Hint. If the set is infinite, find a curve C C SA,B fixed by 1>n and consider the
intersection of C with the divisors E+ and E- defined in Exercise 7.30.)
7.34. Let D E Pic(SA,B) be the divisor D
and 0: = 2 + V3 as usual. Prove that
= D l + D 2 = piH + P2H.
Let 1>
for all P E SA,B(K) and all n
~l
~2
?: o.
(The 0(1) constant depends on the surface SA,B, but is independent of both P and n.)
7.35. Let SA,B be defined over a number field K and let j,,+ and j,,- be the canonical height
functions constructed in Proposition 7.47. Assuming that SA,B(K) is an infinite set, prove
that there is a constant C such that both of the sets
and
are infinite. This shows that Proposition 7.49 is not true if j" is replaced by either j"+ or j"- .
7.36. Let SA,B be defined over a number field K, let j,,+ and j,,- be the canonical height functions constructed in Proposition 7.47, and let j" = j,,+ + i:'. Fix a point Q E SA,B(K).
(a) Prove that the product j,,+(P)j,,-(P) is the same for every point P E A(Q). This product measures, in a certain sense, the arithmetic complexity of the A-orbit of Q. Notice
how j"+ (Q) (Q) naturally appears in Proposition 7.50 counting points of bounded
height in the A-orbit of Q.
t.-
Exercises
436
(b) Prove that
(Here
0:
= 2 + .j3 as usual.)
7.37. Let SA,B be defined over a number field K and let Q E SA,B (in be a point whose Aorbit A(Q) is infinite. Further, let it = it+ + it-, and define a heightzetafunction for the Aorbit of Q by the series
Z(A(Q), s)
L _,
h(Q)s
1_.
PEA(Q)
(a)
(b)
(c)
(d)
Prove that the series defining Z(A(Q), s) converges on the half-plane Real(s) > O.
Prove that Z (A(Q), s) has a meromorphic continuation to the entire complex plane.
Find the poles of Z(A(Q), s).
Find the residues of Z (A( Q), s) at its poles.
7.38. Let SA,B be defined over a number field K and let P E SA,B(K) be a point whose Aorbit A(P) is Galois-invariant, i.e., if Q E A(P) and o E Gal(K/ K), then er(Q) E A(P).
Prove that P satisfies one of the following conditions:
(a) P E SA,B(K).
(b) A(P) is finite.
(c) [K(P): K]
= 2.
If P satisfies condition (c), prove that there exist a 1jJ E A and an index j E {I, 2} such that
pj(1jJ(P)) E 1P'2(K).
7.39. Let V C jp'N
biquadratic form,
jp'N be a variety given by the vanishing of N - 1 bilinear forms and one
LI(x,y) = ... = LN-I(X,y) = Q(x,y) = 0,

and let PI : V ---+ jp'N and P2 : V ---+ jp'N be the usual projection maps PI (x, y) = x and
P2(X,y) = y.
(a) Prove that PI and P2 are generically 2-to-1, so they induce involutions LI : V ---+ V
and L2 : V ---+ V. In other words, there are rational maps LI and L2 such that LI and L~
are the identity map wherever they are defined.
(b) If N 2: 3, prove that LI and L2 are not morphisms.
7.40. Let a E K*. The Markoffequation
u, : x 2 + l + Z2 = axyz
defines an affine surface in A 3 .
(a) Prove that there are involutions
L12, L13,
LI2(X,y,Z)
and L23 of M a defined by the formulas
(x,y,axy-z),
LI3(X, y, z) = (x, axz - y, z),

L23(X, y, z)
= (ayz -
x, y, z).
Explain how these involutions correspond to natural double covers M a

by projection maps A3 ---+ A2 .
---+
A 2 induced
437
Exercises
(b) Prove that the involutions
~ij
Ma =
do not extend to morphisms on the projective variety

{x
+ y 2 w + z2 w =
axyz}
C p3,
and determine the points at which they fail to be defined.

(c) Find a birational map p2 ---+ Ma defined over Q. (A birational map between projective
varieties V and W is a rational map from V to W that is an isomorphism from a Zariski
open subset of V to a Zariski open subset ofW.) In particular, this implies that Ma(Q)
contains many points.
(d) Prove that every point in M 3(Z) with positive coordinates can be obtained by starting with the point (1,1,1) and applying the involutions ~ij. (Hint. Define the size of a
positive integral point P = (x, y, z) to be the largest of its coordinates and prove that
if P f- (1,1,1), then at least one of ~ij (P) has size strictly smaller than the size of P.)
(e) Let a be a positive integer. Prove that if a f- 1 and a f- 3, then Ma(Z) = 0. (Hint. Use
the same type of descent argument as suggested in (d).)
(f) A normalized Markoff triple is a point (x, y, z) E M 3 (Z) with x :s; y :s; z. Let
N(T) =
# {normalized Markoff triples (x, y, z) with z :s; T}.
Prove that there are positive constants C1 and C2 such that

(7.41 )
More precisely, prove that there is a constant c such that
N(T)
(g)
= c(logT)2 + O((1ogT)(loglogT)2).
(7.42)
** Let (Xl, Y1, Zl) and (X2, Y2, Z2) be normalized Markoff triples. Prove that if Zl = Z2,
then also Xl = X2 and Y1 = Y2. (This is known as the unicity conjecture for Markoff
numbers.)
Exercises on K3 Surfaces with Three Involutions

Exercises 7.41-7.44 ask you to explore a family ofK3 surfaces that admit three noncommuting
involutions. These hypersurfaces Be C p1 x p1 X p1 are described by the vanishing of a
trihomogeneous polynomial of degree 2,
Q(x,y, z) =
CijkimnXiXjYkYiZmZn
o.
O<;i<;j<;l
O<k<i<l
O~m:;;n-;:l
The surface Be admits three maps of degree 2 to p1

P12(X,y,Z)
= (x,y),
p1,
P13(x,y,z) = (x,z),
p23(X, y, z)
= (y, z),
and these maps induce corresponding involutions

~12 :
Be
----+
Be,
~13:
Be
----+
Be,
~23 :
Be
----+
Be.
We also fix a point to E p1, let 1T1, 1T2, 1T3 : Be ---+ p1 be the maps induced by the three
projections from p1 x p1 X p1 to p1 , and define divisors on Be by setting
438
Exercises
7.41. The surface Be is specified by the 27-tuple
c = [coooo, COOOl, , Cl1l1] E JP'26

of coefficients of the trihomogeneous polynomial defining Se.
(a) What is the dimension of the family of surfaces Se after we identify surfaces that are
isomorphic via the action of PGL 2 on each of the three copies of JP'1 in JP'1 x JP'1 X JP'1.
(See Remark 7.38 for a similar calculation for the family SA,B.)
(b) Prove that there is a Zariski closed subset Z C JP'26 such that if C ~ Z, then the
involutions L12, L13, and L23 are defined at every point of Se.
7.42. Let 1) be the subspace ofPic(Be) generated by D 1, D2 , and D3.

(a) Prove that the action of Li2 on 1) is given by
Devise analogous formulas for the action of Li3 and L23 on 1).
u.,
(b) Let
be the 3 x 3 matrix of L7j acting on 1) and let J be the matrix
2
t
-1
-1
that M i j = 1 and that M i j J M i j = J .
(g2206~ ). Prove
(c) Prove that double products such at M 12M13 have all of their eigenvalues equal to 1.
(d) Let e be the map e = L120L130L23 andlet,8 = ~(3+.;5).Provethat,83 is an eigenvalue
of * acting on 1) and that a corresponding eigenvector is,82 D1 + ,8D2 + D3.
7.43. Assume that Be is defined over a number field K. Let

and let,8 = H3 + .;5).
(a) Define a real-valued function f : seCk) -+ R by
f(P)
= ,82ho, (P) +
= L12 L13 L23
Se
-+
Se
,8hD2 (P) + hD3 (P).
Prove that
for all P E SeCk).
(b) Prove that there exists a unique function
j(P) = f(P) +0(1)
and
j : Se (k)
-+
R satisfying
j((P) = ,83j(p) forallP E sc(k).
7.44. Let Se be the surface given by the equation

X6Y6Z6
+ X6YOY1Z~ + 4X6Y~z~ + xox1Y6z~ + xox1y~z6

+ x~YoY1z6 + x~Y~ZOZl + 2x~Y6z~ = o.
(a) Prove that the surface Sc is nonsingular. (Hint. Check that it is nonsingular over IF2.)
(b) Prove that the involutions
L12, L13,
and
L23
are defined at every point of Se(C).
(c) Verify that the point Po = ([0,1], [-1, 1], [-1, 1]) is in Se(Q). Then compute the
"tree" of points starting from Po and generated by applying the involutions in various
orders:
Exercises
439
Po
[13[12(PO)
r.
[13(PO)
[12 (Po)
[23[12(PO)
[12[13(PO)
[23(PO)
[23[13(PO)
[12[23(PO)
[13[23(PO)
In particular, find two branches of the tree that loop around and reconnect with the top.
Notes on Exercises
Many of the exercises in this book are standard, or in some cases not so standard,
results. These notes thus have a dual purpose: to give credit where due, and to point
the reader toward the relevant literature. However, since any attempt to assign credit
is bound to be incomplete, the author tenders his apologies to anyone who feels that
he or she has been slighted.
Chapter 1. An Introduction to Classical Dynamics

1.11. See [415].
1.12. See [415].
1.18. (c) is proven in Corollary 4.7.
(d) This is due to LN. Baker [19], or see [43, 6.8].
1.24. See [43, Theorem 3.2.5].
1.30. Most of this exercise is proven in Proposition 6.6.
1.31. See [43, Section 1.4].
Chapter 2. Dynamics over Local Fields: Good Reduction

2.6. See [436, Section 5.9].
2.17. This special case of a theorem of Rivera-Letelier was suggested to the author
by Rafe Jones.
2.19. See [312, Proposition 3.1].
2.22. The first example of this phenomenon is due to Poonen (unpublished). It appears in Zieve's thesis [454, Lemma 6].
2.24. This is in Jones's thesis [220].
Chapter 3. Dynamics over Global Fields

3.2. Schanual [391] (or see [256, Theorem 5.3]) proves a general formula for a number field K:
.
#{PElP'N(K):HK(P):S;B}
hKRK/WK (2 T1(271Y 2) N+l(N
I lID
=
B--+oo
BN+l
(K(N + 1)
Dl/2
+1 )T1+r2-l ,
where li, RK, WK, (K,D K, rl, and r2 are, respectively, the class number, regulator, number of roots of unity, zeta function, absolute discriminant, number of real
embeddings, and number of complex embeddings of K.
441
442
Notes on Exercises
3.4. See [410, Theorem 1II.5.9] or [256, Lemma 2.2 in 3.2]. For better estimates,
see [256, 3.2] and the references cited there.
3.9. See [309].
3.14. This exercisewas suggestedto the author by Rob Benedetto.
3.38. See [411].
3.40. (b) See [411, Proposition 1.2].
(c) See[411 ,TheoremB].
3.46. See [411].
3.21. Sylvester's original article is [428]. See [2, 215] for additional material on
Sylvester's and other related sequences.
3.22. This exercisewas inspiredby [2] and [184, Exercise4.37].
3.49. (a) See [306].
(b) ge(z ) = Z 3 - (e - 1)z2/2 - (e 2 + 2e + 9)z/4 + (e3 + e2 + 7e - 1)/8 and
Disc(ge) = (e 2 + e + 7)2.
Chapter 4. Families of Dynamical Systems

4.4. See [313, Proposition3.2 and Lemma 3.4].
4.6. This exercisewas suggested to the author by MichelleManes.
4.7. (b,c) These formulas are due to Morton and Vivaldi [314].
4.8. See [313, Theorem 2.1]. For a generalization to morphisms of higher-dimensional varieties, see [214].
4.12. (e) See [314].
4.13. See [307].
4.15. See [132, Proposition 8.6].
4.20. (a,b) See [305, 309].
(c,d) See [171].
4.30. This exercise was inspired by Milnor's paper [303], which studies the geometry and topology of the spaces that we have denoted by BiCritd and M~iCril
4.36. (a) See [414, example in Section 7].
(b) (O'd r/ ,0'2(r/) = (- 6, 12).
4.45. See [414, Section 6].
4.49. This result is due to Szpiro and Tucker [431]. It is a dynamical version of
Faltings' theorem (Shafarevich conjecture) [165, 164] that there are only finitely
many principallypolarized abelian varietiesof given dimensionwith good reduction
outside of a finite set of primes.
Chapter 5. Dynamics over Local Fields: Bad Reduction

5.1. See, for example, [324, 10.1] or [78].
5.6. (a) This is wellknown. See [233] for a more general result.
5.10. See [436, 19.9] for a proof of the residue theorem over algebraically closed
base fields due to Roquette.
5.11. (b) Rivera-Letelier shows in his thesis [372] that every indifferent periodic
point is contained in a "domain of quasiperiodicity" that contains infinitely many
(indifferent) periodic points.
Notes on Exercises
443
5.21. Hsia [208] uses a version of this result in his proof of Montel's theorem with
moving targets.
5.25. See [56].
5.26. This exercise was suggested to the author by Rob Benedetto.
5.27. See [234] for the analogous result on iPl N .
5.28. See [233] for the analogous result on iPl N , including explicit values for the
Holder constants.
5.29. For elliptic curves, this is due to Tate (unpublished letter to Serre) if K; is not
algebraically closed and to the author [408] for arbitrary K v- See [88, Section 5] for
the general dynamical case.
5.32. See [88] for a general construction of local canonical heights associated to
dynamical systems with eigendivisor classes.
5.45. This exercise, which appears in a paper of Rivera-Letelier, was suggested to
the author by Rob Benedetto.
Chapter 6. Dynamics Associated to Algebraic Groups

6.27. These examples are due to Noam Elkies [150].
Chapter 7. Dynamics in Dimension Greater Than One

7.4. deg e"
= 2 L(n + 2)/ 3J anddyndeg() = 2.
7.5. (c) This example is due to Hasselblatt and Propp [199].

7.12. This exercise was inspired by the work of Jogia, Roberts, and Vivaldi [219,
218, 383, 384], who prove results and state conjectures on how reversibility and
integrability affect the growth of Cp () and related quantities.
7.14. This family of integrable maps was discovered by McMillan [293]. For an even
larger family of integrable maps called the QRT family, see [364, 365].
7.15. This result is due to Veselov [439].
7.16. This author thanks Shu Kawaguchi for providing a solution to this exercise
(private communication).
7.17-7.21. These exercises are due to Kawaguchi [230].
7.20. See [230, Proposition 4.2] and [413, remark following Theorem 3.1]).
7.24. See [233].
7.26. See [409, 5].
7.28. This exercise was suggested to the author by Shu Kawaguchi.
7.32. See [409, Corollary 2.3].
7.33. See [409, Corollary 2.4(b)].
7.36. See [409].
7.38. See [409].
7.40. (d) See [210, l1.8].
(f) The estimates (7.41) and (7.42) are due, respectively, to Cohn [l 08] and Zagier [451]. See also Baragar's articles [32, 33] for a higher-dimensional analogue in
which the counting function N(T) grows like (log T)E for an irrational exponent E.
444
Notes on Exercises
7.41-7.44. These exercises were inspired by the work of Baragar, Luijk, and Wang
[34, 35, 36, 37, 38, 39, 446], who study the arithmetic and dynam ical properties of
these triple-involution K3-surfaces.
7.44. This example is due to Baragar [38, 4], who notes that ~ 13 ~ 12~13( PO) = Po
and ~ 12~ 13~ 1 2(PO) = Po.
List of Notation
n
nth iterate of the map , 1

the identity map, 1
orbit of a by the map , 1
O(a)
Per(, S)
set of periodic points of in S, 1
PrePer(, S)
set of preperiodic points of in S, 1
torsion subgroup of the abelian group G, 2
G tors
Aut(jp'l)
automorphism group of the projective line, 10
projective linear group, 10
PGL 2
general linear group, 10
GL2
f
linear conjugation of by I, 11
chordal
metric on jp'l (C), 11
P
e",()
ramification index of at a, 12
multiplier of at periodic point a, 18
>. (a)
set of points of period n, 18
Per n()
Per~*()
set of points of exact period n, 18
~;
space of differential one-forms, 19
the Mande1brot set, 26
M
multiplicative group, 29
Gm
the d th Chebyshev polynomial, 29
Td
Ga
the additive group, 30
addition on an elliptic curve, 31
EB
Lattes map associated to multiplication by d, 32
E,d
Lattes map associated to an endomorphism u, 32
E,u
complex uniformization of an elliptic curve E, 33
7/JE
Weierstrass !:J function, 34
!:J
~(, a)
residue fixed-point index of at a, 38
the nth dynatomic polynomial, 39
q>~ (z)
v-adic chordal metric on jp'l, 45
pv
p
reduction of the point P modulo a prime, 48
reduction of a rational map modulo a prime, 52

the resultant of A and B, 53
Res(A,B)
Res()
resultant of a rational map, 56
",(P1 , P2, P3 , P4) cross-ratio of P 1 , P2, P3 , P4, 71
K()
the filled Julia set of , 74
(multiplicative) height of a rational point, 82
H(P)
MQ
set of standard absolute values on Q, 82
the usual absolute value on JR, 82
I . 100
445
446
ordp(a)
I . Ip
MK
M 'j(
MfJ<
RK
Rs
nv
HK (P)
H(P)
k
K(P)
VI
V(I)
I(V)
IPlv
IfIv
c5 v (m)
hK
h
0(1)
h</>
Av
).</> .v
Res(c,i
Per ~ (cP)
K n.</>
Gn.</>
Wreath(H, S )
G~.</>
K n.</>
J-t</>
C(P/K)
c5p
J-tp
S</>
'P
J-t
e;;
<P</> .n(X, Y)
<p;,n(X, Y)
<pn(Z), <p~ ( z)
Pern(c,i
Per~( cP)
Per~ (cP)
vd(n)
ap (n)
ap (n)
List of Notation
the exponent of highest power of p dividing a, 82
the p-adic absolute value on G, 82
the standard set of absolute values on K , 83
the archimedean absolute values on K , 83
the nonarchimedean absolute values on K , 83
the ring of integers of K, 83
the ring of S-integers of K , 83
local degree at an absolute value v , 83
(multiplicative) height of a K -rational point , 84
the absolute (multiplicative) height of P , 85
an algebraic closure of the field K , 85
field of definition of the point P, 86
the radical of the ideal I, 89
the algebraic set attached to the ideal I, 90
ideal attached to the algebraic set V, 90
maximum of absolute values of coordinates of P , 90
maximum absolute value of coefficients of a polynomial, 91
equal to m or 1 depending on whether v is archimedean, 91
logarithmic height , 93
absolute logarithmic height , 93
a bounded function , 93
canonical height associated to morphism cP, 99
v-adic logarithmic distance function , 102
v-adic local canonical height , 102
resultant of a rational map, 112
periodic points of cP of primitive period n, 122
dynatomic field generated by primitive n-periodic points , 123
Galois group of dynatomic field, 123
wreath product of Hand S, 125
subgroup of G n.</> leaving c,i>-orbits invariant, 126
fixed field of G~ . </>, 126
the canonical cP-invariant probability measure on IP'N(C), 127
the set of Galois conjugates of P, 128
the Dirac measure supported at P, 128
discrete probability measure supported on Galois conjugates of P, 128
set of primes of bad reduction for c,i>, 132
Euler's totient function, 137
the Mobius J-t function , 148
coordinate functions of the nth iterate of c,i>, 149
the n-period polynomial of c,i>, 149
that nth dynatomic polynomial of , 149
dehomogenized period and dynatomic polynomials, 149
the set of points of period n for , 150
the set of points offormal period n for , 150
the set of points of primitive period n for , 150
number of points of formal period n for a map of degree d, 150
order of the period polynomial at the point P , 151
order of the dynatomic polynomial at the point P , 151
List of Notation
c(z)
~(c,z)
YI(n)
XI(n)
Formal(n)
Yo(n)
Xo(n)
Fa(X, Y)
[a,b]
Ratd
jp'~
Md
(-)
Q[Ratd]PGL2
SL 2
PSL 2
Rat d
Rat dS
Md
M ds
F,n,G,n
A n ()
A~()
a;n)()
;;n)()
O"d,N
O"d,N
A()
(T
M2
[]
[]K
Aut()
Twist(/ K)
Twist(X/K)
g"
HI(r,A)
Gf
Kf
ordp(P)
FA,GA
Ep()
9l
lJ1
Up,G
a/K
8n ,(x )
447
the quadratic polynomial Z2 + C, ISS
the nth dynatomic polynomial for Z2 + c, 157
(affine) dynatomic modular curve for z2 + c, 157
(projective) dynatomic modular curve for Z2 + c, 157
PGL 2-classes of quadratic with point offormal period n, 158
the quotient of YI (n) by , 161
the quotient of Xl (n) by , 161
conformal isomorphism to the complement of Mandelbrot set, 167
the homogeneous polynomial aoX d + alXd-Iy + ... + adyd, 169
the point lao, ... .o, bo, . . . ,b d] in jp'2d+ 1, 169
the set of rational maps of degree d, 169
the projective line over V, 171
the moduli space of conjugacy classes of maps of degree d, 174
map from Ratd to Md, 174
the ring of PGL 2-invariant functions on Ratz., 175
the special linear group, 175
the projective special linear group, 175
set of stable rational maps, 178
set of semistable rational maps, 178
stable completion of Md, 178
semistable completion of Md, 178
coordinate functions of the nth iterate of , 181
the n-multiplier spectrum of , 182
the formal n-multiplier spectrum of , 182
symmetric polynomial of n-periodic multipliers of , 183
symmetric polynomial of formal n-periodic multipliers of , 183
map of Md using a;n) with n :::; N, 187
;;n)
map of Md using
with n < N, 187
the multiplier spectrum of , 187
map Rat, ---> A 2 inducing an isomorphism M 2 ~ A 2 , 188
the completion M 2 = M 2s of M2, 194
set of rational maps K -equivalent to , 195
set of rational maps K -equivalent to , 195
the automorphism group of , 196
the set of twists of the rational map , 197
the set of twists of the object X, 199
the l-cocycle associated to a twist, 201
cohomology set (group), 202
subgroup of Gal( K / K) associated to , 207
field of moduli of , 207
minimum ord, of the coefficients of the polynomial P, 218
new coordinate functions for conjugate of [F, G], 218
exponent of the minimal resultant of , 220
the (global) minimal resultant of , 220
product of the primes of bad reduction for , 221
ideal connecting minimal resultant to resultant of a model, 222
the Weierstrass class of over K, 223
polynomial whose roots are multipliers of , 225
448
List of Notation
Fm,n(X, Y)
:'n,n(X, Y)
(S)(z)
BiCritd
M~iCrit
Cp
R=RK
R=R'K
9J1
D(a,r)
D(a,r)
Sea, r)
D(Q, r)
D(Q,r)
ord., ()
11llr,a
v(z)
F()
3()
F(,K)
3(,K)
A = A()
u.:
N
sN
D
Dc10sed
D open
De()
71"
A:
II(x,Y)llv
9q,(x,y)
)..,E
DB
([x, y])
~a,a
~a,r
~a,r
IlfliR
DB
-B
DR
1l'R
La,r
La,r
U(j,B)
V(j,B)
ffi.a,r
A:,T
generalized period polynomial, 227

generalized dynatomic polynomial, 227
the Schwarzian derivative of , 231
the space ofbicritical rational maps, 233
the moduli space ofbicritical rational maps, 233
the completion of the algebraic closure ofQp, 239
the ring of integers of a local field K, 242
the unit group of the ring of integers of a local field K, 242
the maximal ideal of the ring of integers ofa local field K, 242
open disk of radius r at a, 242
closed disk of radius r at a, 242
circle of radius r at a, 242
open disk of radius r in jp'l(K), 243
closed disk of radius r in jp'l (K), 243
order of vanishing of a holomorphic function, 244
norm of relative to the disk D(a, r), 247
valuation -logp 14 249
the Fatou set of , 255
the Julia set of , 255
the K -valued points of the Fatou set of , 255
the K -valued points of the Julia set of , 255
set of Il.0ints with bou~ded n (z) 258
disks D(O, lip) and D(l, lip), 258
the set of natural numbers, 258
set of sequences chosen from the set S, 258
set of "disks" in a topological space, 277
standard collection of closed disks in jp'l (rep), 277
standard collection of open disks in jp'l (Cp ) , 278
set of disk components of the Fatou set, 283
projection map A2 -+ jp'l, 287
the affine plane with (0, 0) removed, 287
sup norm of x and y, 288
Green function attached to : A 2 -+ A2 , 288
local canonical height associated to and E, 291
the unit Berkovich disk, 295
Type-I point in Berkovich disk DB, 295
Type-II or III point in Berkovich disk DB, 295
Type-IV point in Berkovich disk DB, 295
Gauss norm of f E Cp[z], 296
the closed unit Berkovich disk, 297
the closed Berkovich disk of radius R, 297
the Tate algebra, 297
line segment in Berkovich disk, 298
line segment in Berkovich disk for Type-IV point, 298
open set in Gel'fond topology on Berkovich disk, 300
open set in Gel'fond topology on Berkovich disk, 300
closed branch of Berkovich disk rooted at (a, r), 300
open branch of Berkovich disk rooted at (a, r), 300
I,
List of Notation
~O,R
B
Gauss point of Berkovich disk of radius R, 301

the Berkovich affine line, 301
the Berkovich projective line, 302
annulus in Berkovich space, 302
branch at infinity of Berkovich projective line, 302
radius of the image disk (D(a, r)), 305
R(, a, r)
:JB ()
the Berkovich Julia set of , 306
;:B()
the Berkovich Fatou set of tb, 306
canonical
measure on Berkovich space associated to , 306
J1
Resz=o ((z) dz) residueof(z) atz = a, 313
modified Green function, 318
9<1>
local canonical height associated to a divisor, 320
).,,D
divisor of the rational function g, 320
Dg
path metric on the Berkovich disk, 323
I\;(~a,r, ~b,s)
the Hsia kernel on the Berkovich disk, 323
8(~a,r, ~b,s)
the power map zd, 325
Md
Gm
the group of nth roots of unity, 326
ILn
the dth Chebyshev polynomial, 329
Td
point at infinity on an elliptic curve, 336
the set of points of E defined over the field K, 337
E(K)
Div(E)
the group of divisors on E, 339
deg(D)
the degree of the divisor D, 339
sum
the summation map on the divisor group of E, 339
div(f)
the divisor associated to the rational function f, 339
ordp(f)
the order of the zero (pole) of fat P, 339
Pic (E)
the Picard group (group of principal divisors on E), 339
cJ;
the dual isogeny of 1/J, 340
End(E)
the endomorphism ring of E, 340
Aut(E)
the automorphism group of E, 340
E
the reduction of E modulo p, 342
kernel of the endomorphism 1/J, 343
E[1/J]
kernel of multiplication-by-m map, 343
E[m]
E tors
torsion subgroup of the elliptic curve E, 343
the Tate module of E, 344
Te(E)
the fl-adic representation on an elliptic curve, 344
PE,e
the invariant differential on E, 344
WE
group of fractional ideals of F, 350
IF
elliptic curves with CM by RF, 350
E(RF)
ideal class group of F, 350
CF
class number of F, 350
hF
CritPt
set of critical points of , 353
CritVal
set of critical values of , 353
PostCrit
forward orbit of critical values of , 353
E(1,)
the set of points in E(Q) with integer coordinates, 372
I/(E)
number of primes dividing the denominator of j(E), 372
P
homogenization of the polynomial F, 389
Z()
locus of indeterminacy of the rational map , 389
A
IP'B
Ann B
ffi.::'
449
450
List of Notation
lift of the rational map to A N + 1 , 389

the divisor group of V, 403
local ring of V at W, 403
order of vanishing of I along W, 403
ordw(J)
the Picard group of V, 403
Pic(V)
linear equivalence of divisors, 404
D 1 '" D 2
*D
pullback of the divisor D, 404
pushforward of the divisor D, 404
I*D
*
pullback homomorphism on Picard groups, 405
degree map on Div(jp'N) and Pic(jp'N), 405
deg
base locus of the divisor D, 406
Base(D)
vector space associated to the divisor D, 406
L(D)
dimension of the vector space L(D), 406
(D)
rational map associated to the divisor D, 406
D
height on the variety V associated to the divisor D, 407
hV,D
the K3 surface in jp'2 x jp'2 determined by A and B, 410
SA,B
projections of a K3 surface to jp'2, 410
Pl,P2
involutions on a K3 surface SA,B, 411
Ll, L2
linear forms associated to a K3 surface, 412
Lj,Lr
quadratic forms associated to a K3 surface, 412
Q'k,Qrj
G~, Htj, H~ quartic forms associated to a K3 surface, 413
subgroup of Aut(SA,B) generated by Ll and L2, 418
A
the A-orbit of P on the K3 surface SA,B, 418
A(P)
divisors on the K3 surface SA,B, 418
D 1,D2
h+,hheight functions on SA,B, 420
it+,itcanonical heights on the K3 surface SA,B, 421
the sum it+ + it- on the K3 surface SA,B, 423
it
the order of the stabilizer of a point on a K3 surface, 425
Jl(Q)
number of distinct IFp-orbits of , 430
Cp ( )
it+,it-,it
canonical heights on AN for a regular affine automorphism, 431
E+,Eeigendivisors in Pic(SA,B) @ JR, 435
subspace ofPic(Sc) generated by D 1 , D 2 , and D 3 , 438
D

Div(V)
Ov,w
ct.
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s.-s.
Index
composition of elementary maps
and Henon maps, 402
composition of involutions, 429
degree, 394
degree of inverse, 394, 395
disjoint indeterminacy locus, 394
dynamical degree, 433
fixed point, 427
height inequality,399, 431
height of periodic points, 402
Henon map, 390
indeterminacy locus, 389, 392
dimension of, 394
disjoint, 394
of inverse, 392
of iterate, 394
inversemay have different degree,
390
iterate may have wrong degree, 390
number of orbits over a finite field,
430
periodic points of, 394, 400
regular, 391, 394, 427
periodic points of, 428
reversible Henon map, 430
affine coordinate ring
of M 2 , 189
of Md, 176, 179
as 2-scheme, 186, 189
183
contains a
ABC conjecture, 372, 373

abelian group
preperiodic point equals torsion
point, 2, 41, 326
torsion subgroup, 2
abelian variety, 409, 442
Bogomolov conjecture, 129
field of definition, 217
field of moduli, 217
Manin-Murnford conjecture, 127
Neron local height, 104
Raynaud's theorem, 127
absolute height, 85
logarithmic, 93
absolute value, 43
archimedean, 82, 83
completion of a field at an, 83
effect of polynomial map on, 288
equivalent, 44
extension formula, 83, 84
local degree, 83
nonarchimedean, 44, 82, 83, 242
of a point, 90, 288
of a polynomial, 91, 288
on function fields, 44
on IQ, 82, 312
p-adic, 44, 82
product formula, 83
standard set of (MK), 83
abstract dynamical system, I
realizable sequence, 6
addition on an elliptic curve, 31
additive group, 30
additivity of height, 408, 421
affine automorphism, 390, 427
algebraically reversible, 429
algebraically stable, 396, 433
canonical height, 431
in),
;'i
) , 183,232
contains
of Rat.i, 169, 174
affine line, Berkovich, 301
affine minimal model of a rational map,
112,372,385
affine minimal rational map, 372
affine morphism, 375, 388
algebraically stable, 396,433
degree of composition, 392
473
474
affine morphism (continued)
dynamical degree, 397,428
finite quotient, 376
homogenization, 389
indeterminacy locus, 389, 392, 427
iterates, 376
jointly regular, 397, 429
lift of, 389
uniquely determines endomorphism
and translation, 376
affine plane
absolute value, 288
lift of rational map, 287
projection to projective line, 287
with origin removed, 287
affine space
absolute value, 90
height, 397
projection to projective space, 287
algebraic closure, 85
algebraic dynamics, 6
algebraic entropy, 397
algebraic family, 159,230
induces map to dynatomic curve,
159
oflP'l,s, 171
of morphisms, 171
of quadratic maps, 194
algebraic geometry, 402
algebraic group, 325
commutative, 375
conjugation is action on, 173
finite quotient, 376
iterates of affine morphism, 376
simple, 377
universal cover, 375
algebraic point in Julia set, 40
algebraic set, 90
attached to an ideal, 90
ideal of, 90
algebraic variety, 89,147,159
dynamically affine, 376
quotient by finite group, 161
quotient by infinite group, 161, 174
algebraically closed field, 26, 242
C p is an, 239
algebraically integrable map, 430
Index
algebraically reversible affine
automorphism, 429
algebraically stable morphism, 396, 433
degree, 396
indeterminacy locus, 396
ample divisor, 406
bounded height is finite set, 408
analytic function, see holomorphic
function
annulus, 302
archimedean absolute value, 83
arithmetic complexity
height in Md, 221
minimal discriminant, 221
of orbit on K3 surface, 435
arithmetic function, 6
Arzela-Ascoli Theorem, 25
attracting basin of 00, 74,138,140,141
attracting periodic point, 19,47,326,362
accumlates on a critical point, 78
basin of attraction, 310
every periodic point is an, 78
immediate basin of attraction, 310
in Berkovich space, 310, 324
in Fatou set, 22, 40
limit is repelling, 274
of Type I, 310
reduction is critical, 78
automorphism
action on critical point, 234
affine, 390, 427
affine regular, 394
algebraically reversible, 429
finitely many periodic points, 435
height inequality, 399,431
height of periodic points, 402
induced by degree 2 map, 411, 436,
437
is subgroup ofPGL2, 234
nondegenerate, 226
of order two, 96, 197,235
rational,430
automorphism group, 340, 341
containing (nZ, 205, 234
contains 1-L2' 235
cyclic, 197, 204
dihedral, 217, 234, 327
extension of cocycle to PGL2, 203
Index
automorphism group (continued)
involution, 410
is finite, I 96
list of possible , 197
no twists if trivial, 198
noncommuting involution s, 4 10,
437
of Chebyshev polynom ial, 332, 336
in characteristic p, 381
of conjugate, 196, 234
of elliptic curve, 365
of monomial map, 327
of power map, 327
of projective line, 10
of z d ,234
order two, 198, 200
points stabilized by, 425, 434
polynomial map with nontrivial,
234
rational map, 196
symmetric group , 197
trivial for most maps, 199, 234
{Zl }, 205, 234
Backward orbit
dense for shift map, 314
dense in Berkovich Julia set, 3 11
dense in Julia set, 267
equidistributed, 315
equidistributed for shift map, 3 15
of rational map , 109, 142
bad reduction
becomes good reduction, 218
Berkovich Julia set of map with,
307,311
complex dynamics has, 294
composition of maps, 77
composition of maps can be good ,
77
Green function of map with, 294,
318
of if>(P) is not ~ ( p) , 77
product of prime s of, 22 1
Baire category theorem , 268
Baker 's theorem , 107, 155
Banach algebra, 298
Baragar 's theorem, 443
475
base locus, 406, 408
basin of attraction, 74,138,140,141 ,310
immediate, 3 10, 311
Benedetto's theorem, 284- 286
Berkovich affine line, 301
as ringed space, 304
contained in Berkovich projective
line, 303
contains C p , 302, 304, 323
Gel'fond topology restricts to Cp
topology, 304, 323
has no Gauss point, 302
is Hausdorff, 304
is locally compact, 304
is tree, 302
is uniquely path connected, 304
no Type-IV fixed points , 321
polynomi al map, 304
Berkovich disk, 295
annulu s, 302
base of open sets, 300
big model, 323
branch, 300
closed branch, 300
closed of radius R, 297, 30 I
closed unit , 297
conta ins unit disk in C p , 295, 301,
323
dynamic s of z 2 , 307
Gauss point, 297, 30 I
Gel'fond topology
restricts to C p topology, 301, 323
Gel' fond topology, 300, 322
good reduction polynomial map,
321, 322
Hsia kernel, 323
is compact, 295, 300, 304
is connected, 295
is Hausdorff, 300, 304
is metric space, 295
is path-connected , 300
is set of bounded seminorms, 297
is set of seminonn s, 296
is uniquel y path connected, 304
Julia set of good reduction map, 322
line segment from Gauss point to
Type-IV point , 322
line segment in, 298
neutral fixed point, 322
Index
476
Berkovich disk (continued)
of radius R, 297,301
open branch, 300
potential theory, 323
radius of Type-IV point is positive,
296
seminorm associated to each type of
point, 297
small model, 323
topology on, 299
union of annulus and open branch ,
302
visualiz ing, 298
Berkovich Julia set
backward orbit dense in, 311
equals closure of repelling periodic
points, 311
has empty interior, 311
is connected or infinitely many
components, 311
is perfect set, 307, 311
is uncountable, 307, 311
Berkovich project ive line, 301, 302
as homogeneous two-variable
seminorms, 303, 305
as ringed space, 304
attracting fixed point, 324
branch at infinity, 302
canonical measure, 306
support of, 307
contains Berkovich affine line, 303
contains ]pI (iC p ) , 304, 323
domain of quasiperiodicity, 310,
311
dynamics of Z2, 307
Fatou set, 306, 311
contains classical, 306
Gel'fond topology restricts to iC p
topology, 304, 323
immediate basin of attraction , 310,
311
is compact, 304
is Hausdorff, 304
is uniquel y path connected, 304
Julia set, 306
contains classical, 306
equals closure of repelling
periodic points, 311
is nonempty, 307
of bad reduction map, 307, 311
of good reduction map, 307, 311,
322
Montel theorem , 310, 311
rational map, 305
recurrent point, 310
Berkovich space, 294
attracting periodic point, 310
canonical measure , 6, 306
support of, 307
connectivity of, 276
different centers yield same point,
295
311
dynamics of Z2 , 307
dynamics on, 304
Fatou set, 306, 311
fixed Gauss point, 321
Gauss point , 297
Gel'fond topology, 322
good reduction polynomial map,
321, 322
Hsia kernel, 323
immediate basin of attraction, 310,
311
invariant measure, 104
is set of seminorms, 296
Julia set, 306
equals closure of repelling
is nonempty, 307
322
Laplacian oflocal canonical height,
104
line segment from Gauss point to
Type-IV point, 322
Montel theorem, 310, 311
neutral fixed point, 322
path metric, 306, 323
potential theory, 323
radius of a point , 296
radius of Type-IV point is positive,
296
Index
Berkovich space (continued)
recurrent point, 310
repelling periodic point , 310
rigid analytic space, 298
seminorm associated to each type of
point, 297
topology on, 299
Type-I-IV points , 295
Bezivin 's theorem , 274, 275
Bezout 's theorem, 428
bicritical rational map, 233
bidegree, 405, 410
bifurcation point, 165
bifurcation polynomial, 165
is a power, 165,226,227
big model of Berkovich disk, 323
big-Oh notation, 93
bihomogeneous polynomial, 405, 410
binomial theorem, 206, 261
birational map on Markoff variety, 437
dynamical, 129
Borel probability measure , 127
bounded height
finitely many points of, 86, 407
is finite set, 408
Misiurewicz points have, 167
bounded seminorm
automatically nonarchimedean, 321
properties, 321
set of is Berkovich disk, 297
bounded seminorm on Cp[z], 296
branch at infinity in jp'B, 302
branch of Berkovich disk, 300
Brauer group, 204
Brauer-Siegel theorem, 368
Brolin measure, 307
bulb, 166
Canonical divisor, 214
canonical height, 97, 99, 100,287
algorithm to compute, 99, 318
associated to an eigendivisor class,
104
commuting maps have same, 137
conjugation invariance, 137
finitely many points of bounded ,
423
477
infinitely many points of bounded,
435
is sum of Green functions, 290, 318
Lehmer's conjecture, 101, 138
local, 102, 291, 320
local for a polynomial map, 140,
141
lower bound for, 101, 137, 138,221
normalization conditions, 422
normalized local, 141
of point in Fatou or Julia set, 138
on abelian variety, 409
on elliptic curve, 409
on K3 surface, 421, 423, 426, 435,
436
with three involutions, 438
product h+ k, 435
quadratic map , 137, 138
regular affine automorphism, 431
sum of local canonical heights, 103,
293
Tate construction, 97
transformation formulas , 422, 432
uniqueness, 98
zero iff finite orbit, 423, 431
zero iff preperiodic point , 99
zeta function , 436
canonical measure, 127,306
on Berkovich space, 306
support is Julia set, 307
supported at Gauss point, 307
cardiod, 166
Cauchy estimate for norm of derivative,
252,313
Cauchy residue theorem, 20, 248, 314
Cauchy sequence, 98, 240, 296
chain rule, 18, 360
calculate multiplier with, 19,47
change of variables, II
chaos, 3, 22
Chebyshev polynomial, 29, 30, 95, 329
algebraic properties, 41, 329
alternati ve normalization, 30, 331
binomial coefficient identity, 380
commutativity, 41, 329, 332, 378
defining equat ion, 30
derivative identity, 381
478
Chebyshev polynomial (continued)
derivative in characteristic 2, 381
differential equation characterizing,
334
dynamical properties, 41
even, 41, 329
explicit formula, 41, 329
fixed point, 332, 380
in characteristic 2, 381
in characteristic p, 380, 381
is monic of degree d, 329
Julia set, 30, 41, 336
multiplierof fixedpoint, 332, 380
multipliersummationformula, 380
not conjugateto monomial, 381
odd, 41, 329
periodic point, 41
recurrencerelation, 41, 329
twist, 336
uniform boundedness of periodic
points, 137
value of T 2 , T 3 , T4 , 41
chordal metric, 102
complex, II , 144
dehomogenizedform, I I
distance between closed disks, 268
effect of linear fractional
transformation, 76
equals distance on Riemann sphere,
11 ,35
invariant maps for, 35
inversion is isometry, 35
Lipschitzproperty satisfied, II , 24,
36,56
on inverseimage of rational map,
115,144
related to Euclideandistance, 119
relation to cross-ratio,72
resultant measuresexpansion, 56,
76
v-adic, 45, 46,144,243
value is between zero and one, II
chordal sup norm, 269
circle, 242
is open and closed, 243
class field theory, 202, 204
class number, 350
Index
of quadratic imaginaryfield, 368
closed branch of Berkovich disk, 300
closed disk, 242
closed under addition, 243
distancebetween, 268
equivalent nested sequences, 322
Gel'fond topology restricts to iCp
topology, 30I, 323
image of D(O, 1) by PGL 2 , 317
image under inversion, 321
in IP'! , 243
is open, 243
is ring of integers, 243
nested sequence, 295, 322
radius of image by polynomial, 321
rational radius, 243, 278, 295
standard collection, 277
CM, see complexmultiplication
coarse moduli space, 160
coboundary, 201 , 202, 209
trivial when extended, 203
cocycle, 20I, 202
cohomologous, 202
determines field of moduli, 209
PGL 2 gives twist of IP!, 211
cocycle corresponds to twist?, 203
Cohn's theorem, 443
cohomologygroup, 202
maps to Brauer group, 204
twists map to, 202, 236
cohomologyset, 202
commutative algebraic group, 375
commuting maps, 8
Chebyshev polynomial, 332
Fatou set, 378
have same canonicalheight, 137
have same preperiodicpoints, 38
higher-dimensional, 378
Julia set, 378
Lattes, 382
monomial, 325, 326, 380
polynomial, 378
power map, 326, 380
commutingrational map, 378
complete field, 240
circle, 242
closed disk, 242
iCp, 242
Index
complete field (continued)
extension, 241
holomorphic function, 244
open disk, 242
power series converges iff an -> 0,
244
projective space compact iff K
locally compact, 243
completely invariant set, 17,258,266
boundary of Julia set, 23
closed,267
component at infinity, 40
contains Berkovich Julia set, 311
Fatou set, 23, 40, 266
finite, 16, 266
Julia set, 23, 40, 266
completion of a field, 83
valued,241
complex chordal metric, II, 144
complex multiplication, 32, 341, 348
by Z[p], 341
by Z[iJ, 341
degree of an endomorphism, 349
fractional ideal gives curve with,
350
ideal class group, 350
is quadratic imaginary, 349
complex orbifold, 176
complex projective line, see projective
line
complex torus, 33
fundamental domain, 33,127
conformal map of Mandelbrot set
complement, 167
conjugacy class in space of rational maps,
174
conjugation, 11
canonical height is invariant, 137
linear, 11, 173
new coordinate functions, 218
connectivity
Berkovich space, 276
disk,276
Julia set, 26, 165
Mandelbrot set, 167
rigid analytic, 276
continuity, 22
equi-, 254, 264, 265, 271, 306, 313
uniform, 39, 254, 313
479
continuous function, 10, 253
on metric space, 22
convex hull, 249
coordinate ring, see affine coordinate ring
counting lemma, 425
C p,239
bounded seminorm on on Cp[z],
296
Cauchy sequence, 296
compact Julia set example, 275
is algebraically closed, 239, 242
is complete, 242
is contained in Berkovich affine
line, 302
is totally disconnected, 239, 276,
294
not locally compact, 239, 294
projective space is bounded, 243
projective space not compact, 243
unit disk contained in Berkovich
disk, 295, 301, 323
valuation, 249
value group is Q, 294
critical point, 12,284,353
bounded orbit, 26, 165
distinct modulo p, 237
image under automorphism, 234
Julia set with no, 285
number of for rational map, 14,37
number offor separable map, 37
of Lattes projection, 384
orbit for quadratic map, 26, 165
periodic, 38
postcritical set, 280
ramification index, 12,36
rational map with two, 233
reduction is if point is attracting, 78
repelling, 166
strictly preperiodic, 26, 166
tamely ramified, 37
totally ramified, 12
unbounded orbit, 26
whose reduction is periodic, 78
wildly ramified, 37
critical value, 353, 382
cross-ratio, 71, 132,348
j-invariant in terms of, 348
permutation invariant, 79
480
cross-ratio (continued)
relation to chordal metric, 72
cubes, sum of two, 141
curve
cubic, 30
function with given divisor, 214
genus, 15,37
of genus at least two, 107
quotient by finite group, 161
Riemann-Roch theorem, 214
twist, 200, 211, 215, 236
cuspidal cubic map, 193
cycle of n-periodic points, 150, 226
cyclic automorphism group, 204
cyclic group, 197
cyclotomic extension, maximal, 95
cyclotomic field, 69, 123
dynamical analog of, 123
Frobenius, 130
Galois group, 129
cyclotomic polynomial, 39,148,224
resultant with multiplier
polynomial, 226
cyclotomic unit, 69, 72, 133,328
action of Galois, 133
Degenerate point for involution on K3
surface, 415
degenerate quadratic map, 194
degree
map on divisor class group, 405
map on divisor group, 405
map on function fields, 44
map on Picard group, 405
of algebraically stable morphism,
396
of composition of affine
morphisms, 392
of divisor, 339, 405
of endomorphism, 349
of family of morphisms, 171
of flexible Lattes map, 357
of inverse of affine automorphism,
390
of isogeny, 340
of iterate of affine automorphism,
390
of Lattes map, 34
of morphism, 389
Index
of polynomial, 389
of rational map, 10,89,388,389
two map induces involution, 411
universal map of given, 171
degree 2 map induces involution, 436,
437
derivative
formal, 12,37,313
norm of, 252, 313
of Chebyshev polynomial, 381
dessins d' enfant, 217
diagonal map, 150,216,226
differential equation characterizes
differential form used to define
multiplier, 19
dihedral group, 197,217,234,327
infinite, 419, 435
dimension of family of K3 surfaces, 412,
438
Diophantine approximation, 104
Baker's theorem, 107
Dirichlet's theorem, 104, 141
effective version, 107
Roth's theorem, 104, 108
Diophantine equation, 4, 104, 202
Pell, 106
Thue's theorem, 105
Dirac measure, 128
Dirichlet's theorem on Diophantine
approximation, 104, 141
disconnected Julia set, 26
discrete dynamical system, 1
discrete periodic point, 428
discrete valuation, 44
discriminant, 132, 134, 146,368
elliptic curve, 30, 337, 343, 370,
385
minimal, 221, 342
of dynatomic polynomial, 226, 227
disk,242
Berkovich, 295
c1osed,242
connected, 317
distance between, 268
image of unit disk by PG L2, 317
image under inversion, 321
Index
disk (continued)
in pI , 243
in topological space, 277, 317
nested sequence, 295
open, 242
polynomial sends to disk, 312
power series sends to disk, 252, 305
radius of image by polynomial, 32 1
rational radius , 243, 248, 252, 278,
295
Siegel,28
sup norm of function on, 247
disk component, 277, 317
image may not be disk component,
283
is maximal disk connected set, 317
is open, 317
map on induced by rational map,
283
no wandering, 284
nonarchimedean has simple form,
278
of (z2 - z)/p, 283

open set is disjoint union of, 277,
317
periodic, 283
preperiodic, 283
same as path-connected component
over C, 277
set of, 283
wandering, 283
disk connected set, 276, 317
maximal is disk component, 317
disk domain, no wandering, 284, 285
distance
between closed disks, 268
between images via linear fractional
transformation, 269, 316
logarithmic, 102
division polynomial, 362, 383
resultant, 383
divisor, 338,403
action of involution, 418, 419, 438
ample, 406
associated to a rational function ,
339
associated vector space L(D ), 406
base locus, 406,408
481
degree of, 339, 405
effective, 406
positivity of height, 408
group of principal, 339
intersection on K3 surface, 434
is difference of effective, 406
linear equivalence, 404
linearly equivalent give same
height, 408
local ring, 403
of a rational function , 320, 403
of degree zero, 405
on K3 surface, 418
positive, see effective divisor
principal , 320, 403, 405
principal iff degree and sum are
zero, 339, 409
pullback,404
pullback of linearly equivalent, 405
pushforward, 404
rational map associated to, 406
Riemann-Roch theorem , 214
support , 403
very ample, 406
divisor class
ample, 406
base locus, 406
very ample, 406
divisor class group, 403
degree map, 405
exact sequenc e, 404
height map on, 408
pullback homomorphism, 405
divisor group, 339, 403
degree map, 339,405
summation map, 339
domain of quasi periodicity, 310, 311
domain, no wandering, 276, 284, 285
Douady-Hubbard theorem, 167
double cover, 410
of elliptic curve, 347
Drinfeld module , 6
dual isogeny, 340, 352
duplication map
elliptic curve , 32, 338, 351, 370
on Q/Z, 168,229
dynamical Bogomolov conjecture, 129
dynamical degree, 397, 428, 433
dynamical Galois equidistribution, 128
482
Index
dynamical Lehmer conjecture, 101, 138

dynamical Manin-Mumford conjecture,
127
dynamical system, 1
abstract, 1
algebraic, 6
discrete, 1
integrable, 429, 430
iteration of arithmetic functions, 6
on Drinfeld modules, 6
on finite field, 2, 5
on finite set, 1
on foliated spaces, 6
on function field, 5
on group, 2
on metric space, 3
on topological group, 8
on topological space, 3
reversible, 429
symbolic, 258,314
dynamical unit, 69
for power map, 328
generic monic polynomial, 146
generic rational map, 146
polynomial map, 71, 132
quadratic map, 134, 145, 146
rational map, 71, 72, 79, 132, 133
dynamically affine morphism, 376
dynatomic curve, 156, 157, 161
action of Z2 + con, 161
genus, 164, 230
is coarse moduli space, 160
is fine moduli space, 230
is irreducible, 164
is modular curve, 158
map X l(2) -+ X o(2), 162
map X l(3) -+ Xo(3), 230
points solve moduli problem, 159
quadratic polynomial, 156
quotient, 161
Xo(4), Xo(5), X o(6), 230

Xl (1), Xl (2), Xl (3) are rational,
157
X l (4), X l(5),Xl (6), 230

dynatomic divisor, 150
dynatomic field, 123
Galois group is subgroup of wreath

product, 125
quadratic polynomial, 123
ramification, 129, 131
unit, 129
dynatomic polynomial, 39, 148, 149, 181
associated multiplier polynomial,
225,227
dehomogenized, 149
discriminant, 226, 227
for Z2 + c, 156
generalized, 227, 229
homogeneous of degree lJd(n), 181
is a polynomial, 151,226
of z + 1/z, 224
of z2 + bz, 182
order at P (ap(n)), 151,225,226
quadratic map, 39
reducible, 235
resultant of two, 165,226,227
dynatomic O-cycle, 150,226
is positive, 226
Effective divisor, 406
eigenvalue, 421
involution, 438
elementary symmetric polynomial, 87,
180
elimination theory, 417
elliptic curve, 30, 336,409
addition law, 31
explicit description, 342
complex multiplication, 32, 341
complex uniformization, 33,127
critical values of quotient, 353
defined over K, 337
degree 2 map is even, 382
degree map on divisors, 339
degree of an endomorphism, 349
degree of an isogeny, 340
determined by critical values of
double cover, 347
discriminant, 30, 337, 383
division polynomial, 362, 383
divisor group of, 339
Index
elliptic curve (continued)
divisor is principal iff degree and
sum are zero, 339,409
divisor of a function, 339
divisor on, 338
dual isogeny, 340, 352
duplication formula, 338
duplication map, 32, 351, 370
endomorphism ring, 31, 340, 341,
378
field generated by torsion, 344, 363
flexible Lattes map, 355
geometric points, 337
global minimal Weierstrass
equation, 343, 371
good reduction, 58, 62, 342, 343,
362,383
good reduction implies reduction is
homomorphism, 342
group law, 337
explicit formulas, 338
is algebraic, 338
Haar measure, 127
Hecke correspondence, 369
height on, 409
ideal class group maps to eM, 350
identity element, 337
integer point, 372
integral j-invariant, 370
invariant differential, 344, 359, 367
inverse of a point, 337
is a pair (E, 0), 337
is abelian group, 338
isogeny,339
is homomorphism, 340
is unramified, 340, 353
isomorphic to Picard group, 339
isomorphism class, 337
j-invariant, 337
kernel of endomorphism, 343
Lattes map, 32, 97, 351
preperiodic points, 41, 352
level curve of integrable map, 430
L-series, 409
minimal Weierstrass equation, 222,
342
modified group law, 382
483
morphism is isogeny and
translation, 339
m-torsion subgroup, 343
multiplication map, 31, 112, 340,
383
effect on height, 409
kernel, 343
noncommutative endomorphism
ring, 378
nonconjugate Lattes maps, 354
nonsingular,337
normalized embedding of
endomorphism ring, 345
point at infinity, 336
potential good reduction, 371
principal divisor, 339
has degree zero, 339
quasiminimal Weierstrass equation,
371,385
quotient by automorphism group,
346,365
rational point, 337
reduction modulo p, 342
reduction oftorsion points, 62, 343,
364
subgroup of K -rational points, 338
summation map on divisors, 339
supersingular,378
Szpiro conjecture, 221
Tate's algorithm, 342
torsion equidistributed, 127
torsion point, 41
torsion subgroup, 32, 343, 352
twist, 198,341,374
uniform bound for integer points,
372
uniform boundedness of torsion, 97,
369
Weierstrass r function, 34, 345
Weierstrass class, 237
Weierstrass equation, 30, 336, 409
elliptic modular curve, 163
endomorphism ring
elliptic curve, 340, 341, 378
kernel, 343
multiplicative group, 325, 378
noncommutative, 378
484
Index
endomorphism ring (continued)

normalizedembeddingin C, 345
order in quadratic imaginaryfield,
341
order in quatemion algebra, 341
entropy, 6
algebraic,397
equicontinuity, 3, 22, 254, 264, 265, 271,
313
Fatou set is maximal open, 22
is not open condition,40, 254
on a metric space, 22
topological, 306
equidistribution, 6
dynamicalGalois, 128
Galois of a sequence, 128
of preperiodic points, 128
of small height points, 128
torsion on elliptic curve, 127
equi-Lipschitz,313
equivalence relation from group action,
234
Eremenko's theorem, 378
ergodic theory, 6
essential singularity, 23
etale map, 353
Euclidean distance versus chordal metric,
119
Eulertotientfunction, 137, 164, 182

iterationof, 6
exact period, 1, 18,38,150
conditionfor larger formal period,
151, 165,226
rational map has points of different,
154, 155, 196
exceptional set, 16, 17,266
exercise
hard (
textbf*),7
unsolved (**), 7
extensionformula, 83, 84
Faltings' theorem, 107,442
family of maps, 171, 194
Fatou domain, 240
Fatou set, 22, 255
all oflP'l, 26, 59, 239
Berkovich,306, 311
canonicalheight of points in, 138
classicalcontained in Berkovich,
306
classification of connected
components, 28
complementof Julia set, 22
componentat infinityis completely
invariant, 40
containsattracting periodic points,
40
contains nonrepelling periodic
points, 256
empty, 26, 35, 361
Herman ring, 28
is completelyinvariant, 23, 40, 266
is nonempty, 256, 285, 314
is open, 22
Julia set is boundary, 25
local canonicalheight of points in,
141
no wanderingdisk domains, 284,
285
no wanderingdomains, 28
nonarchimedean, 254
number of connectedcomponents,
27
of an iterate, 24, 255
of commutingmaps, 378
of (z2 - z)/p, 283
of Zd, 22
paraboliccomponent, 28
polynomialcannot have Herman
ring, 28
recurrentcritical point is periodic,
284,317
set of disk components, 283
Siegeldisk, 28
Fermat's little theorem, 2, 252, 275
Fermat's sum of two squares theorem,
200,236
field
complete, 240
completion, 241
extensionof complete,241
finite, 2
of characteristic p, 37
separableextension,37
valued,44, 240
abelian variety, 217
Index
field of definition (continued)
cocycle is coboundary, 209
contains field of moduli, 208
covering map, 217
intersection of all is field of moduli,
236
not equal to field of moduli, 208,
213,236
of algebraic family, 159
of morphism, 89
of point, 86, 122, 145
of quotient variety, 161
field of moduli, 177, 207
cocycle, 209
contained in field of definition, 208
covering map, 217
equals field of definition for
polynomials, 215
equals field of definition if degree is
even,215
from image in Md, 207
is intersection of all fields of
definition, 236
not equal to field of definition, 208,
213,236
of a point, 145
filled Julia set, 74, 140
Green function, 140
fine moduli space, 160, 172, 230
finite field
dynamical system on, 2, 5
function field over, 5
finite invariant set, 16, 266
finite subgroup ofPGL 2 , 197
fixed point, 18
attracting in Berkovich space, 324
Galois conjugates, 180, 184
Galois group, 427
index summation formula, 20, 38,
255,314,380,382
Lattes map, 34
multiplier, 18,47, 180
at infinity, 38
neutral, 322
no Type-IV, 321
nonrepelling, 255, 314
in Fatou set, 256
485
of affine automorphism, 427
of Chebyshev polynomial, 332, 380
ofType I, II, III, IV, 322
rational, 427
rational map, 149
real,427
repelling in Julia set, 256
residue index, 38
rigid Lattes map, 366, 384
summation formula, 20, 38, 255,
314,380,382
symmetric polynomial of
multipliers, 180
totally ramified, 16, 17,37
flexible Lattes map, 187,355
composition of, 382
degree, 357
fixed points, 382, 384
good reduction, 362, 383
multiplier, 358, 366, 382, 384
spectrum, 356
multiplier at 00, 383
periodic points, 358, 382, 384
FOD, see field of definition
foliated space, 6
FOM, see field of moduli
formal derivative, 12,37,313
formal group, 67
formal multiplier spectrum, 182, 183
of Z2 + bz, 182
of z", 182, 183
formal period, 18,39, 150
algebraic family induces map to
dynatomic curve, 159
algebraic family of points of given,
159
condition for smaller primitive
period, 151, 165,226
moduli problem, 158
vd(n) points offormal period n,
150,224
formal power series, 5
periodic points over ring of, 78
forward orbit, I, 108, 280, 353
fractional ideal, 350
exact sequence, 404
height formula, 136
486
fractional linear transformation respects
reduction, 50
free product of cyclic groups, 419, 435
Frobeniusmap, 351
cyclotomic field, 130
periodic points are attracting, 78
function
analytic,244
equicontinuous family, 254, 264,
265,271,306,313
equi-Lipschitz family, 313
holomorphic, 244
meromorphic, 244
uniformly continuousfamily, 39,
254,313
unifonn1y Lipschitz family, 39, 254,
256,264,265,271,313,315
functionfield, 5
absolute values on, 44
dynamics, 5
functorialityof height, 407, 421
Galois cohomology, 205
Galois conjugate, measure supportedon,
128
Galois equidistributed sequence, 128
Galois equidistribution, 128
Galois group
action on dynatomicfield, 124
action on PGL2, 203
action on projectivespace, 122
action on rational map, 207, 211
cyclotomicfield, 129
of dynatomicfield, 123, 125
offield generatedby periodic
points, 122
of fixedpoint, 427
orbit of conjugatepoint, 137
profinitetopology, 211
subgroupassociated to rational
map, 207
subgroup of wreath product, 125
Galois invariance of height, 85
Galois-invariant orbit on K3 surface,436
Galois theory, 122
Gauss norm, 296
associatedGauss point, 297
is sup norm, 296
Index
on iCp[z], 296
on Tatealgebra, 298
Gauss point, 297
fixedby polynomial, 321
is Julia set of good reductionmap,
307,322
line segmentto Type-IV point, 322
of Berkovichdisk of radius R, 301
Gel'fond metric, 306
Gel'fond topology, 300, 322
base of open sets, 300
not inducedby path metric, 306,
323
restricts to iCp topology, 301, 304,
323
general linear group, 10
generalizeddynatomicpolynomial, 227
for quadraticmap, 229
generalizedWeierstrass equation,336
generatingfunctionfor degree of rational
map, 397,428
generic fiber, 77
generic rational map
dynamicalunit, 146
not very highly ramified, 231
genus, 15,37
of Xo(n), 164
of Xl (4), Xl (5), Xl (6),230

of Xl(n), 164
geometricinvarianttheory, 176
geometricpoint, 337
geometric quotient, 179
GL2,10
global minimal model, 222
impliestrivial Weierstrass class,
223
overQ,236
global minimal Weierstrass equation,
343,371
difference from quasiminimal, 385
global S-minimal model, 237
good reduction,43, 58, 218
attractingperiodic points, 64
BerkovichJulia set of map with,
307,311,322
compositionof maps, 59, 77
degree of reduction is same, 58
elliptic curve, 342, 362, 383
Index
good reduction (continued)
finiteness of periodic points , 66
from bad reduction, 2 18
Green function of map with, 289,
294,318
iff resultant is unit , 58, 2 18
implies reduction is
homomorphism, 342
is everywhere nonexpanding, 59
Julia set is empty, 59, 239
local canonical height for, 103, 141
map on Berkovich disk, 321, 322
nonrepelling period ic points , 64
of (P ) is (?), 59
of a rational map, 58
over power series ring of
characteristic p, 78
period of reduced point, 62, 66, 78
periodic points reduce to periodi c
points, 61
potential , 371
scheme-theoretic characterization,
59,61 ,77
separable, 64
twists with outside S, 237
v-adic distance between periodic
points, 69
graph, ISO, 216, 226
Green function , 287 , 288
algorithm to compute, 318
complex, 140
defining properties, 289
homogeneity properties, 289
is continuous, 289
is Holder continuous, 318
modified, 318
318
relation to local canonical height ,
291
sum is canonical height , 290, 3111
group, 2
action , 234
additi ve, 30
algebraic, 325
commutative algebraic, 375
dynamical system on, 2
law on elliptic curve, 338
487
multiplicative, 29
multiplicative scheme, 29
periodic points form subgroup, 8
variety P GL2, 170
wreath product , 125
HI, 202, 236

Haar measure , 127
haifa loaf, 133
hard probl em (
textbf*),7
harmonic function , local canon ical height
is, 140
Hausdorff space, Berkovich disk is, 300
Heeke correspondence, 369
height, 4, 81
absolute, 85
absolute logarithm ic, 93
additivity, 408 , 421
bounded for ample divisor is finite
set, 408
canonical , 97, 99, 100,287,409
on K3 surface, 421, 426, 435,
436
effect of morphism of degree d, 90,
136,398,407,409
effect of rational map, 388
effectivity of constants, 408
elliptic curve , 409
effect of multiplication map, 409
equals one iffroot of unity, 88, 100
field extension formula , 84
finitely many points of bounded, 86,
407,423
for linearly equivalent divisors, 408
fractional ideal formula, 136
functoriality, 407, 421
Galois invariance of, 85
h([u, a, b]) :::; h([u, a]) + h([u, b]),

398,428
in affine space, 397
inequality for j ointly regular affine
morphisms, 397, 429
inequality for nonregular affine
automorphism, 429
inequality for regular affine
automorph isms, 399,431
infinitely many points of bounded ,
435
488
height (continued)
is at least one, 84
is well-defined, 84
Lehmer's conjecture, 100, 10 I, 138
logarithmic, 93
lower bound for, 100, 101, 137,
138,221
machine , 407
map on Picard group , 408
Misiurewicz points have bounded ,
167
number of points of bounded, 135,
136,441
on K3 surface, 425
of a rational point, 82
of an algebraic point, 84
of isolated periodic points is
bounded,402
of polynomial and its roots , 136,
138
of wandering point for regular
affine automorphism, 432
on K3 surface , 420
on M d, 237
on jp'N x jp'M , 409, 420
on projective space, 407
positivity, 408
product h+ h- of canonical, 435
transformation rules on K3 surface ,
420
uniqueness , 408
Weil, 89,407
zeta function, 436
height machine, 407
Henon map, 390, 402
430
reversible, 430
Hensel's lemma, 48
Herman ring, 28
Hilbert basis theorem , 90
Hilbert Nullstellensatz, 90, 92
Hilbert theorem 90, 199,205, 207
Holder continuity of Green function , 318
holomorphic function, 244
coefficients uniquely determined,
312
distance between image disks, 268
Index
dynamics of, 23
313
family omitting one point, 264, 315
Fatou set, 24, 255
is continuous, 253
is open, 253
Julia set, 24, 255
Lipschitz bound , 248, 254, 272
maximum modulus principle, 250
Montel theorem, 264, 271, 315
Newton polygon, 249
norm, 247
norm of derivative, 252, 313
order of, 244
product is holomorphic, 312
reciprocal is holomorphic, 313
roots determined by Newton
polygon, 249
sends disks to disks, 252, 305
uniformly continuous family, 254,
313
uniformly Lipschitz , 254, 264, 265,
271,313 ,315
zeros are isolated , 244
homogeneous coordinates, 10
homogeneous ideal, 89
homogeneous polynom ial, 10
representation of integer by, 105
homogeneous seminorm, 303, 305
homogeneous space, 6
homogenization, 389
Hsia kernel, 323
Hsia's theorem , 264, 265, 271,273
Hurwitz formula, 13,217
hyperbolic component of Mandelbrot set,
166
hyperbolic map, 317
nonarchimedean, 279, 285, 317
Icosohedral group, 197
ideal
algebraic set attached to, 90
attached to an algebraic set, 90
Hilbert basis theorem , 90
homogeneous, 89
radical ,89
Index
ideal class group (continued)
exact sequence, 404
map to eM elliptic curves, 350
identity element of an elliptic curve, 337
imaginary field, quadratic, 34 1
immediate basin of attraction, 310, 311
inclusion-exclusion, 148, 224
dimension, 394
disjoint, 394
of involution on K3 surface, 413
of iterate, 394
indifferent periodic point, 19,47,326
one implies infinitely many, 314
induced rational map, 389
inertia group, 344
infinite dihedral group, 419, 435
integer point
counting on Markoff variety, 437
cutoff for in orbits, 375
in orbit, 3, 108, 109, 112, 142, 143,
145
in orbit of z + l i z, 8
on lP'1 minus 3 points, 106, 108
on Markoffvariety, 437
orbits with many, 110, III , 143,
375
uniform bound in orbits, 112, 372,
385
value of rational function, 143
integrable map, 429, 430
level curve is elliptic curve, 430
level set, 431
McMillan family, 443
QRT family,443
intersection theory, 434
invariantdifferential, 344, 359, 367
is holomorphic, 345
is translation-invariant, 345
transformation for [mJ, 345
invariant set, 16
completely, 17, 266
contains Berkovich Julia set, 3 II
Fatou and Julia sets are completely,
23
finite, 16, 266
inverse function theorem, 115, 144
489
over C p , 312
inverse of point on elliptic curve, 337
inversion maps disk to ], 321
involution, 410
action on divisor, 418, 419, 438
as linear transform on Picard group,
420
composition is reversible affine
automorphism, 429
degenerate point, 415
eigenvalue of, 421, 438
formulas to compute, 433
induced by degree 2 map, 41 I, 436,
437
is morphism on most K3 surfaces,
417,434,438
noncommuting, 410
not a morphism, 436, 437
on Markoff variety, 436
quotient by, 410
relation between noncommuting,
419,435
surface in lP'N x lP'N with two, 436
three noncommuting, 437
irrational number approximated by
rational number, 104
irrationally neutral periodic point, 19, 47
isogenous elliptic curves, 339
isogeny, 339
degree, 340
dual, 340, 352
is homomorphism, 340
is unramified, 340, 353
isolated point, 402
Julia set contains no, 25
of bounded height, 402
periodic, 402
preperiodic, 8
isospectral family, 186, 188, 356, 362
iterate, coordinate functions of, 149,226
iteration commutes with conjugation, I 1
itinerary, 258
as map on sequence space, 260
left shift, 260
Jacobian variety, 369
j -invariant, 221, 337
in terms of cross-ratio, 348
490
jointly regular affine morphisms, 397,
429
height inequality, 397,429
Julia set, 22, 255, 284
algebraic points, 40
all ofIP!, 26, 35, 361
backward orbit is dense, 25
Berkovich, 306
backward orbit dense in, 311
for bad reduction map, 307, 311
for good reduction map, 307,
311,322
is connected or infinitely many
components, 311
boundary is completely invariant,
23
boundary of Fatou set, 25
canonical height of points in, 138
chaotic behavior, 22
Chebyshev polynomial, 30, 41
classical contained in Berkovich,
306
closure of repelling periodic points,
41
compact, 275
complement of Fatou set, 22
connected, 26, 165
contained in closure of periodic
points, 273
contains repelling periodic points,
40,256
disjoint from postcritical set
closure, 280
effect of strictly preperiodic critical
points, 26
equal to Zp, 275
equals closure of repelling periodic
points, 27,274, 311
filled, 74, 140
Green function for filled, 140
in two disks, 257
is closed, 22
is closure of backward orbit, 267
is completely invariant, 23, 40, 74,
266
is empty for good reduction map,
26,59,239
Index
is nonempty, 25
is perfect set, 23, 25, 267, 307, 311
is uncountable, 267,307,311
local canonical height of points in,
141
no critical points, 285
nonarchimedean, 254
nonempty interior, 26
of an iterate, 24, 255
of commuting maps, 378
of Lattes map, 35, 361
of(z2 - z)/p, 262, 283, 315
of Z2 - 2,40
of Zd, 22
of z ... (z - d + 1)/ p, 315
open set orbit omits at most one
point, 266
orbit of open subset, 27
periodic points dense, 23, 263, 315
smallest closed completely invariant
set, 267
strictly expanding map on, 279, 317
support of canonical measure is,
307
topologically transitive map, 263,
315
totally disconnected, 23, 26
with no critical points, 279
K3 surface, 410, 412
action of involution on divisors,
418,419,438
A orbit, 418
arithmetic complexity of orbit, 435
canonical height, 421, 423, 426,
435,436
infinitely many points of
bounded,435
normalization conditions, 422
product it+ it-,435
transformation formulas, 422
zero iff finite orbit, 423
degenerate point for involution, 415
dimension offamily of, 412, 438
divisors on, 418
eigenvalue of involution on
divisors, 421, 438
finitely many periodic points, 435
Index
K3 surface (continued)
finitely many points of bounded
canonical height , 423
Galois-invariant orbit, 436
H 1(S,Os ) = 0,412
height functions on, 420
height transformation rules, 420
height zeta function , 436
homogeneous forms associated to,
412 ,433
in pi x jpl X jpl , 437
indeterminacy locus of involution,
413
intersection theory, 434
involution, 411
as linear transform on Picard
group, 420
example, 411
formulas, 433
is morphism on most, 417 , 434,
438
Kodaira dimension, 412
nonsingular,438
number of points of bounded
height, 425
orbit is Zariski dense , 435
Picard group of general , 418
projections to jp2 , 410
relation between noncommuting
involutions, 419, 435
stabilizer of point on, 425, 434
with three involutions, 437, 438
Kawaguchi's theorem , 399, 431
Kronecker's theorem, 88, 100
Krylov-Bogolubov theorem, 127
Kummer sequence, 205
-adic representation, 344
Lang's height lower bound conjecture,
101,221
Lang 's integer points conjecture, 112
Lanes diagram, 365
Lattes map, 32, 97, 186, 187, 351
affine minimal , 372, 385
commuting, 378
composition of, 382
critical point of 1r, 384
critical values, 353
491
cutoff for integral points in orbit ,
375
defining equation, 32, 351
degree, 34
fixed points, 34, 366, 382, 384
flexible, 355
for multiplication-by- (l + i ), 32
for multiplic ation-b y-2, 32,351,
370
on j = 0 curve, 351, 381
on j = 1728 curve, 351
good reduction, 362, 383
higher-dimensional, 377
integral j -invariant, 370
isospectral family, 362
iterate, 382
multiplier, 34, 186, 358, 366, 382,
384
at 00, 383
of fixed point, 382
spectrum , 362
summation formula , 382
nonconjugate, 354
to polynomial , 381
periodic points , 186, 358, 366, 382,
384
all attracting , 362
all nonrepelling, 362
expanding, 35
in Julia set, 35, 361
padically
p-adically, 361
postcritically finite, 353
preperiodic points, 32,41,352
projection to Elf, 365
reduced diagram, 365
rigid,364
set of is mono id, 382
torsion points map to preperiodic
points, 41
translation fixed by I', 365
uniform bound for integral points in
orbit, 372, 385
uniform boundedness of periodic
point s, 137
lattice, 33
492
Laurent series, 245
coefficients uniquely determined by
function, 312
of Schwarzian derivative, 232
product of, 312
least period , see exact period
Lefschetz principle, 20, 365
left shift map, 259, 314
as itinerary map, 260
backward orbit dense , 314
backward orbit equidi stributed, 315
continuous, 259
is topologically transitive , 259
Lipschitz, 259
are dense, 314
properties of, 259
topologically transitive , 314
uniformly expanding, 259
Lehmer 's conjecture, 100, 138
dynamical, 101, 138
level curve of integrable map, 430
level set of an integrable map, 431
Lie group , 6
lift, 287
from IFp to Zp, 48
of affine morphism, 389
of rational map, 287,389
line bundle, metrized , 410
line segment
from Gauss point to Type-IV point ,
322
in Berkovich disk, 298
of Newton polygon, 249
linear conjugation, II , 173
commutes with iteration, II
linear equivalence, 403, 404
divisors give same height, 408
pullback preserves, 405
linear fractional transformation, 10
action of Galois , 203
chordal sup norm, 269
distance between images , 269,316
effect on chordal metric , 76
image of unit disk, 317
Lipsch itz constant, 36
move three points , 36
on IP'N, 226
resultant of, 76
Index
linear group
general , 10
projective special, 175
special, 175
Lipschitz, II, 24, 36, 56
equi-, 313
holomorphic function, 248, 254,
272
shift map, 259
uniform family, 39, 254, 256, 264,
265,271,313,315
local canonical height, 102,291
associated to a divisor, 320
associated to an eigendivisor class,
104
computation of, 103
existence proof, 291
for a polynomial map, 103, 140,
141
good reduction case, 103, 141
Green function and, 291
is harmonic, 140
Laplacian is invariant measure, 104
normalized, 141
of point in Fatou or Julia set, 141
properties of, 102, 291, 320
sum to global canonical height, 103,
293
transformation law, 320
local degree , 83
local ring, 67, 79
at a divisor, 403
normalized valuation, 403
locally compact , 74, 239, 243, 304
is not, 239, 268, 294, 295
locally constant function , 318
locus of indeterminacy, 389
affine automorphism, 392
affine morphism, 392
algebraically stable morphism , 396
jointly regular affine morphisms ,
397,429
logarithmic distance, 102
logarithmic height, 93
absolute, 93
logarithmic singularity, 140
long exact sequence, 205
Liiroth's theorem, 158
Lyubich measure, 307
c,
Index
Mahler measure, 138
Mandelbrot set, 26, 165
analytic description of Misiurewicz
points, 229
bulb,166
complement conformal to unit disk
exterior, 167, 168
component of interior, 166
in disk ofradius 2, 166
is connected, 167
Misiurewicz point, 166
analytic description, 168
dense in, 166
in boundary, 166
root of hyperbolic component, 166
spider algorithm, 168
uniformization, 167, 168
Manes's theorem, 235
Manin-Mumford conjecture, 127
dynamical, 127
Markoff equation, 436
integer points, 437
Markoff triple, 437
unicity conjecture, 437
variety is rational, 437
Masser-Oesterle conjecture, 372, 373
maximum modulus principle, 248, 250,
252,253,268,296,298,305,
321
false if K not algebraically closed,
252
for rational functions, 250
Mazur's theorem, 97
Mazur-Kamienny-Merel theorem, 369
McMillan family of integrable maps, 443
McMullen's theorem, 187,367
M2,188
completion equals jp'2, 194
explicit formula for 0"1,0"2, 189
is a rational variety, 232
is a scheme over Z, 189
isomorphic to p,?, 188
locus of polynomial maps, 232
point with Aut() = 53, 234
subvariety with Aut = IL2' 235
Md,174
affine coordinate ring, 176
493
coordinate ring contains 0"; n) and
*(n)
:
,183,232
field of moduli, 207
generic map not very highly
ramified, 231
has dimension 2d - 2, 176
height, 221, 237
is a rational variety?, 232
is a scheme over Z, 179, 186
is a unirational variety, 232
is a variety, 175
is affine, 176
is complex orbifold, 176
is connected, 176
is integral, 176
is nonsingular?, 193
M2 ~ p,2, 189
M3 embedded by O";n)?, 232
map from Ratd, 174, 175
multiplier 1 is Zariski closed subset,
230
not embedded by O";n), 186, 187,
356,367
rational points, 177
semistable completion, 178
stable completion, 178
subvariety with nontrivial
automorphisms, 199, 234
twists have same image, 198, 221
M~,
178
has natural quotient property, 179
is geometric quotient, 179
is quasiprojective, 178
isomorphic to M~s iff d is even,
178
M~S,
178

is categorical quotient, 179
is projective, 178
isomorphic to M~ iff d is even, 178
measure, 6, 36
Brolin, 307
canonical on Berkovich space, 129,
306
Dirac, 128
Haar,127
invariant, 104, 127,307
Lyubich, 307
494
measure (continued)
spherical, 36
support on Galois conjugates of
point, 128
weak convergence, 128
Merel's theorem, 97, 369
meromorphic function, 244
coefficients uniquely determined,
312
dynamics of, 23
313
family omitting two points, 265,
315
Fatou set, 24, 255
is continuous, 253
is open, 253
Julia set, 24, 255
Laurent series, 245
Montel theorem, 265, 315
order of, 244
pole, 244
product is meromorphic, 312
313
uniformly Lipschitz, 254, 313
zero, 244
metric space, 3
chaotic map, 3
continuous function, 22
equicontinuous collection of
functions, 22
equicontinuous map, 3
Fatou set, 22
Julia set, 22
normal family of maps, 25
ofsequences,258,314
path in, 306, 323
SN is a, 258, 314
uniform continuity, 39
uniform Lipschitz, 39
metrized line bundle, 410
minimal discriminant, 221
minimal model, 220, 222
global S-, 237
minimal resultant, 220, 221, 237
exponent at p, 220
is PGL2(K)-invariant, 221
Index
is resultant times power, 222
of conjugate, 219
valuation, 219
minimal Weierstrass equation, 222, 342
global, 343, 371, 385
quasi, 371, 385
analytic description, 168, 229
dense in Mandelbrot set, 166
has bounded height, 167
in boundary of Mandelbrot set, 166
minimal polynomial, 230
no neutral cycles, 166
of type (m, n), 166
repelling critical orbit, 166
spider algorithm, 168
subhyperbolic, 166
Mobius inversion formula, 148,224
Mobius JL function, 39, 148, 149, 164,
224
modified Green function, 318
modular curve
dynatomic, 157, 158, 161
elliptic, 163, 369
Heeke correspondence, 369
modular Jacobian, 369
moduli space, 4, 26, 147
coarse, 160
degree of symmetric polynomial
map, 187,232,367,384
fine, 160, 172,230
isospectral family, 188, 356
M2 S;' It?, 188
M 2 S;' jp'2, 194
map defined by symmetric
polynomials of multipliers,
187,232,367,384
of rational maps of degree d, 174
scheme over Z, 179, 186, 189
moduli, field of, 207
Mobius transformation, see linear
fractional transformation
monoid of Lattes maps, 382
monomial map, 29, 95, 325, 428
commuting maps, 326, 380
dynamical unit, 328
Index
monomialmap (continued)
multiplierof periodic point, 326
periodic point, 326
preperiodicpoint, 326
twist, 206, 328, 380
monomial, number of given degree, 136
Montel theorem, 25
nonarchimedean, 264, 265, 271 ,
281 ,311 ,315
ofHsia, 265, 271
of Rivera-Letelier, 311
on Berkovichspace, 310, 311
with movingtargets, 271
morphism, 89, 388
affine, 375, 388
algebraic family of, 171
bijective -I?- isomorphism, 193
canonicalheight associatedto, 99,
287
canonicalmeasure, 127
definedover K , 89
degree of, 389
degree of composition, 392
dynamical degree, 397, 428
dynamicallyaffine, 376
effect on absolute value, 288
effect on height, 90, 136,398, 407,
409
functoriality of height for, 407, 421
Green function, 288
induced on family, 171
involution on most K3 surfaces is,
417,434,438
is open map, 433
jointly regular,397, 429
local canonicalheight, 102
over a variety, 171
pullback of divisor, 404
pullback of linearly equivalent
divisors,405
pushforwardof divisor, 404
Morton-Silverman Conjecture, 96, 135,
368
for zd , 137
for Lattes map, 370
moving targets, 271
495
m-torsion subgroup of elliptic curve, 343
multiplication map
by 2 on Q/Z, 168, 229
on elliptic curve, 31, 340, 383
effect on height, 409
kernel of, 343
multiplicative group, 29, 30
endomorphism, 29, 325
endomorphism ring, 378
preperiodicpoints, 326
quotient by { I}, 29, 328
torsion, 326
multiplicative group scheme, 29
multiplier, 18, 19,47, 180
at infinity, 38
Lattes map, 383
chain rule used to calculate, 19,47
condition for unequal formal and
primitiveperiods, 151,226
conjugacyinvariant, 19
differential one-formdefinition, 19
equal to one, 225, 230
flexible Lanes map, 186,358,382
Galois conjugates, 180, 184
integralover Q[Ratd], 180, 185
is PGL2 invariant, 18, 180, 185
minimal polynomial, 225, 227
not equal to one, 41
of a Lattes map, 34
of critical periodic point, 38
of degree two rational map, 190,
233
of fixed point of Chebyshev
polynomial, 332, 380
of fixedpoint of Lattes map, 382
of Z2 + bz, 182
root of unity, 151,226
symmetric polynomialof, 180, 183,
187,232,367
multiplierpolynomial, 225, 227
resultant with cyclotomic
polynomial, 226
multiplierspectrum, 182, 187
formal, 182
isospectral family, 188,356,362
496
multiplierspectrum (continued)
of Lattes map, 186
of Z2 + bz, 182
of zd, 182
Natural numbers,258
nth-dynatomic polynomial, 149, 181
homogeneous of degree vd(n), 181
Neron local height, 104
nested sequence of closed disks, 295, 322
associatedseminorm, 297, 322
equivalent, 322
neutral fixedpoint, 322
neutral periodic point, 19,47
Newtonpolygon, 248, 249, 252, 275, 276
determinesroots, 249
line segment,249
n-multiplier spectrum, 182
formal,182
of zd, 182
no wandering domains
disk conjecture,284
disk theorem, 284, 285
theorem, 28, 276
nonarchimedean absolute value, 44, 83,
242
morphism is open map, 433
nonarchimedean analysis,242
nonarchimedean Cauchy residue formula,
314
nonarchimedean disk component
has simple form, 278
nonarchimedean hyperbolicmap, 279,
285,317
nonarchimedean inversefunction
theorem, 312
nonarchimedean chordal metric, see
v-adic chordal metric
noncommutative monoid of Lattes maps,
382
noncommuting involutions, 410
three, 437
nondegenerateautomorphism, 226
nonrepellingcycles,number of, 27
nonrepellingfixedpoint, 255, 314
nonrepellingperiodic point, 362
in Fatou set, 256
nonsingularelliptic curve, 337
nonsingularK3 surface,438
Index
norm, 247,288
Gauss on Cp[z], 296
of a holomorphic function, 247
of derivative, 252, 313
semi-, 296
sup, 288
normal family, 25
normal forms lemma, 190,233
normalizedcoordinates, 49
normalizedMarkofftriple, 437
normalizedrational map, 51, 75
normalizedvaluation, 44, 249
Northcott's theorem, 94, 407, 423
false for rational maps, 136
notation, 7
n-periodpolynomial, 149, 181
homogeneous of degree d" + 1, 181
Nullstellensatz, 90, 92, 408
number field
algebraic closure, 85
completionof, 83
extensionformula for absolute
values, 83, 84
product formula, 83
ring of integers, 83
ring of S-integers, 83
numerical criterion for (semi)stability,
178
0(1),93
octahedralgroup, 197
one coboundary, 201, 202, 209
trivial when extended, 203
one cocycle,201, 202
corresponds to twist?, 203
determinesfield of moduli, 209
extensionfrom Aut() to PGL 2 ,
203
of twist, 201
open branch of Berkovichdisk, 300
open disk, 242
image of D(O, 1) by PGL 2 , 317
in jp'1, 243
is closed, 243
is maximal ideal, 243
rational radius, 243, 278
open map, 10, 253, 312
Index
open map (continued)
morphism is, 433
rational map is, 10, 24
open set
base offor Gel'fond topology, 300
disjoint union of disk components,
277,317
disk connected, 317
iterates omit at most one point, 266
orbit, I
backward is dense in Julia set, 267
finite iff canonical height zero, 423,
431
Galois-invariant on K3 surface, 436
height zeta function, 436
integral points, 3, 108, 109, 142,
143
construction of many, 110, III,
143,375
cutoff for, 375
uniform bound for, 112,372,385
integrality estimate for points in,
112, 145
number over a finite field, 430
of critical points, 280
is bounded, 26, 165
is unbounded, 26
of Galois conjugate, 137
of open set omits at most one point,
266
product of multipliers, 19,47
S-integral points in, 143
two sided, 432
under collection of rational maps,
143
Zariski dense on K3 surface, 435
orbit-counting function, 432
ord",,12
order
in quadratic imaginary field, 341
in quatemion algebra, 341
of a meromorphic function, 244
ord p , 82
of a polynomial, 218
Ostrowski's theorem, 44,312
p, Weierstrass function, 34, 345
p-adic absolute value, 44
497
p-adic Cauchy residue formula, 314
p-adic hyperbolic map, 279, 285, 317
p-adic inverse function theorem, 312
parabolic component, 28
path-connected, 304
Berkovich disk is, 300
same as disk-connected over C, 277
path metric, 306, 323
does not induce Gel'fond topology,
323
Pell equation, 106
perfect set
Berkovich Julia set is, 307, 311
Julia set is, 267
period
exact, 150
formal,150
of a point, I, 18
primitive, 150
period polynomial, 149, 181
dehomogenized, 149
for Z2 + c, 156
generalized,227
homogeneous of degree d" + 1, 181
multiple root, 230
order at P (ap(n)), 151,226
periodic disk component, 283
periodic domain, 28
periodic point, I
algebraic family induces map to
dynatomic curve, 159
algebraic family of with given
formal period, 159
algebraic properties, 3
attracting, 19,47,326,362
for good separable reduction, 64
iff reduction is critical, 78
in Berkovich space, 310
in Fatou set, 22, 40
canonical height zero, 99, 431
closure contains Julia set, 273
closure of repelling equals Julia set,
274,311
primitive periods, 151, 165,
226
critical, 38
498
periodic point (continued)
criticalpoint with reduction a, 78
cycle of, 150,226
cyclotomic, 95
dense for shift map, 314
differential one-formdefinition of
multiplier, 19
discrete, 428
dynamicalunit, 69, 71, 72, 79, 132,
133
dynamics on finite set, 7
dynatomicfield, 123
equation of, 122
equidistribution, 6
every is attracting, 78
exact period, 18,38,150
field generatedby, 122
finitelymany on K3 surface,435
finitely many rational, 8
finiteness for regular affine
automorphism, 400
finiteness over number field, 66, 94,
407
finiteness over Q, 3
flexible Lattes map, 358, 382
form subgroup, 8
formal period, 18,39, 150
moduli problem, 158
Galois theory offield generatedby,
122
generalizeddynatomicpolynomial,
227,229
generalizedperiod polynomial,227
immediatebasin of attraction, 310
index summationformula,20, 38,
255,314,380,382
indifferent, 19,47,326
irrationallyneutral, 19,47
isolated, 402
Julia set is closure of nonrepelling,
27
Lattes map, 186
least period, 18
multiplier, 18, 19,47
at infinity, 38
Lattes map, 35, 186
of critical, 38
power map, 326
nonrepelling, 362
Index
for good reduction,64
in Fatou set, 256
number of, 39
given period, 122
nonrepellingcycles, 27
of commutingmaps, 8, 378
of power map, 326
of quadraticpolynomialmap, 96
of regular affineautomorphism,
394,428
of(z2 - z)/p,263
of Z2 + 1, 8
of Z2 - 1,8
of Zd + a over finite field, 8
ofz (z - d+ 1)/p, 315
on subvariety, 127
one indifferent implies infinitely
many, 314
p-adic, 361
prime period, 18
primitive, 122
field generatedby, 123
primitiveperiod, 18, 150
product of multipliersin orbit, 19,
47
rational map can have infinitely
many rational, 136
rational map has points of different
periods, 154, 155, 196
rationallyneutral, 19,47
in hyperboliccomponent, 28
reduction of, 61, 62, 66, 78
regular affineautomorphism, 400
relativeabelian extension, 126
repelling, 19,47,326,361
in Berkovichspace, 310
in Julia set, 22, 40
limit of attracting, 274
repelling in Julia set, 256
residual degree, 310
set of is Galois-invariant, 123
shift map, 259
summationformula, 20, 38, 255,
314,380,382
superattracting, 19,47
Type-I, 310
Type-II,31O
Type-IV, 321
Index
periodic point (continued)
uniform boundedness conjecture,
96,135,368
forz d,137
for Lattes map, 370
v-adic distance, 69
periodic subvariety, 127
permutation group, 124
permutation polynomial, 5
Per n (c/ ,18
PGL2 ,1O
automorphism group is subgroup,
234
cocycle gives twist of jp>l , 211, 215
conjugation is algebraic group
action, 173
equivalence, 195,233
extension of cocycle to Aut( c/,
203
finite subgroups, 197
invariant functions on Ratd, 175
is group variety, 170
is Rah, 170
map from PSL 2, 175,231
minimal resultant is invariant, 221
PGL2(K) equivalence, 195,233
quotient of Rat., by, 174
PGLn , 226
map from PSL n , 231
Picard group, 339,403
action of involution, 418, 419, 438
degree map, 405
eigenvalueof involution, 421, 438
exact sequence, 404
generated by hyperplane, 405
height map on, 408
intersection theory for K3 surface,
434
isomorphic to elliptic curve, 339
linear transform induced by
involution, 420
of general K3 surface, 418
of jp>2 x jp>2 , 418
of jp>N x jp>AJ , 405, 406, 409
pullback homomorphism, 405
point
absolute value, 90, 288
at infinity, 10, II
499
field of definition, 86, 122
polynomial action on Berkovich,
305
radius of in Berkovich space, 296
reduction modulo a prime, 48
sup norm, 90, 288
pole, 244, 403
polynomial
absolute value of, 91, 288
bidegree, 405, 410
bihomogeneous, 405,410
bounded seminonn on ring of, 296
cyclotomic, 148, 224
degree of, 389
dynatomic, 148, 149, 181
elementary symmetric, 87
Gauss norm, 296
height of roots, 136, 138
homogeneous, 10
homogeneous ideal, 89
local canonical height, 140
normalized, 51
number of monomials, 136
ords, 218
permutation, 5
resultant of two, 53
sup norm, 91, 288
trihomogeneous, 437
polynomial map, 17
cannot have Herman ring, 28
canonical measure on Berkovich
space, 306
Chebyshev, 29, 95, 329
commuting, 378
complete invariance of component
at infinity, 40
primitive periods, 165
cyclotomic preperiodic points, 95
dynamical unit, 71, 132
of generic monic, 146
filled Julia set, 74, 140
finitely many rational periodic
points, 8
fixes Gauss point, 321
FOM = FOD, 215
Index
500
polynomial map (continued)
good reduction, 32 i, 322
has primitive periodic points of
different periods, 155
iff 0"1 () = 2, 232
iterate is a, 17,37,431
iterates of open set omit at most one
point, 266
Lattes map not conjugate to, 381
local canonical height , 103, 140,
141
monomial, 29, 95, 325
multipliers not equal to one, 41
nontrivial automorphism group , 234
number of nonrepelling periodic
cycles, 27
power, 95, 325
power map, 29,95,234,321,325
radius of image disk, 321
wandering disk domains exist over
C p , 286
polynomial type rational map, 143
positive divisor, see effective divisor
postcritical set, 280, 353
potential good reduction, 371
potential theory on Berkovich space , 323
Hsia kernel, 323
power map, 29, 95, 325
commuting maps, 326, 378, 380
dynamical unit, 328
multiplier of periodic point, 326
periodic point, 326
preperiodic point, 326
twist, 206, 328, 380
power series, 244
coefficients uniquely determined by
function , 312
converges iff an ---> 0, 244
distance between image disks, 268
family omitting one point, 264, 315
formal.f
maximum modulus principle , 250
Montel theorem, 264, 27[ , 315
Newton polygon, 249
norm of derivative, 252, 3 [3
periodic points in ring of, 78
product of, 3 [2
Tate algebra , 297
preperiodic disk component, 283
preperiodic disk domain , 284, 285
preperiodic doma in, 28, 276
preperiodic point , I
canonical height zero, 99
critical, 26, [66
cyclotomic, 95
dynamics on finite set, 8
finitely many, 38
finiteness over number field, 94,
407
generalized dynatomic polynomial,
227,229
isolated, 8
large ramification index implies is,
37
Lanes map, 32, 352
of abelian group is torsion, 2, 41,
326
of commuting maps, 8, 38, 378
of multiplicative group , 326
of power map, 326
on subvariety, [2 7
reduction of, 61
Type-IV, 321
uniform boundedness conjecture,
96,135 ,368
for Zd , 137
for Lattes map, 370
preperiodic subvariety, 127, 128
prerequisites, 7
prime divisor, 403
degree, 405
local ring, 403
prime is sum of two squares , 200, 236
prime period, see exact period
primitive period , see exact period
primitive periodic point, 122
Index
primitive periodic point (continued)
dynatomi c field, 123
field generated by, 123
set of is Galois -invariant , 123
principal divisor, 320, 339, 403
has degree zero, 339
probability measure, 127
Borel, 127
canonical , 127
canonical on Berkovich space, 306
invariant, 127
produ ct formula , 83, 84, 290
profinite topology, 211
projection map, 287
ofK3 surface to jp'2, 410
projective genera l linear group , 10
projective line
automorphism group , 10
Berkovich, 302
change of variables, II
chordal metric , 11,35,45, 144, 243
construction of, 10
integer points on, 106, 108
inversion is isometry, 35
linear fractiona l transformation, 10
morphism of over a variety, 171
moving three points , 10, 36, 51
not locally compact over C p , 294
over a variety, 171
point at infinity, 10, II
rational map, 10
Riemann sphere, 10
Riemann-Hurwitz formula , 13, 217
spherical measure , 36
twist, 200, 211, 236
twist trivial iffC(K) =1= 0,215
universa l map of degree d, I71
project ive space
absolute value of a point , 90
action of Galois group, 122
compact iff K locally compact, 243
cross-ratio, 71, 79, 132,348
degree map on divisors, 405
field of definition of point , 86, 122
finitely many points of bounded
height , 86, 407
height , 82, 84, 407
hyperplane generate s Picard group ,
405
SOl
monomial map, 428
morphism, 89, 388
is open map, 433
moving N + 2 points, 75
nondegenerate automorphism, 226
norma lized coordinates, 49
number of points of bounded
height, 135, 136,441
probabil ity measure , 127
product of two, 405, 406 ,409,418
K3 surface in, 410
surface with involutions in, 436
projection map to, 287
rational map, 89, 388
Segre embedding, 406, 409
project ive special linear group, see PSL
PSL, 175
map to P GL , 175,231
stable locus, 176
Puiseux series, 5
pullback divisor, 404
linearly equivalent , 405
push forward divisor, 404
Q RT family of integrab le maps , 443
quadratic formula, 261
quadratic imaginary field, 34 1
class number, 350, 368
fraction al ideals in, 350
quadrati c map
algebraic family
159
algebraic family of, 159, 194, 230
associat ed multiplier polyno mial,
227
automorphism group contai ns J.L2'
235
automorphism of order two, 96, 235
bifurcat ion point, 165
bound for periodic points , 96
canonical height, 137, 138
conjugation to Z2 + C, 156
degenerate, 194
dynamic al unit, 134, 145, 146
dynatomic curve, 156, 157, 161
ramification, 13I
502
quadratic map (continued)
dynatomic polynomial, 39
explicit formula for al (), 181
generalized dynatomic polynomi al,
229
local canonical height, 141
minimal polynomial, 230
orbit of critical point, 26, 165
parameter space has dimension
three, 168
polynomial iff al () = 2, 232
rational periodic points , 137
reducible dynatomic polynomial,
235
space of conjugacy classes has
dimension one, 168
with preperiodic critical point , 166
quadratic twist, 198
rational map, 200
quasiminimal Weierstrass equation, 371
difference from global minimal, 385
quatemion algebra , 341, 378
quotient curve , 161
critical values , 353
dynatomic, 161
elliptic, 346
quotient variety, 410
by finite group, 161
by infinite group, 161, 174
categorical , 179
field of definition , 161
geometric, 179
R atd modulo PSL2 , 175
rational points on, 177
semistable, 179
stable, 179
Radical of an ideal, 89
radius
of Berkovich disk, 297, 301
of Berkovich point , 296
of Type-TV point is positive , 296
ramification
field generated by torsion on elliptic
curve, 363
in dynatomic field, 129, 131
Index
in field generated by torsion on
elliptic curve, 344
ramification index, 12, 36, 340
automorphism invariant, 234
divisibility by p, 37
effect on chordal metric, 115, 144
large implies preperiodic, 37
of iterate , 117
of Lattes projection, 384
sum of over inverse image of a
point, 15
ramification point, see critical point
Ratl is PGL 2, 170
Rat2, 170, 174
normal forms lemma, 190,233
subvariety with Aut = JL2' 235
R atd,169
affine coordinate ring, 169, 174
n
) and
coordinate ring contains
*(n )
;
, 183, 232
ai
generic map not very highly

ramified, 231
geometry of bounda ry, 170
in P SL 2-stablc locus, 176
is a rational variety, 232
is subset of IP'2d+l , 169
map induced by Schwarzian
derivative, 232
map to M d, 174, 175
multipl ier 1 is Zariski closed subset,
230
PGL 2-invariant functions on, 175
quotient by PGL 2, 174
quotient by P SL 2 is a variety, 175
semistable rational maps, 178
stable rational maps, 178
subvariety with nontrivial
automorphisms, 199,234
universal map over, 171
Rat d, 178, 179
Rat dS , 178, 179
rational automorphism, 430
rational function, 9
divisor, 320, 403
finitely many nonzero residues , 314
formal derivative, 12, 313
induces rational map, 10
integer values of, 106, 108
Index
503
rational function (continued)

maximum modulus principle, 250
pole, 403
principal divisor, 320, 403
residue, 313
Schwarzian derivative, 231
space of associated to a divisor, 406
Taylor series, 12
zero, 403
rational map, 10,89,388
action of automorphism on critical
point, 234
action of Galois, 207, 211
acts on X 1 (n), 161
affine minimal, 112,372,385
algebraic entropy, 397
algebraically integrable
automorphism, 430
Arzela-Ascoli Theorem, 25
associated field extension, 207
associated Galois subgroup, 207
automorphism group, 196
contains J.Lz, 235
is finite, 196
of conjugate, 196, 234
order two, 235
53, 197
{z1},205,234
automorphism of order two, 96,
197,198,200
az + biz, 96, 235
backward orbit, 109, 142
bad reduction, 77, 239
bicritical, 233
can have infinitely many rational
canonical height, 99, 287
lower bound, 221
canonical measure, 127
cocycle gives twist?, 203
coefficients well-defined up to
homogeneity, 169
commuting, 378
have same canonical height, 137
have same preperiodic points, 38
with polynomial, 378
completely invariant set, 17, 266
contains Berkovich Julia set, 311

primitive periods, 151, 165,
226
conjugation is algebraic group
action, 173
coordinate functions of iterate, 149,
226
critical point, 12,284,353
periodic, 38
critical value, 353, 382
cutoff for integral points in orbit,
375
cyclic automorphism group, 197,
204
defined at P, 89
degenerate quadratic, 194
degree, 10,89,388,389
of composition, 392
of regular, 394
degree generating function, 397,
428
determined by 2d + 2 coefficients,
169
311
dynamical degree, 397,428
dynamical unit, 71, 72, 79, 132, 133
of generic, 146
dynamically affine, 376
dynatomic polynomial, 39, 148,
149, 181
is a polynomial, 151,226
effect on height, 90, 388, 398, 407,
409
equicontinuous, 22
313
etale, 353
even degree implies FOM = FOD,
215
expanding on average, 36
family omitting two points, 265,
315
Fatou set, 22, 24, 255
504
Index
rational map (continued)

field of definition , 206, 236
field of moduli, 177,207,236
not field of definition, 208, 213,
236
finitely many preperiodic points, 38
finitely many with bounded height
and resultant, 237
fixed point , 149
formal n-multiplier spectrum, 182
generalized dynatomic polynomial,
227,229
generic not very highly ramified,
231
global minimal model, 222
over Q, 236
global minimal resultant, 220
global S-minimal model, 237
good reduction , 58, 59, 218, 239,
362,383
Berkovieh Julia set, 307, 3 II ,
322
good reduction =} same degree , 58
graph,216
Green function , 288
has d + 1 fixed points, 149
has d" + 1 points of period n, 150
has vd(n) points of formal period
n,150,224
has nonrepelling fixed point , 255,
314
has primitive periodic points of
different periods , 154, 155,
196
height of, 143
in Md, 221, 237
Herman ring, 28
homogenization, 389
hyperbolic, 279, 285, 317
image of disk component may not
be disk component, 283
induced, 389
induced map on disk components,
283
integer points in orbit, 3, 108, 109,
142, 143
integrality estimate for points in

orbit, 112, 145
invariant measure , 127
inverse function theorem, 115, 144,
312
involution, 410, 436
is a morphism if.. . , 89, 388
is continuous, 10,24,253
is open, 10,24,253 ,312
isospectral family, 186, 188, 362
iterate is a polynomial map, 17, 37,
431
iterates of open set omit at most one
point, 266
iteration of regular is regular, 394
itinerary of a point, 258, 260
Julia set, 22, 24, 255, 284
lift of, 389
to affine space, 287
linear conjugation, II , 173
minimal model, 220
minimal resultant , 237
is PGL2(K)-invariant, 221
of conjugate, 219
monomial,428
Montel theorem , 25, 265, 315
most have no automorphisms, 199,
234
most have no wildly critical point,
284
multiplier, 18
at infinity, 38
of fixed point, 18,47,180
of periodic point, 19,47
spectrum, 182, 187
summation formula, 20, 38, 255,
314,380,382
new coordinate functions of
conjugate, 218
no critical Julia points, 279
no twists if trivial automorphism
group , 198
no wandering disk domains, 284,
285
no wandering domains, 28, 276
nonrepelling periodic point in Fatou
set, 256
nonrepelling periodic points, 64
normal family, 25
Index
rational map (continued)
normal form for degree two , 190,
233
normalized form, 51, 75
n -period polynomial, 181
number of critical points, 14,37
number of nonrepelling periodic
cycles, 27
number of periodic points , 39
of polynomial type , 143
omitting three points, 25
orbit of collection of, 143
orbit with many integral points,
110, 111, 143,375
parabolic component, 28
period polynomial, 149
periodic point, 394
field generated by, 122
index summation formula, 20,
38,255,314,380,382
periodic subvariety, 127
PGL2-equivalence, 195,233
PGL 2 (K )-equivalence, 195,233
polynomial ifhas totally ramified
fixed point, 17
power map , 29, 95, 234, 321 , 325
preperiodic subvariety, 127, 128
primitive periodic point, 122
product of primes of bad reduction,
221
pullback of divisor, 404
linearly equivalent, 405
pushforward of divisor, 404
quadratic is polynomial iff
(Tl (rfJ) = 2,232
quadratic twist, 200
ramification index, 12,36
of iterate, 117
ramification point , see crit ical point
recurrent point, 284, 310
reducible dynatomic polynomial,
235
reduction modulo a prime, 52
repelling periodic point in Julia set,
256
resultant, 56, 58, 75, 112,218,372
505
of composition, 77
of conjugate, 76
of iterate, 184
Riemann-Hurwitz formula , 13,217
self similarity, 196
semistable, 179
separable, 37
separable reduction, 64
set of (Rats), 169
Siegel disk, 28
S-integer points in orbit , 143
space of conjugacy classes of, 174
stable, 179
strictly expanding on Julia set, 279,
317
symmetric polynomial of
multipliers, 183, 187,232,367
Taylor series , 190
totally ramified fixed point, 37
totally ramified point, 12
twist, 197
same image in Md , 198,221
with good reduction outside S,
237
uniform bound for integral points in
orbit , 112,372,385
313
uniformly Lipschitz, 254,256,313
universal of degree d, 171
va luation of minimal resultant, 219
very highly ramified, 231, 284
wandering disk domains exist over
C p , 285, 286
Weierstrass class, 223, 237
wildly critical point, 284
with Aut( rfJ) = 8 3,234
with ( n Z in Aut( rfJ), 205, 234
with same minimal discriminant,
221
with two crit ical points, 233
z + bi z, 197, 198
rational numbers, 7
absolute values on, 44 , 312
rational radius, 243 , 248 , 252, 278 , 295,
317
rational variety, 232
rationally neutral periodic point, 19, 47
in hyperbolic component, 28
506
Raynaud's theorem, 127
real fixed point, 427
realizable sequence, 6
recurrent point, 3,284, 310
critical in Fatou set is periodic, 284,
317
critical in Julia set, 284
reduction
good, see good reduction
modulo p on elliptic curve, 342
of a point modulo a prime, 48
of periodic point, 61, 62, 66, 78
of torsion on elliptic curve, 62, 343,
364
relation to v-adic distance, 49
respected by fraction linear
transformation, 50
separable, 64
regular affine automorphism, 391, 394,
427
algebraically stable, 396
zero iff finite orbit, 431
degree, 394
of inverse, 394, 395
height inequality, 399, 431
height of wandering point, 432
iterate is regular, 394
number of periodic points, 428
orbit-counting function, 432
periodic points, 394, 400, 428
regular function on Ratd, 169, 174
repelling periodic point, 19,47,326,361
closure equals Julia set, 274, 311
dense in Julia set, 23, 263, 315
in Berkovich space, 310
in Julia set, 22, 40, 256
limit of attracting, 274
of Type II, 310
one implies infinitely many, 274
representation of Galois on elliptic curve
torsion, 344
residual degree, 310
residue
abstract, 313
at simple pole, 313
of a rational function, 313
Index
rational function has finitely many
nonzero, 314
residue fixed-point index, 38
residue formula, 314
resultant, 53, 107
chordal metric formula, 76
determinant formula, 54
homogeneity of, 54, 219
measures expansion, 56, 76
minimal, 219
nonvanishing defines Ratd, 169
normalized, 77
of a composition of maps, 77
of a linear fractional transformation,
76
of a rational map, 56, 58, 75, 112,
218,372
of conjugate, 76
of coordinate functions of iterate,
227
of division polynomial, 383
of dynatomic polynomial, 165
of iterate, 184
of quadratic polynomial, 75
product of differences of roots, 53,
75
properties of, 53
transformation formulas, 75, 173,
219
unit iff good reduction, 58, 218
with a linear polynomial, 75
reversibility, 429
reversible affine automorphism, 429
composition of involutions, 429
Henon map, 430
430
Riemann sphere, see projective line
Riemann surface, 37
Riemann-Hurwitz formula, 37
V - E + F formula, 37
Riemann-Hurwitz formula, 13,65, 109,
117,217,340,347,379
application to finite invariant set,
16,266
for curves, 15,37
is local-global formula, 15
weak version, 15
Riemann-Roch theorem, 214, 337
Index
rigid analytic connectivity,276
rigid analytic space, 298
rigid Lattes map
fixed points, 366
good reduction, 383
ring of integers, 83
ring of S-integers, 83
Ritt's theorem, 378
Rivera-Letelier
classification theorem, 310
Fatou domain classification,240
strong Montel theorem, 311
root of hoiomorphic function determined
by Newton polygon, 249
root of hyperbolic component of
Mandelbrot set, 166
root of unity
iff height one, 88, 100
multiplier, 151, 226
primitive, 148
Roth's theorem, 104, 106, 120
is ineffective, 107
over number fields, 108
Schanual's theorem, 135,441
scheme, 59, 303
good reduction, 59, 61, 77
moduli, 179, 186, 189
Schwarzian derivative, 231
O'd,N, 187,232
degree unknown for d = 3, 188
embeds M2, 188
Segre embedding, 406, 409
self similarity, 196
seminorm
action of polynomial map, 304
action of rational map, 305
associated to each Berkovich point
type, 297
associated to nested sequence of
disks, 297,322
is norm for Type-II,-III,-IVpoints,
297,321
on c, [zJ, 296
properties, 321
set of bounded is Berkovich disk,
297
507
two variable homogeneous, 303,
305
semistable, 178
locus ofPSL 2 action on jp'2d+l, 178
numerical criterion, 178
quotient, 179
rational map, 179
separable field extension, 37
separable rational map, 37
number of critical points, 37
sequence space, 258, 314
backward orbit dense, 314
backward orbit equidistributed, 315
left shift, 259, 314
metric on, 258, 314
shift map periodic points dense, 314
shift map topologically transitive,
314
Shafarevich conjecture, 442
Sheshadri's theorem, 179
shift map, 259, 314
as itinerary map, 260
backward orbit equidistributed, 315
continuous, 259
is topologically transitive, 259
Lipschitz, 259
periodic points dense, 314
properties of, 259
topologically transitive, 314
uniformly expanding, 259
Siegel disk, 28
Siegel's theorem
integer points on jp'1 minus 3 points,
106,110
integrality of points on elliptic
curves, 107
is ineffective, 107
(Ji(),180
explicit formula for (JI (), 181

is in Q[Md], 180
(J(n) 183
'
explicit formula for (JI, (J2, 189

for Lattes map, 186
in Q[Ul, (Jj for Rat2, 189
integral over Q[RatdJ, 185
is in Q[MdJ, 183
508
Index
in) (continued)
<7
*(n)
<7,
'
isomorphism M2 e:' A? , 188

of z2 + bz, 183
of Z d , 183
183
for Lattes map, 186

in Qh , <71 for Rat2, 189
is in Q[Md], 183,232
of z2 + bz, 183
of z d, 183
simple algebraic group, 377
SL2, 175
small model of Berkovich disk, 323
soleno id, 6
special fiber, 77
special linear group, 175
sphere V - E + F formul a, 13
spherical measure , 36
spider algo rithm , 168
stabilizer of point on K3 surface, 425,
434
stable
locus, 176
of PSL 2 action on p2d+1 , 178
numerical criterion, 178
quotient, 179
rational map, 179
standard collection of disks , 277
strange attractor, 391
Sullivan no wandering domains theorem ,
28, 276
sum of two cubes, 141
sum of two squares, 200, 236
S -unit in finite extension , 132
sup norm
chordal , 269
Gauss norm is, 296
of a point, 90, 288
of a polynomial, 91, 288
superattracting periodic point , 19,47
supersingular elliptic curve, 378
support of a divisor, 403
surface
involution induced by degree 2
map, 436, 437
K3,4 10,412
symbolic dynamics, 258, 314

backward orbit equidistributed , 315
shift map periodi c points dense, 314
shift map topologi cally transitive,
3 14
symmetric group, 124
rational map with Aut ( r/ = 53,
234
wreath product with cyclic group,
125
symmetric polynomial
elemen tary, 180
of multipliers, 180
symmetric polynomial of multipliers ,
183, 187,232,367
Szpiro conjecture, 221
Szpiro-Tucker theorem, 442
Tamely ramified critical point, 37
Tate algebra , 297
Gauss norm, 298
Tate construction of canonic al height , 97
Tate module , 344
f-adic representation, 344
Taylor series, 12,63,67, 190
telescoping sum, 98
tetrahedral group, 197
Thue's theorem , 105
is ineffective, 107
Thue-Mahler theorem , 108
topolog ical equicontinuity, 306
topolog ical group, 8
topologi cal space
disk component, 277, 317
disk connected set, 317
dynamical system on, 3
equicontinuity, 306
generalized disk, 277, 317
path connected, 304
uniquely path connected, 304
topolog ical wandering point , 108
topologicall y transitive map, 259, 263,
315
shift is, 314
topology, 6
on Berkovich disk, 299
profinite ,211
Index
torsion point
elliptic curve, 41
field generated by on elliptic curve,
344,363
of abelian group is preperiodic, 2,
41,326
of multiplicative group, 326
torsion subgroup, 2
elliptic curve
is equidistributed, 127
of elliptic curve, 32, 343, 352
torus, 33
totally disconnected, 43, 239, 277
C pis,239,276,294
Julia set, 23, 26
totally ramified, 12
fixed point, 16, 17,37
totient function, 137, 164, 182
iteration of, 6
tree, Berkovich disk is, 298
triangle inequality, 44, 87
nonarchimedean, 44, 70, 242
ultrametric, 44, 242
uniform version, 91
trihomogeneous polynomial, 437
twist
associated l-cocycle, 201
cocycle corresponds to, 203
elliptic curve, 198
general theory, 199
none if Aut() is trivial, 198
nth root, 204
of an object, 199
of elliptic curve, 341, 374
oflP'l, 200, 211, 236
trivial iffC(K) =f. 0,215
of power map, 206, 328, 380
of rational map, 197,200
quadratic, 198, 200
same image in Md, 198,221
set of injects into HI, 202, 236
with good reduction outside S, 237
twisted action, 211
Type-I point, 295
as nested sequence of disks, 322
attracting periodic, 310
fixed point, 322
509
intersection of orbit with open set,
324
seminorm is not norm, 297
Type-II point, 295
fixed point, 322
repelling periodic, 310
seminorm is norm, 297,321
Type-III point, 295
fixed point, 322
Type-IV point, 295
fixed point, 322
has positive radius, 296, 321
is nested sequence of disks, 295
line segment to Gauss point, 322
no fixed in A B , 321
Ullmo's theorem, 129
ultrametric inequality, 44, 242
is an equality, 45, 242
uncountable Julia set, 267
Berkovich, 307, 311
unicity conjecture for Markoff numbers,
437
uniform bound for integer points on
elliptic curve, 372
uniform boundedness
for abelian varieties, 97
for elliptic curves, 97, 369
for preperiodic points, 96, 135, 368
of Lattes map, 370
of zd, 137
uniform continuity, 39, 254,313
is open condition, 254
uniformization of Mandelbrot set, 167,
168
uniformly Lipschitz, 39,254, 256, 264,
265,271,313,315
is open condition, 254
uniquely path connected, 304
uniqueness of height, 408
unirational variety, 232
unit
cyclotomic, 69, 72
dynamical, 69, 71, 72, 79, 132, 133
in dynatomic field, 129
Index
510
unit group exact sequence, 404
unramified
field generated by torsion on elliptic
curve, 344, 363
isogeny map is, 340, 353
unsolved problem (**), 7
v-adic chordal metric , 45, 144,243
effect of linear fractional
transformation, 76
invariant maps for, 46
is a metric, 45
periodic points, 69
relation to reduction, 49
resultant measures expansion , 56
valuation , 44
discrete , 44
normalized, 44, 249,403
valued field, 44, 240
complete, 240
completion, 241
disk, 242
extension of complete, 241
ultrametric inequality is an equality,
45
variety, 2, 89, 147, 159,376
divisor, 403
double cover, 410
involution, 410
K3 surface, 410
periodic , 127
preperiodic, 127, 128
quotient, 161, 174
quotient by involution, 410
rational, 232
twist, 200, 202, 211, 215, 236
unirational, 232
vector space associated to a divisor, 406
V - E + F formula, 13,37
very ample divisor, 406
very highly ramified, 231, 284
Veselov's theorem , 431
Wandering disk component, 283
wandering disk domain, 284, 285
285, 286
exist over
wandering domain, 28, 276
c.,
wandering point, 108

height lower bound , 221
height of, 432
weak convergence of measures , 128
Wehler 's theorem , 418
Weierstrass p function, 34, 345
Weierstrass class, 223
trivial, 223, 237
Weierstrass equation, 409
elliptic curve, 336
generalized, 336
minimal , 222, 342
Weierstrass preparation theorem, 298
Weil height, see height
Weil height machine , 89,407,420
as map on Picard group, 408
effectivity of constants, 408
wildly critical point, 37, 284
most rational maps have no, 284
wildly critical recurrent points exist, 285
wreath product, 125, 164
dynatomic Galois group , 125
of symmetric group and cyclic
group , 125
Xo (4), X o(5), X o(6), 230

X a (n ) (dynatomic curve), 161
is irreducible, 164
Xl (1), XI (2), XI (3) are rational, 157
X I (4), X I (5), X I( 6), 230
Xl (n ) (dynatomic curve), 157
action of z2 + c on, 161
genus , 164
is irreducible, 164
is wreath product cover of jp'1, 164
Yo(n) (dynatomic curve), 161
YI(n) (dynatomic curve), 157
action of z2 + c on, 161
is nonsingular, 164
Yuan's theorem, 129
Z2
+ c, 20
acts on XI (n) , 161
algebraic family, 159
159
algebraic family of, 230
Index
Z2
+ c (continued)
bifurcation point, 165
bifurcation polynomial, 165
primitive periods , 165
dynatomic curve, 157, 161
X 1(1) ,X1(2 ),X1 (3) are
rational, 157
genus of, 164,230
is irreducible, 164
is modular curve, 158
is nonsingular, 164
is wreath product cover ofIP 1 ,
164
dynatomic polynomial, 156
in disk of radius 2, 166
map X 1(2 ) ---> X o(2), 162
map Xl (3) ---> X o(3 ), 230
511
no neutral cycles, 166
period polynomial, 156
points on dynatomic curve solve
moduli problem, 159
quadratic polynomial conjugate to,
156
repelling critical orbit, 166
subhyperbolic, 166
with preperiodic critical point , 166
Zagier's theorem , 443
Zariski dense orbit, 435
zero
of a meromorphic function, 244
of a rational function, 403
of hoiomorphic function are
isolated, 244
Zhang 's theorem , 129

( continuedfrom p. ii)
64 EDWARDS. Fourier Series.Vol. I. 2nd ed.

65 WELLS. Differential Analysis on
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66 WATERHOUSE. Introduction to Affine
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67 SERRE. Local Fields.
68 WEIDMANN. Linear Operators in Hilbert
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69 LANG. Cyclotomic Fields II.
70 MASSEY. Singular Homology Theory.
71 FARKAS/KRA. Riemann Surfaces. 2nd ed.
72 STILLWELL. Classical Topology and
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73 HUNGERFORD. Algebra.
74 DAVENPORT. Multiplicative Number
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75 HOCHSCHILD. Basic Theory of
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76 IITAKA. Algebraic Geometry.
77 HECKE. Lectures on the Theory of
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78 BURRIS/SANKAPPANAVAR. A Course in
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87 BROWN. Cohomology of Groups.
88 PIERCE. Associative Algebras.
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90 BRONDSTED. An Introduction to
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91 BEARDON. On the Geometry of
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95 SHIRYAEV. Probability. 2nd ed.
96 CONWAY. A Course in Functional
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99 GROVE/BENSON. Finite Reflection
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100 BERG/CHRISTENSEN/RESSEL. Harmonic
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102 VARADARAJAN. Lie Groups, Lie
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104 DUBROVIN/ FOMENKO/NoVIKov.Modern
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156 KECHRIS. Classical Descriptive Set
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242 GRILLET. Abstract Algebra.
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Graduate Texts in Mathematics

Graduate Texts in Mathematics

34 SPITZER. Principles of Random Walk.

Mathematics Subject Classification (2000): 11-01, IIG99, 14G99, 37-01, 37FIO

Library of Congress Control Number: 2007923502

rational and integral

rational and integral

periodic and preperiodic

The reader will find additonal material, references and errata at

1 An Introduction to Classical Dynamics

Dynamics over Local Fields: Good Reduction

3 Dynamics over Global Fields

4 Families of Dynamical Systems

5 Dynamics over Local Fields: Bad Reduction

Absolute Values and Completions

6 Dynamics Associated to Algebraic Groups

Power Maps and the Multiplicative Group

Dynamics in Dimension Greater Than One

Dynamics of Rational Maps on Projective Space .

(By convention, o denotes the identity map on S.)

= {o: E S: n(o:) = 0: for some n 2': I},

We write Per() and PrePer() when the set S is fixed.

Principal Goal of Dynamics

Example 0.2. (Groups) Let C be a group and let : C ----t C be a homomorphism.

where e denotes the identity element of C.

> 2 be an integer, and let

since a m = e and di == dj (mod m).

Example 0.4. (Topological Spaces) Let 8 be a topological space and let : 8 - t 8

2. Dynamics overLocalFields: GoodReduction

3. Dynamics overGlobal Fields

4. Families of Dynamical Systems

5. Dynamics overLocal Fields: Bad Reduction

6. Dynamics Associated to Algebraic Groups

7. Dynamics in Dimension Greater Than One

Dynamics over finite fields

Dynamics over function fields

Equidistribution in arithmetic dynamics

Topology andarithmetic dynamics on foliated spaces

Number-theoretic iteration problems not arising as maps on varieties

Realizability ofinteger sequences

Zp, AN, andlP'N

Let S be a set and : S ---> S a function.

(d) If if> is injective, prove that PrePer(if>, 8)

= lFp ifand only

0.4. Let G be a group and let if> : G -+ G be a homomorphism.

n Z is finite. What is the largest

A . Beardon [43], Iteration ofRational Functions.

R. Devaney [132] , An Introduction to Chaotic Dynamical Systems.

1. Milnor [302] , Dynamics in One Complex Variable.

1.1 Rational Maps and the Projective Line

1. An Introduction to Classical Dynamics

with no common factors. 1 The degree of is

" {(a, a)} ,

A linear fractional transformation (or Mobius transformation) is a map of the

It defines an automorphism of ]pI, and composition of transformations corresponds

1.1. Rational Maps and the Projective Line

This is intuitively reasonable because PGL 2 (C) is a three-dimensional space that

OD, then using

Notice that 0 ~ p ~ 1. Identifying p1(C) 9! C U{ 00 } with the sphere S2 by drawing

Figure 1.1: Identifying <C U 00 with the Riemann sphere.

1.2 Critical Points and the Riemann-Hurwitz

= F(z)jG(z), the formal

'( ) = G(z)F'(z) - F(z)G'(z)

(z) = (a) + '(a)(z - a)