text:
# 1 Introduction.

## 1 Introduction.

The Pólya frequency sequences, also called multiply positive sequences, were first introduced by Fekete in 1912 (see ). They were studied in detail by Karlin (see ).

The class of all Pólya frequency sequences of order $`r\{\mathrm{}\}`$ ($`r`$-times positive) is denoted by $`PF_r`$ and consists of the sequences $`\{c_k\}_{k=0}^{\mathrm{}}`$ such that all minors of order $`r`$ (all minors if $`r=\mathrm{}`$) of the infinite matrix

$$\begin{array}{ccccc}c_0& c_1& c_2& c_3& \mathrm{}\\ 0& c_0& c_1& c_2& \mathrm{}\\ 0& 0& c_0& c_1& \mathrm{}\\ 0& 0& 0& c_0& \mathrm{}\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\end{array}$$

are non-negative. The class of corresponding generating functions

$$f(z)=\underset{k=0}{\overset{\mathrm{}}{}}c_kz^k$$

is also denoted by $`PF_r`$. The radius of convergence of a $`PF_r`$ generating function ($`PF_r`$ g.f.) is positive provided $`r2`$ (, p.394). Further we will suppose, without loss of generality, that $`c_0=1`$.

The class $`PF_{\mathrm{}}`$ was completely described in  (see also , p. 412):

Theorem : The class $`PF_{\mathrm{}}`$ is formed by the functions

$$f(z)=e^{\gamma z}\underset{k=1}{\overset{\mathrm{}}{}}(1+\alpha _kz)/(1\beta _kz),$$

where $`\gamma 0,\alpha _k0,\beta _k0,(\alpha _k+\beta _k)<\mathrm{}.`$

In 1955, I.J. Schoenberg set up the problem of characterizing the classes $`PF_r,r`$. Some results were obtained that showed essential differences between the properties of $`PF_{\mathrm{}}`$ g.f. and those of $`PF_r`$ g.f. with $`r`$ (see  and ).

## 2 Statement of results.

This paper deals with the study of $`PF_r`$ domains of holomorphy with $`r`$.

A domain $`G\overline{}`$ is called a $`PF_r`$ domain of holomorphy if there exists a $`PF_r`$ g.f. which is analytic in $`G`$ and admits no analytic continuation across the boundary of $`G`$.

It follows from Theorem  that if $`G`$ is a $`PF_{\mathrm{}}`$ domain of holomorphy, then $`\backslash G`$ is at most a countable set of points $`\{p_k\}`$ on the positive ray such that $`(1/p_k)<\mathrm{}`$ (the points cannot be ”too close” to each other).

The situation with the $`PF_r`$ domains of holomorphy for which $`r`$, is quite different. They can be much more complicated as the main result of  shows:

Theorem : Let $`E`$ be a closed set in $``$, satisfying the conditions: (i) $`E`$ is symmetric with respect to the real axis, (ii) $`E\{z:|z|1\}=\mathrm{}`$. For any $`r`$, there exists a function $`f(z)`$ such that: (i) $`f(z)PF_r`$, (ii) the set of all singularities of $`f(z)`$ coincides with $`E\{1\}`$.

From the theorem above, we obtain conditions, which, taken together, are sufficient for a domain $`G`$ to be a $`PF_r`$ domain of holomorphy with $`r`$:

(I) $`G`$ contains the point $`z=0`$;

(II) $`G`$ is symmetric with respect to the real axis;

(III) Let $`E`$ be the set from Theorem 3. $`G=\{T\}E`$ with $`T`$, $`T>0`$ and $`E\{z:|z|T\}=\mathrm{}`$.

On the other hand, it is not difficult to see that if $`G`$ is the domain of holomorphy of the $`PF_r`$ g.f. $`f(z)=_{k=0}^{\mathrm{}}c_kz^k,2r<\mathrm{},`$ then the following conditions must be satisfied:

(A) $`G`$ contains the point $`z=0`$ (this condition is assured by $`f(z)PF_rPF_2`$);

(B) $`G`$ is symmetric with respect to the real axis (since $`c_k,k=0,1,2,\mathrm{}`$);

(C) $`T=dist(0,G)G`$ (by the well-known Pringsheim’s theorem on singularities of power series with non-negative coefficients).

The class of domains satisfying (A)-(C) is much larger than the class satisfying (I)-(III). The question of the exact description of all $`PF_r`$ domains of holomorphy arises.

The following result shows that condition (III) is not necessary, since $`G`$ can contain other points of $`\{z:|z|=T\}`$ besides $`T`$.

Theorem 1. Let $`g(z)=_{k=0}^{\mathrm{}}b_kz^k`$ be a function with real and bounded Taylor coefficients, i.e.

$$|b_k|<C,k=0,1,2,\mathrm{},$$
(1)
for some constant $`C=C(g),C>0.`$ Then for any $`r`$ there exists a $`\epsilon >0`$ such that the function

$$f_\epsilon (z)=\frac{1}{(1z)^{r^2}}+\epsilon g(z)$$

is a $`PF_r`$ g.f..

The function $`h(z)=_{k=0}^{\mathrm{}}z^{k!}`$ satisfies (1) so for $`g=h`$ the set $`\{z:|z|=1\}`$ coincides with the singularity set of $`f_\epsilon `$, i.e. $`𝔻=\{z:|z|<1\}`$ is a $`PF_r`$ domain of holomorphy (from now on we denote the unit disc by $`𝔻`$).

Theorem 2: The domain $`\mathrm{\Omega }`$ is the domain of holomorphy of a function with bounded Taylor coefficients if and only if $`\mathrm{\Omega }`$ contains the unit disc.

The necessity of the condition $`𝔻\mathrm{\Omega }`$ is evident.

With the help of Theorem 2 we arrive at the main result of our paper:

Theorem 3: The domain $`G`$ is a $`PF_r`$ domain of holomorphy if and only if $`G`$ satisfies conditions (A)-(C).

It follows from our theorems and the proof of Theorem 2 that among the $`PF_r,r,`$ there are functions that have no limit near the points of the boundary of their domains. Corollary 1 of the following theorem shows that a $`PF_r`$ g.f. with $`r2`$ cannot be bounded in its domain of holomorphy.

Theorem 4: Let $`f(z)`$ be a $`PF_r`$ g.f., $`r2`$, and $`T`$ be its radius of convergence, $`T<\mathrm{}`$. Then $`(1z/T)f(z)`$ is a $`PF_{r1}`$ g.f..

Corollary 1: Let $`f(z)`$ satisfy the conditions of Theorem 4 for $`r=2`$. Then

$$\underset{xT^{}}{lim}(1x/T)f(x)=a>0,$$

where $`a`$ can be equal to $`+\mathrm{}`$.

Corollary 2: Let $`f(z)`$ satisfy the conditions of Theorem 4 and $`T`$ be an essential singularity of the function $`f`$. Then

$$\underset{xT^{}}{lim}(1x/T)^{r1}f(x)=a>0,$$

where $`a`$ can be equal to $`+\mathrm{}`$.

## 3  Proofs of the results:

For proving Theorem 1 we will need two lemmas whose proofs can be found in :

Lemma 1: Let $`r,n,r1`$ and $`1nr.`$ Let

$$\frac{1}{(1z)^r}=\underset{k=0}{\overset{\mathrm{}}{}}\frac{(k+1)\mathrm{}(k+r1)}{(r1)!}z^k=\underset{k=0}{\overset{\mathrm{}}{}}a_k(r)z^k$$
(2)
and

$$a_k(r)=0fork<0.$$
(3)
Then for $`k0,`$

$$deta_{k+ji}_{i,j=\overline{1,n}}=\underset{i=1}{\overset{n}{}}\frac{(i1)!}{(ri)!}(k+i)\mathrm{}(k+i+rn1),$$

where we consider $`(k+i)\mathrm{}(k+i+rn1)=1`$ for $`n=r.`$

Lemma 2: (see ) If $`_{k=0}^{\mathrm{}}c_k\lambda ^k<\mathrm{}`$ for certain $`\lambda `$, $`0<\lambda <1`$, $`c_k=0`$ for $`k<0`$ and $`detc_{k+ji}_{i,j=\overline{1,n}}>0`$ for all $`k0`$ and $`n,1nr`$, then $`\{c_k\}_{k=0}^{\mathrm{}}PF_r.`$

Now, we are going to prove the following fact, which is slightly more general than Theorem 1.

Theorem 1’: Let the function $`g`$ satisfy the hypothesis of Theorem 1. Then for any $`rN`$ and any $`\alpha `$, there exists a $`\epsilon >0`$ such that the functions $`f_\epsilon (z),f_\epsilon ^{}(z),\mathrm{},f_\epsilon ^{(\alpha )}(z)`$ are $`PF_r`$ g.f..

Proof of Theorem 1’: Let $`r`$ be a fixed number. Let $`f_\epsilon ^{(p)}(z)=_{k=0}^{\mathrm{}}c_k^p(r^2)z^k`$, where $`0p\alpha `$. Then $`c_k^p(r^2)=a_k^p(r^2)+\epsilon b_k^p`$ where $`a_k^p(r^2)`$ and $`b_k^p`$ are the Taylor coefficients of the functions

$$\frac{r^2\mathrm{}(r^2+p1)}{(1z)^{r^2+p}}\left(\frac{1}{(1z)^{r^2}}\text{for}p=0\right)$$

and $`g^{(p)}(z)`$ respectively (consider $`a_k^0(r^2)=a_k(r^2)`$ and $`b_k^0=b_k`$). More explicitly,

$$\begin{array}{cc}a_k^p(r^2)=\frac{(k+1)\mathrm{}(k+r^2+p1)}{(r^21)!},\hfill & \mathrm{for}r1+p>0,k=0,1,2,\mathrm{};\hfill \\ a_k^0(1)=1,\hfill & \mathrm{for}k=0,1,2,\mathrm{};\hfill \\ a_k^p(r^2)=0,\hfill & \mathrm{for}k<0;\hfill \end{array}$$
(4)
and

$$\begin{array}{cc}b_k^p=(k+p)\mathrm{}(k+1)b_{k+p},\hfill & \mathrm{for}k=0,1,2,\mathrm{},p0;\hfill \\ b_k^0=b_k,\hfill & \mathrm{for}k=0,1,2,\mathrm{};\hfill \\ b_k^p=0,\hfill & \mathrm{for}k<0.\hfill \end{array}$$
(5)
Therefore, for each $`p,0p\alpha ,`$

$$a_k^p(r^2)=O(k^{r^2+p1})\text{and}b_k^p=O(k^p),k\mathrm{}.$$
(6)
For $`n,1nr`$, we have

$$\left|\begin{array}{cccc}c_k^p& c_{k+1}^p& \mathrm{}& c_{k+n1}^p\\ c_{k1}^p& c_k^p& \mathrm{}& c_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ c_{kn+1}^p& c_{kn+2}^p& \mathrm{}& c_k^p\end{array}\right|=$$

$$=\left|\begin{array}{cccc}a_k^p+\epsilon b_k^p& a_{k+1}^p+\epsilon b_{k+1}^p& \mathrm{}& a_{k+n1}^p+\epsilon b_{k+n1}^p\\ a_{k1}^p+\epsilon b_{k1}^p& a_k^p+\epsilon b_k^p& \mathrm{}& a_{k+n2}^p+\epsilon b_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ a_{kn+1}^p+\epsilon b_{kn+1}^p& a_{kn+2}^p+\epsilon b_{kn+2}^p& \mathrm{}& a_k^p+\epsilon b_k^p\end{array}\right|=$$

$$=\underset{l=0}{\overset{n}{}}\epsilon ^lS_l^p(k,n),\text{where}S_0^p(k,n)=\left|\begin{array}{cccc}a_k^p& a_{k+1}^p& \mathrm{}& a_{k+n1}^p\\ a_{k1}^p& a_k^p& \mathrm{}& a_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ a_{kn+1}^p& a_{kn+2}^p& \mathrm{}& a_k^p\end{array}\right|,$$

$$S_n^p(k,n)=\left|\begin{array}{cccc}b_k^p& b_{k+1}^p& \mathrm{}& b_{k+n1}^p\\ b_{k1}^p& b_k^p& \mathrm{}& b_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ b_{kn+1}^p& b_{kn+2}^p& \mathrm{}& b_k^p\end{array}\right|\text{and}$$

$`S_l^p(k,n),1ln1`$, is the sum of determinants of all possible matrices formed by $`nl`$ rows from $`S_0^p(k,n)`$ and $`l`$ complementary rows from $`S_n^p(k,n)`$.

The sum $`S_l^p(k,n)`$ has $`\left(\genfrac{}{}{0pt}{}{n}{l}\right)`$ summands. Each summand is a determinant of order $`n`$. Each determinant is the sum of $`n!`$ summands which are the products of $`nl`$ entries of the matrix of $`S_0^p(k,n)`$ and $`l`$ entries of the matrix $`S_n^p(k,n)`$. It follows from (6) that the modulus of each entry of $`S_n^p(k,n)`$ does not exceed $`C_p(k+1)^p`$, where $`C_p`$ is a constant, and each element of $`S_0^p(k,n)`$ is non-negative and does not exceed $`a_{k+r1}^p`$, since $`\{a_k^p\}`$ is a non-decreasing sequence. Hence, we have for $`l,1ln`$,

$$|S_l^p(k,n)|<\left(\genfrac{}{}{0pt}{}{n}{l}\right)n!(C_p)^l(k+1)^{pl}(a_{k+r1}^p)^{nl}B(k+1)^{pl}(a_{k+r1}^p)^{nl},$$

where $`B=2^rr!\mathrm{max}_{0p\alpha }(C_p)^r`$. Obviously $`B`$ does not depend on $`k`$.

As a result, we have

$$\left|\begin{array}{cccc}c_k^p& c_{k+1}^p& \mathrm{}& c_{k+n1}^p\\ c_{k1}^p& c_k^p& \mathrm{}& c_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ c_{kn+1}^p& c_{kn+2}^p& \mathrm{}& c_k^p\end{array}\right|$$

$$S_0^p(k,n)\underset{l=1}{\overset{n}{}}\epsilon ^l|S_l^p(k,n)|$$

$$S_0^p(k,n)\epsilon B\underset{l=1}{\overset{n}{}}(k+1)^{pl}(a_{k+r1}^p)^{nl}$$
(7)
for $`\epsilon <1`$.

From (6) we have

$$(k+1)^{pl}(a_{k+r1}^p)^{nl}=O(k^{(r^2+p1)(nl)+pl})=O(k^{(r^21)(nl)+np}),k\mathrm{}.$$

By (2), (3) and (4) we have

$$a_k^p(r^2)=\frac{r^2+p1}{(r^21)!}a_k(r^2+p),k.$$

Hence, using Lemma 1 we obtain

$$S_0^p(k,n)=\underset{j=0}{\overset{p1}{}}(r^2+j)^n\underset{i=1}{\overset{n}{}}\frac{(i1)!}{(r^2+pi)!}(k+i)\mathrm{}(k+i+r^2+pn1)$$

$$M(k+1)^{n(r^2+pn)},n=1,2,\mathrm{},r,k=0,1,2,\mathrm{},$$
(8)
where $`M`$ is a positive number.

Also, for each $`n,1nr,`$ and $`l,1ln,`$

$$n(r^2+pn)=n(r^21)(n^2n)+npn(r^21)(n^21)+np$$

$$n(r^21)(r^21)+npn(r^21)l(r^21)+np=(r^21)(nl)+np.$$

Hence, using (6), for each $`p,0p\alpha ,`$ and for any $`n,1nr,`$

$$B\underset{l=1}{\overset{n}{}}(k+1)^{pl}(a_{k+r1}^p)^{nl}=O(k^{n(r^2+pn)}),k\mathrm{}$$

and by (8) there is a $`\epsilon _n^p>0`$ such that the inequality

$$\epsilon _n^pB\underset{l=1}{\overset{n}{}}(k+1)^{pl}(a_{k+r1}^p)^{nl}<\frac{1}{2}S_0^p(k,n)$$

holds for any $`k0`$.

Let $`\epsilon =\mathrm{min}\{\epsilon _n^p\}`$. Since Lemma 1 $`S_0^p(k,n)>0`$, then, using (7), for any $`k0`$, any $`n,1nr`$, and any $`p,0p\alpha `$ we have

$$\left|\begin{array}{cccc}c_k^p& c_{k+1}^p& \mathrm{}& c_{k+n1}^p\\ c_{k1}^p& c_k^p& \mathrm{}& c_{k+n2}^p\\ \mathrm{}& \mathrm{}& \mathrm{}& \mathrm{}\\ c_{kn+1}^p& c_{kn+2}^p& \mathrm{}& c_k^p\end{array}\right|>\frac{1}{2}S_0^p(k,n)>0.$$

Relying on Lemma 2 we conclude that $`\{c_k^p\}_{k=0}^{\mathrm{}}PF_r.`$ $`\mathrm{}`$

Proof of Theorem 2:

The necessity of the condition $`𝔻\mathrm{\Omega }`$ is evident.

The sufficiency will be proved by constructing a function $`g(z)`$ with bounded Taylor coefficients, analytic in $`\mathrm{\Omega }`$, that cannot be analytically continued through $`\mathrm{\Omega }`$.

Let $`\mathrm{\Omega }`$ be a domain with $`𝔻\mathrm{\Omega }`$ and $`\{\zeta _k\}_{k=1}^{\mathrm{}}\mathrm{\Omega }`$ a countable set of points dense in $`\mathrm{\Omega }`$.

In the neighborhood of radius $`1/2n,n,`$ of the point $`\zeta _k`$ there exists a point $`z(n,k)\mathrm{\Omega }`$. Let us denote by $`\lambda (n,k)`$ the closest to $`z(n,k)`$ point of $`\mathrm{\Omega }`$, i.e. $`|\lambda (n,k)z(n,k)|=dist(z(n,k),\mathrm{\Omega })`$. It is obvious that $`|\zeta _k\lambda (n,k)|<1/n,n`$. Hence, the countable set $`\{\lambda (n,k)\}_{n,k=1}^{\mathrm{}}`$ is dense in $`\mathrm{\Omega }`$. Let us number the sets $`\{z(n,k)\}`$ and $`\{\lambda (n,k)\}`$ with one parameter $`k`$ preserving the correspondence $`|z_k\lambda _k|=dist(z_k,\mathrm{\Omega })`$. Now we choose a sequence $`\{d_k\}_{k=1}^{\mathrm{}}_+`$ such that $`_{k=1}^{\mathrm{}}d_k<\mathrm{}`$ and put

$$g(z)=\underset{k=1}{\overset{\mathrm{}}{}}\frac{d_k}{\lambda _kz}.$$

If $`zK`$, $`K`$ is a compact in $`\mathrm{\Omega }`$, and $`\delta =dist(K,\mathrm{\Omega })`$, then

$$\left|\frac{d_k}{\lambda _kz}\right|<\frac{d_k}{\delta }.$$

Thus, the series defining $`g`$ converges uniformly on each compact $`K\mathrm{\Omega }`$ and, therefore, $`g`$ is analytic in $`\mathrm{\Omega }`$.

Now, we prove that $`g`$ cannot be analytically continued through $`\mathrm{\Omega }`$ applying an idea that can be found in Levin’s , page 117. We fix a point $`\lambda _p`$ and will show that $`g(z)`$ tends to infinity for certain $`z`$ approaching $`\lambda _p`$. Let $`N_p`$ be a number such that

$$\underset{k=N_p+1}{\overset{\mathrm{}}{}}d_k<\frac{d_p}{2}.$$

Then

$$|g(z)|\frac{d_p}{|\lambda _pz|}\left|\underset{k=1,kp}{\overset{N_p}{}}\frac{d_k}{\lambda _kz}\right|\underset{k=N_p+1}{\overset{\mathrm{}}{}}\frac{d_k}{|\lambda _kz|}.$$

Note that for $`z=\alpha z_p+(1\alpha )\lambda _p,0<\alpha <1,`$ and $`kp`$ the inequalities

$$|\lambda _kz|>|\lambda _kz_p||zz_p||\lambda _pz_p||zz_p|=|\lambda _pz|$$

hold.

Hence,

$$|g(z)|\frac{d_p}{2|\lambda _pz|}\left|\underset{k=1,kp}{\overset{N_p}{}}\frac{d_k}{\lambda _kz}\right|,$$

which shows that $`g(z)\mathrm{}`$ when $`z\lambda _p,z=\alpha z_p+(1\alpha )\lambda _p,0<\alpha <1`$.

We still have to show that $`g`$ is a function with bounded Taylor coefficients. Denoting

$$g(z)=\underset{n=0}{\overset{\mathrm{}}{}}b_nz^n$$

we have

$$b_n=\frac{g^{(n)}(0)}{n!}=\underset{k=1}{\overset{\mathrm{}}{}}\frac{d_k}{\lambda _k^{n+1}},\mathrm{for}n=0,1,2,\mathrm{}.$$

But, $`|\lambda _k|1`$ and $`_{k=1}^{\mathrm{}}d_k<\mathrm{}`$, so the sequence $`\{b_n\}_{n=0}^{\mathrm{}}`$ is bounded. $`\mathrm{}`$

Theorem 3 follows at once from Theorem 1 and Theorem 2.

Proof of Theorem 4: Since a $`PF_2`$ g.f. is either a polynomial or a trascendental function with positive Taylor coefficients (see , page 393), we only consider the case $`c_k>0`$ for $`k=0,1,2,\mathrm{}`$, and $`c_k=0`$ for $`k<0`$.

Following  (see also , page 407), we put

$$f_1(z)=(1z/T)f(z)=\underset{k=0}{\overset{\mathrm{}}{}}c_k^{(1)}z^k,$$

where $`c_k^{(1)}=c_kc_{k1}/T`$.

Every minor

$$\left|\begin{array}{ccccc}c_{k_1}& c_{k_2}& \mathrm{}& c_{k_n}& \frac{c_m}{c_{mn}}\\ c_{k_11}& c_{k_21}& \mathrm{}& c_{k_n1}& \frac{c_{m1}}{c_{mn}}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ c_{k_1n}& c_{k_2n}& \mathrm{}& c_{k_nn}& \frac{c_{mn}}{c_{mn}}\end{array}\right|=\frac{1}{c_{mn}}\left|\begin{array}{ccccc}c_{k_1}& c_{k_2}& \mathrm{}& c_{k_n}& c_m\\ c_{k_11}& c_{k_21}& \mathrm{}& c_{k_n1}& c_{m1}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ c_{k_1n}& c_{k_2n}& \mathrm{}& c_{k_nn}& c_{mn}\end{array}\right|$$

for $`n=1,2,\mathrm{},r1;k_1<k_2<\mathrm{}<k_n<m,`$ is nonnegative by hypothesis. Since $`lim_m\mathrm{}c_m/c_{m1}=1/T`$, we have that $`lim_m\mathrm{}c_m/c_{ml}=1/T^l`$. Letting $`m`$ tend to $`\mathrm{}`$ in the considered minors, we obtain

$$\left|\begin{array}{ccccc}c_{k_1}& c_{k_2}& \mathrm{}& c_{k_n}& 1/T^n\\ c_{k_11}& c_{k_21}& \mathrm{}& c_{k_n1}& 1/T^{n1}\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ c_{k_1n}& c_{k_2n}& \mathrm{}& c_{k_nn}& 1\end{array}\right|0.$$

Now, starting from the second row, we divide each row by $`T`$ and subtract it from the previous, altering each row but the last. We obtain

$$0\left|\begin{array}{ccccc}c_{k_1}^{(1)}& c_{k_2}^{(1)}& \mathrm{}& c_{k_n}^{(1)}& 0\\ c_{k_11}^{(1)}& c_{k_21}^{(1)}& \mathrm{}& c_{k_n1}^{(1)}& 0\\ \mathrm{}& \mathrm{}& & \mathrm{}& \mathrm{}\\ c_{k_1n+1}^{(1)}& c_{k_2n+1}^{(1)}& \mathrm{}& c_{k_nn+1}^{(1)}& 0\\ c_{k_1n}^{(1)}& c_{k_2n}^{(1)}& \mathrm{}& c_{k_nn}^{(1)}& 1\end{array}\right|$$

$$=\left|\begin{array}{cccc}c_{k_1}^{(1)}& c_{k_2}^{(1)}& \mathrm{}& c_{k_n}^{(1)}\\ c_{k_11}^{(1)}& c_{k_21}^{(1)}& \mathrm{}& c_{k_n1}^{(1)}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ c_{k_1n+1}^{(1)}& c_{k_2n+1}^{(1)}& \mathrm{}& c_{k_nn+1}^{(1)}\end{array}\right|.$$

For proving that $`\{c_k^{(1)}\}PF_{r1}`$ we introduce the function $`e^{\epsilon z}=_{k=0}^{\mathrm{}}b_kz^k`$, and consider $`b_k=0`$ for $`k<0`$. Note that (see , page 428)

$$\left|\begin{array}{cccc}b_k& b_{k+1}& \mathrm{}& b_{k+n}\\ b_{k1}& b_k& \mathrm{}& b_{k+n1}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ b_{kn}& b_{kn+1}& \mathrm{}& b_k\end{array}\right|>0$$

for $`k0`$ and $`n=0,1,2,\mathrm{}.`$

Let $`g(z)=f_1(z)e^{\epsilon z}=_{k=0}^{\mathrm{}}a_kz^k`$, where $`a_k=_{m=0}^kc_m^{(1)}b_{km}=_{m=0}^kc_m^{(1)}\epsilon ^{km}/(km)!`$, and let $`a_k=0`$ for $`k<0`$.

By the Cauchy-Binet formula, we can write

$$\left|\begin{array}{cccc}a_k& a_{k+1}& \mathrm{}& a_{k+n}\\ a_{k1}& a_k& \mathrm{}& a_{k+n1}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ a_{kn+1}& a_{kn+2}& \mathrm{}& a_k\end{array}\right|=$$

$$\underset{m_1<\mathrm{}<m_n}{}\left|\begin{array}{cccc}c_{m_1}^{(1)}& c_{m_2}^{(1)}& \mathrm{}& c_{m_n}^{(1)}\\ c_{m_11}^{(1)}& c_{m_21}^{(1)}& \mathrm{}& c_{m_n1}^{(1)}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ c_{m_1n+1}^{(1)}& c_{m_2n+1}^{(1)}& \mathrm{}& c_{m_nn+1}^{(1)}\end{array}\right|\left|\begin{array}{cccc}b_{km_1}& b_{k+1m_1}& \mathrm{}& b_{k+n1m_1}\\ b_{km_2}& b_{k+1m_2}& \mathrm{}& b_{k+n1m_2}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ b_{km_n}& b_{k+1m_n}& \mathrm{}& b_{k+n1m_n}\end{array}\right|$$

In the expression above each summand is nonnegative, and the summand corresponding to $`m_1=0,m_2=1,\mathrm{},m_n=n1`$ is

$$\left[c_0^{(1)}\right]^n\left|\begin{array}{cccc}b_k& b_{k+1}& \mathrm{}& b_{k+n1}\\ b_{k1}& b_k& \mathrm{}& b_{k+n2}\\ \mathrm{}& \mathrm{}& & \mathrm{}\\ b_{kn+1}& b_{kn+2}& \mathrm{}& b_k\end{array}\right|>0$$

for $`k0`$ and $`n=0,1,2,\mathrm{}`$.

The series $`_{k=0}^{\mathrm{}}a_kz^k`$ converges for certain $`\lambda ,0<\lambda <1,`$ and the minors $`deta_{k+ji}_{i,j=\overline{1,n}},k0,1nr1`$, are strictly positive. By Lemma 2, $`\{a_k\}`$ is a $`PF_{r1}`$ sequence. Also, $`a_kc_k^{(1)}`$, when $`\epsilon 0`$. Thus, $`\{c_k^{(1)}\}PF_{r1}`$ as well.$`\mathrm{}`$

Proof of Corollary 1: By Theorem 4, the function $`f_1(z)=(1z/T)f(z)`$ is a $`PF_1`$ g.f. and its radius of convergence is not less than $`T`$. Thus, the limit in question is either positive or $`+\mathrm{}`$.$`\mathrm{}`$

Proof of Corollary 2: Applying $`r1`$ times Theorem 4 (each time the obtained function has radius of convergence equal to $`T`$), we have that $`(1z/T)^{r1}f(z)PF_1`$ and the limit in question is either positive or $`+\mathrm{}`$.$`\mathrm{}`$

Acknowledgments:

Deep gratitude to Prof. I.V.Ostrovskii and Prof. A.M.Vishnyakova for fruitful discussions on the topic of this communication.


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# Nuclear and Neutron Star Radii

## I Introduction

In light of the new and planned radioactive beam facilities the study of neutron-rich nuclei has received increased attention in recent years. Completing the chart of metastable nuclei towards the proton and neutron drip lines is the major goal of the endeavor with important information for the stellar nucleosynthesis. From a theoretical point of view nuclear calculations toward the neutron drip-line are still quite problematic in part due to the rather poor knowledge of the isospin-dependence of the nuclear forces. Without going to extremely neutron-rich nuclei there is another complementary information by studying nuclear properties and the ultimate neutron-rich systems, i.e. neutron stars, in a combined approach. The radius of a neutron star is sensitive to isospin forces and over a significant part of the star the corresponding nuclear densities have values that also occur in atomic nuclei.

A rather sensitive measure for isospin effects in a normal nucleus is its neutron radius compared to the proton radius. In an upcoming experiment at Jefferson Laboratory an accurate measurement of the neutron radius of 208Pb is planned using parity-violating electron scattering jlab .

As a basis for studying correlations between the nuclear radii with neutron star radii a theoretical approach has to be employed that covers nuclear structure as well as neutron star calculations in a unified way. Since the properties of neutron stars can change significantly by including hyperon degrees of freedom, a SU(3)-flavor approach is a convenient choice for such an investigation. In order to study the dependence of nuclear and neutron star radii we investigate the variation of the radii by modifying terms that influence the isospin dependence and nuclear skin effects. Here we follow the analysis of hor2 ; hor1  where in a Walecka-type model the sensitivity of nuclear and star radii on the coupling strengths between isovector vector mesons and scalar and vector mesons was investigated. As it turns out such an analysis can be done in our approach in a very natural way.

In the following we present a calculation of the radii of neutron stars and the 208Pb proton and neutron radii in a framework that is based on a model constructed from chiral SUF(3) arguments. The outline of the article is as follows. First in Section II we briefly introduce the general framework of the chiral model looking at several meson interaction terms. Then in section III we discuss the results of the calculation, studying the dependence of neutron star radii and nuclear neutron skins on the various coupling constants. From those results we derive the direct correlation between neutron skin and neutron star radius. As a test of our model we also look at the proton skin of proton-rich argon isotopes. Finally, we investigate the consequence for neutron star cooling via the URCA process.

## II Theoretical Framework

In our nuclear structure as well as in the neutron star calculation we adopt a generalized flavor-SU(3) $`\sigma \omega `$ type model. The reason for adopting this model is two-fold. For one it includes, by construction, a nonlinear coupling of the $`\rho `$ and $`\omega `$ meson as well as coupling between the vector mesons and scalar mesons, so there is no need to add additional terms to an established model to study the type of isospin dependencies mentioned before. Secondly, in addition to successful applications in one- and two-dimensional nuclear structure calculations beckmann ; deformed , the same model also shows a sensible behavior at high temperatures and densitieshot , which is quite important in this discussion as the inclusion of nonlinear terms in a calculations involving matter in extreme regions of temperature or density, has the general problem that this can produce rather uncontrolled extrapolations. A phenomenological check of the soundness of the model predictions at extreme values is therefore reassuring. The model used here has been successfully tested in all those regimes.

The model includes the complete set of the lowest SU(3) multiplets of baryons and mesons. In addition extensions to higher multiplets have been discussed ziesche .

Restricting ourselves to those degrees of freedom relevant for the discussion in this paper the general $`SU(3)`$ Lagrangian paper3  reduces to the following structure: The interaction term of baryons, mesons, and the photon reads

$$_{\mathrm{i}nt}=\underset{i}{}\overline{B_i}\left[g_{i_\omega }\omega _0\gamma _0+g_{i\rho }\tau _3\rho _0^0\gamma _0+\frac{1}{2}e(1+\tau _3)A_0\gamma _0+m_i^{}\right]B_i$$
(1)
where now the SU(3) baryon octet $`B`$ is reduced to the isospinor $`({}_{n}{}^{p})`$. The various coupling constants of mesons and baryons result from the $`SU(3)`$ structure paper3  and the interaction of the scalar fields follows as

$`_0^{\mathrm{chi}}`$ $`=`$ $`{\displaystyle \frac{1}{2}}k_0\chi ^2(\sigma ^2+\zeta ^2+\delta ^2)+k_1(\sigma ^2+\zeta ^2+\delta ^2)^2+k_2\left({\displaystyle \frac{\sigma ^4}{2}}+{\displaystyle \frac{\delta ^4}{2}}+3\sigma ^2\delta ^2+\zeta ^4\right)`$ (2)
$`+k_3\chi \sigma ^2\zeta k_4\chi ^4{\displaystyle \frac{1}{4}}\chi ^4\text{ln}{\displaystyle \frac{\chi ^4}{\chi _0^4}}+ϵ\chi ^4\text{ln}{\displaystyle \frac{(\sigma ^2\delta ^2)\zeta }{\sigma _0^2\zeta _0}}`$
Here the various scalar fields $`\sigma ,\delta `$, and $`\zeta `$ correspond to the non-strange isoscalar ($`\sigma `$), isovector ($`\delta `$) quark-antiquark states, and the strange anti-strange state ($`\zeta `$). The field $`\chi `$ is the scalar, isoscalar glueball field $`\chi `$ introduced in schechter ; pano1 . $`\chi _0`$, $`\sigma _0`$ and $`\zeta _0`$ ($`\delta _0=0`$) denote the vacuum expectation values of the fields, which are generated via spontaneous symmetry breaking.

The term

$$_{\mathrm{E}SB}=\left(\frac{\chi }{\chi _0}\right)^2\left[x\sigma +y\zeta \right]$$
(3)
introduces explicit chiral SU(3) symmetry breaking. The coupling strengths are $`x=m_\pi ^2f_\pi `$ and $`y=\sqrt{2}m_\mathrm{K}^2f_\mathrm{K}\frac{1}{\sqrt{2}}m_\pi ^2f_\pi `$. $`f_\pi `$ and $`f_K`$ are the pion and kaon decay constant, respectively. The vector meson self-interaction terms have the structure

$$_{vec,NL}=a\left(\mathrm{Tr}\left[V^\mu V_\mu \right]\right)^2b\mathrm{Tr}\left[\left(V^\mu V_\mu \right)^2\right]$$
(4)
where $`V`$ denotes the 3x3 matrix of the vector meson multiplet. In the case of nuclei this reduces to the form

$$_{\mathrm{v}ec}=g_4^4\left(\omega ^4+6\beta \omega ^2\rho ^2+\rho ^4\right)+\mathrm{}$$
(5)
with the zeroth components of the isoscalar $`\omega `$ and neutral isovector $`\rho `$ field. The couplings $`g_4^4`$ and $`\beta `$ are related to $`a,b`$ of equation 4 via

$$g_4^4=a/2+b,\beta =1\frac{2}{3(1+a/2b)}$$
(6)
In addition the vector mesons interact with the glueball field $`\chi `$ and the nonet of scalar mesons $`\mathrm{\Sigma }`$ via

$$_{\mathrm{v}s}=c\chi ^2\mathrm{Tr}[V^\mu V_\mu ]+d\mathrm{Tr}[\mathrm{\Sigma }^2V^\nu V_\mu ]$$
(7)
which reduces to

$$_{\mathrm{v}s}=\left[c\chi ^2+2d(\sigma ^2+\delta ^2)\right](\omega ^2+\rho ^2)+\mathrm{}$$
(8)
In the numerical calculation we investigate the relative strength of the two couplings of the vector mesons to the glueball field as well as to the scalars by varying the quantity $`r_\sigma `$ defined as

$$_{\mathrm{v}s}=\frac{\alpha }{(1r_\sigma )\chi _0^2+r_\sigma \sigma _0^2}\left[(1r_\sigma )\chi ^2+r_\sigma (\sigma ^2+\delta ^2)\right](\omega ^2+\rho ^2)$$
(9)
where the factor $`\alpha `$ was determined in the general parameter fit $`\chi _M`$ with $`r_\sigma =0`$ deformed . $`r_\sigma `$ shifts the relative importance of the gluonic and quark-type scalar fields for generating the masses of the vector mesons. The mass of the baryons are dynamically generated via their interaction with the scalar fields following Eq. (1), which automatically leads to density and temperature-dependent masses. Explicitly, the baryon masses $`m_i^{}`$ are given by

$$m_i^{}=g_{i\sigma }\sigma +g_{i\delta }\delta +g_{i\zeta }\zeta .$$
(10)
In general there is no unique way of introducing nonlinear vector couplings in a hadronic model. Here we introduce the simplest structures within our framework generating the interaction terms, in fact those terms had been introduced well before this specific investigation of isospin effects started. The non-linear couplings in the $`\omega `$ channel turn out to be very important to obtain a reasonably soft equation of state of symmetric nuclear matter, leading to acceptable value for the compressibility of $`\kappa <250`$MeV. In addition, away from the saturation density the equation of state of neutron matter is soft enough to generate neutron stars with masses $`M<2M_{solar}`$ hanauske .

## III Results

### III.1 Neutron skins

Here we show the numerical results obtained by solving the equations of motions derived from the Lagrangian terms discussed above in a mean field approximation. In particular we will vary the two coupling strengths $`\beta `$, Eq. (5), and $`r_\sigma `$, Eq. (9) and study their influence on various observables.

First we determine the rms radii of neutrons and protons in 208Pb. In addition as comparison we also look at the case of the singly magic 138Ba which might be of interest in future parity-violation experiments. Barium isotopes have been suggested as candidates for atomic parity violation experiments mike  in analogy to the cesium experiments cesium . In those experiments uncertain neutron distributions are a major part of the theoretical error. The calculation of 138Ba is supposed to give an idea of the range of uncertainty for neutron skins in barium.

The equation of motions are solved assuming spherical symmetry using the established parameter set $`\chi _M`$ deformed . The calculation is repeated by changing the two coupling parameter $`\beta `$ and $`r_\sigma `$. The resulting values for the difference of proton and neutron radii $`\mathrm{\Delta }r_{np}r_nr_p`$ are shown in Figure 1. In the variation of the parameters we follow two general procedures.

First we use the parameters $`\chi _M`$ and only modify the coupling strength $`\beta `$ (which has a value $`\beta =1`$ in $`\chi _M`$), without simultaneously modifying any other parameters. In a second run we adjust the other parameters that mainly influence the isospin behavior, $`g_4^4`$ and the nucleon-rho coupling $`g_{N\rho }`$ to ensure a correct description of the lead charge radius and binding energy. The result of both approaches is shown in the figure. The general behavior is the same for both approaches. The best-fit estimate for neutron-proton radius difference is $`\mathrm{\Delta }r_{np}=0.25`$fm. This number is in general agreement with other models based on relativistic descriptions of nuclear matter ring  and is bigger than typical Skyrme-based non-relativistic projections of $`\mathrm{\Delta }r_{np}<0.2`$fm skyrme . There is a significant dependence of $`\mathrm{\Delta }r_{np}`$ on the coupling strength while varying $`\beta `$ between about $`1<\beta <+1.4`$, which is about the maximum range in which one can obtain stable nuclear solutions. We will look at the parameter range in more detail. In order to obtain a more believable quantitative result a refitting of the parameters is necessary, reducing $`\mathrm{\Delta }r_{np}`$ by up to 20 percent. In the following, if not noted otherwise, we will always perform a readjustment of the parameters as explained above. Figure 2 shows results for $`\mathrm{\Delta }r_{np}`$ varying the coupling $`r_\sigma `$ for different values of $`\beta `$. The shaded area reflects the expected accuracy of the neutron radius measurement of about $`\pm 1\%`$. Note the wiggle for the line with $`\beta =1.4`$, signalling the onset of proton and neutron rearrangements in the solutions of the nuclear equations that violate experimentally known nuclear charge distributions.

We repeat the same calculation for the case of 138Ba, Fig. 3. The results are essentially similar. The dependence of the neutron skin is somewhat less pronounced compared to the lead case.

### III.2 Nuclear matter

In order to check that aside from a reasonable description of 208Pb the range of parameter values yields adequate behavior of nuclear matter at saturation we study the values for the compressibility $`\kappa `$ and the asymmetry energy $`a_4`$ at saturation density $`\rho _0`$, which has a value $`\rho _0.15`$GeV/fm3 for all studied parameter sets. $`\kappa `$ and $`a_4`$ are defined as

$$\kappa =9\rho _0^2\frac{^2(E/A)}{\rho ^2}|_{\rho =\rho _0},a_4=\frac{\rho _0^2}{2}\frac{^2(E/A)}{(\rho _n\rho _p)^2}|_{\rho =\rho _0}$$
(11)
Fig. 4 shows the $`r_\sigma `$ dependence of $`\kappa `$. The two curves correspond to two extreme values of $`\beta `$, the other results lie between these curves. Given these numbers one cannot exclude any parameters within the range under consideration, all give reasonable values for the compressibility of nuclear matter between about 205 and 225 MeV. The results for the asymmetry energy are more restrictive. Assuming that acceptable value for the asymmetry should be somewhere between 28 and 38 MeV, values of $`r_\sigma `$ larger than 0.2 yield asymmetries $`a_4`$ that are too small, whereas given small couplings of scalar and vector mesons the coupling term $`\beta `$ should be larger than 0. However, a quite large range of reasonable parameter values persists.

### III.3 Neutron stars

As a complementary source of information on the isospin-dependence of nuclear forces a neutron star probes the extreme neutron-rich system with a content of about 90% neutrons of all baryons in the star. We have performed calculations of neutron star properties in this model before in nstar ; hanauske . The calculation is done by integrating the Tolman-Oppenheimer-Volkov (TOV) equations Tol  for the star given an equation of state $`ϵ(P)`$ generated from the model Lagrangian:

$`{\displaystyle \frac{dP(r)}{dr}}`$ $`={\displaystyle \frac{(ϵ+P)(4\pi r^3P+m)}{r^2(12m(r)/r)}}`$ (12)
$`{\displaystyle \frac{dm(r)}{dr}}`$ $`=4\pi r^2ϵ(r),`$ (13)
where $`P`$ and $`ϵ`$ are the pressure and energy density of the nuclear matter. $`m(r)`$ is the gravitational mass of the star inside of the radius $`r`$. By fixing the initial value for the pressure $`P_c`$ in the center of the star, with the knowledge of the equation of state $`ϵ_c(P_c)`$ one can integrate equations (12) and (13) from the center of the star outward to the point of vanishing pressure, which defines the star radius $`R`$. The calculation of $`ϵ(P)`$ is discussed in detail in hot . The outer crust of the neutron star is modelled as discussed in hanauske .

Figure 6 shows the resulting neutron star radii for a typical neutron star with a mass of 1.4 solar masses. As in the nuclear case we checked for the consequences of refitting the parameters. But in this case the refitting does not affect the neutron star properties appreciably as can be inferred from the figure. There is a strong dependence of the neutron star radius on the coupling strength with a variation of about 5.5 km over the whole range of values for $`\beta `$ that yield reasonable nuclei. However, with reference to the results for the asymmetry shown in Fig. 5 in this case for $`r_\sigma =0`$ $`\beta `$ should be chosen to be larger 0, which limits the variation of the star radius to about 1 km. Another uncertainty entering the theoretical determination of neutron star radii comes from the treatment of the hyperons in the star. Although our model is based on a SU(3) model and therefore automatically contains hyperons ($`\mathrm{\Lambda },\mathrm{\Sigma }`$ and $`\mathrm{\Xi }`$ baryons, see hanauske  for a detailed discussion), due to the poor knowledge of the behavior of hyperons in dense matter, results might vary with the treatment of the hyperon sector. To check the limit of the uncertainties we switch off (by hand) the hyperon densities and repeat the radius calculations for the example of the best-fit parameter set $`\chi _M`$. The variation for a 1.4 solar mass star, $`R_{hyper}=11.42`$km and $`R_{nohyper}=12.46`$km is of the same order as the variation due to the meson-meson couplings. So in addition to a good knowledge of the nuclear isospin forces some information on hyperons in matter is needed to draw more reliable conclusions from neutron star radius data.

A complete set of correlations between $`\mathrm{\Delta }r_{np}`$ and $`R_{ns}`$ is given in Fig. 7. The various lines are results for different choices of $`\beta `$ and show the dependence on the scalar-vector meson coupling $`r_\sigma `$. The result shows that the information contained in $`\beta `$ and $`r_\sigma `$ is rather complementary. Whereas the star radius largely depends on $`\beta `$ and little on $`r_\sigma `$ in the case of the neutron skin the result is the opposite, a strong $`r_\sigma `$ dependence and a small influence from the $`\beta `$ value. However, as can be seen from the hatched area a 1% measurement of the neutron radius of lead covers about the whole range of results except for very small $`\beta `$ and large $`r_\sigma `$ values which are largely excluded by the results for the asymmetry energy.

### III.4 Additional tests

As a cross check to our discussion we looked at the proton skin in different isotopes of argon. The skin was experimentally deduced by combining measurements of heavy-ion reaction cross sectionsexp2  with atomic isotope shift data exp1 . The resulting values, with rather large error bars, are shown in Figure 8, compared to the theoretical calculations using the same model for several values of the nonlinear coupling varying $`\beta `$ ($`r_\sigma `$ is set to 0). One can see that with the exception of the point at the high-end of coupling strengths for the $`{}_{}{}^{32}Ar`$ isotope the agreement with data is quite good, independent of the $`\beta `$ parameter. This gives some confidence in the analysis that a change of the coupling does not automatically lead to distorted results of other isospin-related observables.

Finally, in hor3  the importance of the URCA process for neutron star cooling was discussed in this context. The URCA process is thought to be an important mechanism for cooling the neutron star after the supernova explosion at reasonably fast rates in agreement with astronomical observations. This is done via the process $`np+e^{}+\overline{\nu }_e`$ where the neutrino escapes and carries energy away from the system. This process can proceed when the fermi momenta of the particles involved match :

$$p_n^Fp_p^F+p_e^F$$
(14)
Thus for the URCA process to take place one needs a significant amount of protons of roughly $`11\%`$ in the system. As the proton to neutron ratio in the star is influenced by the isospin-dependence of the nuclear forces one has to check whether changing the force might switch off the URCA process. We again consider a 1.4 solar mass star and compare the central density of the star with the minimum density for the URCA process to occur according to equation 14. We see from Figure 9 that the minimum density is always reached. Thus the discussion of the correlation of the star radius and neutron skin is not affected by additional constraints from neutron star cooling considerations.

## IV Conclusion

We studied the influence of couplings between vector and scalar mesons as well as nonlinear vector-meson interactions and their influence on isospin-related observables following the discussion in hor2  (see also bodmer ). As basic model for our calculation we used a chiral $`\sigma \omega `$ type SU(3) model. This model has the benefits of including those nonlinearities from the start and implements them in a rather general SU(3) coupling scheme. Our model has been successfully employed in nuclear structure calculations and in calculations involving high-density and high-temperature environments. Since we also study neutron stars the benefit of having an SU(3) model is that hyperons are automatically included in the model which is quite important for getting reasonably small neutron star masses in accordance with observation. The results show clear dependence of the neutron skin in lead and barium on couplings of vector and scalar mesons, whereas the neutron star radii depend largely on non-linear terms in the vector-meson channel. There is a distinct correlation of neutron star radii and neutron distributions in nuclei as has already been observed in other nuclear structure models hor1 ; hor2 . However, although the upcoming measurements of the lead radius using parity-violating electron scattering experiments certainly will give additional information for modelling the isospin-sector of the nuclear forces, it is likely not stringent enough to nail down the parameters. Also possible measurements of neutron star radii can only be useful in this regard if the accuracy of the radius measurement is well below 1 km. At this level of radius uncertainty also the detailed treatment of the hyperons in the neutron star enter, which will make it very difficult to disentangle the different effects on the star radius.

To complete our investigation we have shown that the requirement of fast neutron star cooling does not constrain this discussion. Also the measured value of the proton skins of argon isotopes can be reproduced and are not strongly affected by varying the nonlinear couplings.

###### Acknowledgements.

This work was supported by the U.S. Department of Energy, Nuclear Physics Division (Contract No. W-31-109-Eng-38).


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# Mod 𝑝𝑞 Galois representations and Serre’s conjecture

## 1. Introduction.

Motives and automorphic forms of arithmetic type give rise to Galois representations that occur in compatible families. These compatible families are of $`p`$-adic representations (see ) with $`p`$ varying. By reducing such a family mod $`p`$ one obtains compatible families of mod $`p`$ representations (see ). While the representations that occur in such a $`p`$-adic or mod $`p`$ family are strongly correlated, in a sense each member of the family reveals a new face of the motive. In recent celebrated work of Wiles playing off a pair of Galois representations in different characteristics has been crucial.

In this paper we investigate when a pair of mod $`p`$ and mod $`q`$ representations of the absolute Galois group of a number field $`K`$ simultaneously arises from an automorphic motive: we do this in the 1-dimensional (Section 2) and 2-dimensional (Section 3: this time assuming $`K=`$) cases. In Section 3 we formulate a mod $`pq`$ version of Serre’s conjecture refining in part the question of Barry Mazur and Ken Ribet in  and some of the considerations in .

### 1.1. Notation.

Throughout the paper, $`p`$ and $`q`$ denote 2 distinct, fixed prime numbers.

We fix the following notation:

$$\begin{array}{ccc}K\hfill & :\hfill & \text{a finite extension of }\hfill \\ E\hfill & :\hfill & \text{group of global units in }K\hfill \\ G_K\hfill & :\hfill & \text{the absolute galois group of }K\hfill \\ C_K\hfill & :\hfill & \text{the idele class group of }K\hfill \\ \mathrm{\Sigma }\hfill & :\hfill & \text{the set of embeddings }K\overline{}\hfill \end{array}$$

By ‘Hecke character’ of $`K`$ we shall mean a grossencharacter of type $`A_0`$ on $`C_K`$.

We fix embeddings $`\iota _{\mathrm{}}:\overline{}`$, and for every prime $`\mathrm{}`$ an embedding $`\iota _{\mathrm{}}:\overline{}\overline{}_{\mathrm{}}`$, and denote by $`v_{\mathrm{}}`$ the extension of the $`\mathrm{}`$-adic valuation on $`_{\mathrm{}}`$ to $`\overline{}_{\mathrm{}}`$. We also fix an isomorphism of the residue field of $`\overline{}_{\mathrm{}}`$ with $`\overline{𝔽}_{\mathrm{}}`$.

Thus, an element $`\sigma \mathrm{\Sigma }`$ gives rise to an embedding $`K\overline{}_{\mathrm{}}`$ via composition with $`\iota _{\mathrm{}}`$. Abusing notation, with denote again this embedding by $`\sigma `$.

If $`\lambda `$ is a finite prime of $`K`$ of residue characteristic $`\mathrm{}`$ we denote by:

$$\begin{array}{ccc}𝔭_\lambda \hfill & :\hfill & \text{maximal ideal of ring of integers in }K_\lambda \hfill \\ k_\lambda \hfill & :\hfill & \text{residue field of }\lambda \hfill \\ U_\lambda \hfill & :\hfill & \text{corresponding unit group}\hfill \end{array}$$

and introduce the subset $`\mathrm{\Sigma }(\lambda )\mathrm{\Sigma }`$:

$$\begin{array}{ccc}\mathrm{\Sigma }(\lambda )\hfill & :=\hfill & \{\sigma \mathrm{\Sigma }v_{\mathrm{}}\sigma \lambda \}.\hfill \end{array}$$

Thus, if $`\sigma \mathrm{\Sigma }(\lambda )`$ we have a canonical extension to an embedding $`\sigma _\lambda :K_\lambda \overline{}_{\mathrm{}}`$ inducing an embedding:

$$\overline{\sigma }_\lambda :k_\lambda \overline{𝔽}_{\mathrm{}}.$$

Notice that the sets $`\mathrm{\Sigma }(\lambda )`$ form a partition of $`\mathrm{\Sigma }`$ when $`\lambda `$ runs over the prime divisors of $`\mathrm{}`$.

Since we have fixed a prime of $`\overline{}`$ above $`\lambda `$, we can speak of the inertia group $`I_\lambda G_K`$ at $`\lambda `$. We denote by

$$\theta _\lambda :I_\lambda k_\lambda ^\times $$

the character (factoring through tame inertia) that gives the action of $`\mathrm{Gal}(\overline{K}_\lambda /K_\lambda )`$ on a $`(\mathrm{\#}k_\lambda 1)`$’st root of a uniformizer of $`K_\lambda `$. Thus, if $`\mathrm{\#}k_\lambda =\mathrm{}^n`$ the fundamental characters of level $`n`$ over $`K_\lambda `$ are the $`n`$ characters:

$$\theta _\lambda ^\mathrm{}^i,\text{for}i=0,\mathrm{},n1.$$

We denote by $`\stackrel{~}{\theta }_\lambda `$ the Teichmüller lift of $`\theta _\lambda `$, and — as we have fixed an embedding $`\overline{}\overline{K}_\lambda `$ — can regard it as taking values in either $`\overline{}^\times `$, or in $`\overline{K}_\lambda ^\times `$.

In order to reduce the amount of notation, we allow ourselves to use class field theory implicitly. Thus, if $`\chi :G_K\overline{𝔽}_{\mathrm{}}^\times `$ is a homomorphism we may find occasion to view $`\chi `$ as a homomorphism on $`C_K`$.

Generally, if $`\chi `$ is a Hecke character of $`K`$ and if $`\mathrm{}`$ is a prime number, there is attached to the pair $`(\chi ,\mathrm{})`$ an $`\mathrm{}`$-adic galois representation $`\chi _{\mathrm{}}:G_K\overline{}_{\mathrm{}}^\times `$ satisfying appropriate reciprocity laws (cf. for instance , , or the original construction ). The character $`\chi _{\mathrm{}}`$ lands in the group of units. Reducing ‘mod $`\mathrm{}`$’ we obtain a representation $`\overline{\chi }_{\mathrm{}}`$:

$$\overline{\chi }_{\mathrm{}}:G_K\overline{𝔽}_{\mathrm{}}^\times .$$

In particular, we use these notations $`\epsilon _{\mathrm{}}`$ and $`\overline{\epsilon }_{\mathrm{}}`$ if $`\epsilon `$ is just a finite-order complex character of $`C_K`$.

Finally, if $`x`$ is a complex number, we denote by $`x^c`$ the complex conjugate of $`x`$.

## 2. One dimensional mod $`pq`$ representations.

Given representations $`\rho :G_K\overline{𝔽}_p^\times `$ and $`\rho ^{}:G_K\overline{𝔽}_q^\times `$ we would like to determine when $`\rho `$ and $`\rho ^{}`$ arise from one Hecke character simultaneously with respect to the embeddings fixed above. We know of no reasonable notion of finitely many mod $`p`$ representations with $`p`$ varying, such as $`\rho `$ and $`\rho ^{}`$, being compatible (see ) but their arising from a Hecke character (see Section 4 of ) is a special circumstance which we will explore below.

### 2.1. Hecke characters and Galois representations.

In this subsection we wish to recall some properties of Hecke characters, in particular properties of their attached mod $`\mathrm{}`$ Galois representations. We shall follow mainly the exposition of , section 3.4.

#### 2.1.1. Hecke characters.

A Hecke character of $`K`$ is a continuous homomorphism $`\chi :C_K^\times `$ whose restriction to the connected component of 1 at infinity has form:

$$x\underset{\sigma \text{ real}}{}x_\sigma ^{n_\sigma }\underset{\sigma \text{ complex}}{}x_\sigma ^{n_\sigma }(x_\sigma ^c)^{n_{\sigma ^c}}$$

with integers $`n_\sigma `$, $`\sigma \mathrm{\Sigma }`$. We have used $`\sigma ^c`$ to denote the element of $`\mathrm{\Sigma }`$ given by $`\sigma ^c(x)=\sigma (x)^c`$.

We can consider the restriction of $`\chi `$ to $`U_\lambda C_K`$ for finite primes $`\lambda `$. As $`\chi `$ is a continuous homomorphism, almost all of these restrictions $`\chi |_{U_\lambda }`$ are trivial and in any case have finite orders and hence conductors. One defines the conductor $`𝔪`$ of $`\chi `$ to be the product of these local conductors.

As in , we define for an arbitrary prime $`\lambda `$ of $`K`$ the group $`U_{\lambda ,𝔪}`$: If $`𝔪=_{vS}𝔭_v^{m_v}`$ with $`S`$ a finite set of finite primes of $`K`$, the group $`U_{\lambda ,𝔪}`$ is defined to be the connected component of $`1K_\lambda ^\times `$ if $`\lambda `$ is infinite, the whole of $`U_\lambda `$ if $`\lambda S`$, and finally the group of units in $`U_\lambda `$ of level $`m_\lambda `$ if $`\lambda S`$. We may also define $`U_𝔪`$ as the product of all $`U_{\lambda ,𝔪}`$.

The integers $`n_\sigma `$, $`\sigma \mathrm{\Sigma }`$, are uniquely determined by $`\chi `$. We can thus refer to the formal expression $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma [\mathrm{\Sigma }]`$ as the $`\mathrm{}`$-type of $`\chi `$.

The classification of those elements in $`[\mathrm{\Sigma }]`$ that occur as the $`\mathrm{}`$-type of some Hecke character is known, cf. , , but we shall not need to go into this.

#### 2.1.2. Galois representations attached to Hecke characters.

Suppose that $`\chi `$ is a Hecke character of $`\mathrm{}`$-type $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma `$ and conductor $`𝔪`$. Let $`\mathrm{}`$ be a prime number. To $`\chi `$ is attached an $`\mathrm{}`$-adic representation $`\chi _{\mathrm{}}`$ of $`G_K`$. The character $`\chi _{\mathrm{}}`$ takes its values in the group of units of $`\overline{}_{\mathrm{}}`$, and as we have fixed an isomorphism of the residue field of $`\overline{}_{\mathrm{}}`$ with $`\overline{𝔽}_{\mathrm{}}`$, we can speak of the mod $`\mathrm{}`$ reduction $`\overline{\chi }_{\mathrm{}}`$ of $`\chi _{\mathrm{}}`$. We shall recall, cf. , section 3.4, the description of $`\chi _{\mathrm{}}`$ and $`\overline{\chi }_{\mathrm{}}`$ on inertia groups, i.e. on local units groups if we view these characters as characters on $`C_K`$.

Let $`\lambda `$ be a finite prime. Define the character $`\epsilon _\lambda `$ of $`U_\lambda `$ as the restriction $`\chi |_{U_\lambda }`$. Then by construction of $`\chi _{\mathrm{}}`$, cf. loc. cit., we have on $`U_\lambda `$:

$$\chi _{\mathrm{}}(x):=\{\begin{array}{cc}\epsilon _\lambda (x)\hfill & ,\text{ for }xU_\lambda ,\lambda \mathrm{}\hfill \\ \epsilon _\lambda (x)_{\sigma \mathrm{\Sigma }(\lambda )}\sigma _\lambda (x^1)^{n_\sigma }\hfill & ,\text{ for }xU_\lambda ,\lambda \mathrm{}.\hfill \end{array}$$

(Notice that there are 2 different ways of establishing a correspondence between the point of view of  and our view of a Hecke character as a character of $`C_K`$. We could have changed signs on the $`n_\sigma `$’s but would then have to define $`\epsilon _\lambda `$ as the inverse of the restriction of $`\chi `$ to $`U_\lambda `$).

Notice, that as a consequence of definitions we have for a totally positive global unit $`u`$ that

$$\underset{\lambda \text{ finite}}{}\epsilon _\lambda (u)=\underset{\sigma \mathrm{\Sigma }}{}\sigma (u)^{n_\sigma }.$$

The following lemma reverses this line of reasoning.

###### Lemma 1.

Suppose that for each finite prime $`\lambda `$ of $`K`$ a continuous character

$$\epsilon _\lambda :U_\lambda ^\times $$

is given such that only finitely many $`\epsilon _\lambda `$ are non-trivial. Suppose also that integers $`n_\sigma `$, $`\sigma \mathrm{\Sigma }`$, are given.

Then there exists a Hecke character $`\chi `$ on $`C_K`$ of $`\mathrm{}`$-type $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma `$ whose restriction to $`U_\lambda `$ is $`\epsilon _\lambda `$ for all $`\lambda `$ if and only if

$$\underset{\lambda \text{ finite}}{}\epsilon _\lambda (u)=\underset{\sigma \mathrm{\Sigma }}{}\sigma (u)^{n_\sigma }$$

for every totally positive global unit $`u`$.

###### Proof.

As we saw above, the condition is necessary.

To prove sufficiency, consider the group

$$U:=\underset{\lambda \text{ finite}}{}U_\lambda $$

as a compact subgroup of $`C_K`$. The $`\epsilon _\lambda `$ define a continuous character

$$\epsilon :=\underset{\lambda \text{ finite}}{}\epsilon _\lambda $$

on $`U`$. There is an extension $`\chi `$ of $`\epsilon `$ to a continuous character of $`C_K`$. The question is whether there is an extension which has the desired shape on the connected component $`D_K`$ of 1 in $`C_K`$.

Consider first the case where all $`n_\sigma =0`$. The question is then whether $`\epsilon `$ extends to a continuous character of $`C_K`$ vanishing on the closed subgroup $`D_K`$. This will be the case if and only if $`\epsilon `$ vanishes on the intersection $`UD_K`$. As this intersection consists precisely of the embeddings into $`U`$ of totally positive global units, the desired vanishing is implied by the condition we have imposed.

In the general case let $`𝔪`$ be the conductor of $`\epsilon `$. A consequence of our hypothesis is then that

$$\underset{\sigma \mathrm{\Sigma }}{}\sigma (u)^{n_\sigma }=1$$

for every $`uE_𝔪:=EU_𝔪`$. This is sufficient to ensure the existence of some Hecke character $`\chi `$ on $`C_K`$ with $`\mathrm{}`$-type $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma `$. The question is then whether the character $`\epsilon (\chi |_U)^1`$ extends to a character of finite order on $`C_K`$, and we are reduced to the previous case. ∎

Returning now to the discussion before the lemma, we find for the mod $`\mathrm{}`$ reduction $`\overline{\chi }_{\mathrm{}}`$ of the galois representation $`\chi _{\mathrm{}}`$ that

$$\overline{\chi }_{\mathrm{}}(x)=(\epsilon _\lambda \mathrm{mod}\mathrm{})(x)\{\begin{array}{cc}1\hfill & ,\text{ for }xU_\lambda ,\lambda \mathrm{}\hfill \\ _{\sigma \mathrm{\Sigma }(\lambda )}\overline{\sigma }_\lambda ((x\text{ mod }\lambda )^1)^{n_\sigma }\hfill & ,\text{ for }xU_\lambda ,\lambda \mathrm{}.\hfill \end{array}$$

So, we may view this as describing the galois representation $`\overline{\chi }_{\mathrm{}}`$ on inertia. Viewing the homomorphisms

$$(x\text{ mod }\lambda )\overline{\sigma }_\lambda ((x\text{ mod }\lambda )^1)$$

as characters on tame inertia above $`\lambda `$, these characters are fundamental characters of level $`n`$ if $`\mathrm{\#}k_\lambda =\mathrm{}^n`$, with $`\mathrm{}`$ the residue characteristic of $`\lambda `$, cf. again . So, for each $`\sigma \mathrm{\Sigma }(\lambda )`$ we have a well-defined number $`\kappa (\lambda ,\sigma )\{0,\mathrm{},n1\}`$ such that:

$$\overline{\sigma }_\lambda =\theta _\lambda ^{\mathrm{}^{\kappa (\lambda ,\sigma )}}.$$

Summing up, and viewing $`\overline{\chi }_{\mathrm{}}`$ as a character on $`G_K`$, we have a description of $`\overline{\chi }_{\mathrm{}}`$ on inertia groups:

$$\overline{\chi }_{\mathrm{}}|_{I_\lambda }=\{\begin{array}{cc}(\epsilon _\lambda \mathrm{mod}\mathrm{})\hfill & ,\text{ for }\lambda \mathrm{}\hfill \\ (\epsilon _\lambda \mathrm{mod}\mathrm{})\theta _\lambda ^{_{\sigma \mathrm{\Sigma }(\lambda )}n_\sigma \mathrm{}^{\kappa (\lambda ,\sigma )}}\hfill & ,\text{ for }\lambda \mathrm{}\hfill \end{array}$$

with $`\epsilon _\lambda `$ the complex character obtained by restricting $`\chi `$ to $`U_\lambda `$, viewed as a character on $`I_\lambda `$.

### 2.2. Preliminary lemmas

We begin by disposing off the easy case of Artin lifts.

###### Lemma 2.

Let $`G`$ be a profinite group and let $`\tau :G\overline{𝔽}_p^\times `$ and $`\tau ^{}:G\overline{𝔽}_q^\times `$ be two continuous (the target is given the discrete topology), one-dimensional characters of $`G`$. Then there is a complex character $`\epsilon :G^\times `$ which lifts $`\tau `$ and $`\tau ^{}`$ (w.r.t. the embeddings $`\iota _p`$ and $`\iota _q`$ fixed earlier) if and only if for any two Artin lifts $`\stackrel{~}{\tau }`$ and $`\stackrel{~}{\tau }^{}`$ of $`\tau `$ and $`\tau ^{}`$ the order of the character $`\stackrel{~}{\tau }\stackrel{~}{\tau ^{}}^1`$ divides a power of $`pq`$.

If a lift $`\epsilon `$ exists it is unique and in fact $`\epsilon =\stackrel{~}{\tau }\psi ^{}=\stackrel{~}{\tau }^{}\psi `$ if $`\stackrel{~}{\tau }`$ and $`\stackrel{~}{\tau }^{}`$ are Artin lifts and $`\stackrel{~}{\tau }\stackrel{~}{\tau ^{}}^1=\psi \psi _{}^{}{}_{}{}^{1}`$ with $`\psi `$ and $`\psi ^{}`$ characters of $`p`$\- and $`q`$-power order, respectively.

###### Proof.

This follows from the fact that the only roots of unity that have trivial reduction mod $`p`$ are those that have order a power of $`p`$. ∎

###### Lemma 3.

Let $`G`$ be a profinite group and $`G^{}`$ a closed subgroup of finite index. Then for a (finite order, continuous) $`\epsilon ^{}:G^{}^\times `$ to be the restriction of a (finite order, continuous) character $`\epsilon :G^\times `$ it is necessary and sufficient that $`\overline{\epsilon }_p^{}`$ and $`\overline{\epsilon }_q^{}`$, the reductions of $`\epsilon ^{}`$ mod $`p`$ and mod $`q`$, arise by restriction from characters of $`G`$.

###### Proof.

As $`\overline{\epsilon }_p^{}`$ arises by restriction of a mod $`p`$ character $`\overline{\epsilon }_p`$ of $`G`$ it follows by choosing any lift of $`\overline{\epsilon }_p`$ to a complex character that $`\epsilon _{}^{}{}_{}{}^{p^\alpha }`$ arises by restriction from $`G`$ for some non-negative integer $`\alpha `$. Similarly $`\epsilon _{}^{}{}_{}{}^{q^\beta }`$ arises by restriction from $`G`$. Choosing integers $`a`$ and $`b`$ such that $`ap^\alpha +bq^\beta =1`$ we are done. ∎

###### Remark 1.

It will be interesting to resolve the following question. Let $`\rho :G_K\overline{𝔽}_p^\times `$ and $`\rho ^{}:G_K\overline{𝔽}_q^\times `$ be two continuous one-dimensional characters of $`G_K`$. Let $`L/K`$ be a finite Galois extension of $`K`$ such that the restrictions $`\rho |_{G_L}`$ and $`\rho ^{}|_{G_L}`$ arise from a Hecke character $`\chi ^{}`$ of $`L`$. Then do these restrictions also arise from $`\chi \mathrm{Nm}_{L/K}`$ for some Hecke character $`\chi `$ of $`K`$? The case when $`\chi ^{}`$ is of finite order is dealt with by Lemma 3, and then $`\chi ^{}`$ itself arises by base change from $`K`$ which certainly will not be true in general.

###### Lemma 4.

A necessary condition for $`\rho `$ and $`\rho ^{}`$ to arise from a Hecke character is that for all primes $`\lambda `$ of $`K`$ not above $`p`$ and $`q`$, and any two Artin lifts $`\stackrel{~}{\rho }|_{I_\lambda }`$ and $`\stackrel{~}{\rho ^{}}|_{I_\lambda }`$ of $`\rho |_{I_\lambda }`$ and $`\rho ^{}|_{I_\lambda }`$ the order of the character $`\stackrel{~}{\rho }|_{I_\lambda }\stackrel{~}{\rho ^{}}|_{I_\lambda }^1`$ divides a power of $`pq`$.

###### Proof.

This is clear from the construction of $`p`$-adic representations from Hecke characters (see ) and Lemma 2 (see Section 4 of ). The point here is that if $`\chi `$ is a Hecke character and if $`\chi _p`$ is the 1-dimensional $`p`$-adic representation of $`G_K`$ associated to it, then the image of a inertia group at any prime $`\lambda `$ not above $`p`$ is finite and does not depend on the $`p`$ of the compatible system of $`p`$-adic representations that $`\chi `$ gives rise to as long as the residue characteristics of $`p`$ and $`\mathrm{}`$ are coprime. ∎

###### Lemma 5.

Assume the necessary conditions above. Then there is an Artin character $`\epsilon :G_K^\times `$ such that $`\overline{\epsilon }_p^1\rho `$ and $`\overline{\epsilon }_q^1\rho ^{}`$ are unramified outside primes above $`p`$ and $`q`$ and the infinite places.

###### Proof.

Let $`L`$ be the finite abelian extension of $`K`$ that is the compositum of the fixed fields of the kernels of $`\rho `$ and $`\rho ^{}`$. Let $`K^{}`$ be the fixed field of $`L`$ under the action of all the inertia groups $`I_v`$ for $`v`$ a finite place of $`K`$ not above $`p`$ or $`q`$. As we are assuming the necessary conditions of Lemma 4, we deduce that there are lifts $`\stackrel{~}{\rho }`$ and $`\stackrel{~}{\rho ^{}}`$ of $`\rho |_{G_K^{}}`$ and $`\rho ^{}|_{G_K^{}}`$, respectively, such that the order of $`\stackrel{~}{\rho }\stackrel{~}{\rho ^{}}^1`$ is of the form $`p^\alpha q^\beta `$. Then by Lemma 2, there is an Artin character $`\epsilon ^{}`$ of $`G_K^{}`$ such that $`\overline{\epsilon }_p^{}=\rho |_{G_K^{}}`$ and $`\overline{\epsilon }_q^{}=\rho |_{G_K^{}}`$. Using Lemma 3, we get an Artin character $`\epsilon `$ of $`G_K`$ such that $`\overline{\epsilon }_p=\rho |_{G_K^{}}`$ and $`\overline{\epsilon }_q=\rho |_{G_K^{}}`$. Now as $`\overline{\epsilon }_p^1\rho |_{G_K^{}}`$ and $`\overline{\epsilon }_q^1\rho ^{}|_{G_K^{}}`$ are trivial and $`K^{}/K`$ is unramified outside primes dividing $`pq`$ and the infinite places we are done. ∎

###### Lemma 6.

If $`\rho ,\rho ^{}`$ as above are unramified outside primes above $`p`$ and $`q`$ and the infinite places, then any Hecke character $`\chi `$ that gives rise to both $`\rho `$ and $`\rho ^{}`$ is of conductor that divides $`p^\alpha q^\beta `$ for some non-negative integers $`\alpha ,\beta `$. More precisely, the conductor of any Hecke character that gives rise to $`\rho `$ and $`\rho ^{}`$ divides $`𝔪=_{v_i}\mathrm{l}.\mathrm{c}.\mathrm{m}\{𝔭_{v_i},\mathrm{cond}(\rho ^{}|_{I_{v_i}})\}_{v_j^{}}\mathrm{l}.\mathrm{c}.\mathrm{m}\{𝔭_{v_j^{}},\mathrm{cond}(\rho |_{I_{v_j^{}}})\}`$. Here, the $`v_i`$ and the $`v_j^{}`$ are the places of $`K`$ above $`p`$ and $`q`$ respectively.

###### Proof.

This is again clear from the construction of $`\lambda `$-adic representations from Hecke characters (see  or the above review in section 2.1.2) and Lemma 2, by considering the restrictions $`\rho |_{I_{v_j^{}}}`$ and $`\rho ^{}|_{I_{v_i}}`$. ∎

Lemmas 5 and 6 reduce us to examining $`\rho ,\rho ^{}`$ that are unramified outside primes above $`p`$ and $`q`$ and the infinite places, and looking for lifts by Hecke characters that are of conductor divisible only by primes above $`p`$ and $`q`$.

### 2.3. The case $`K=`$

Before studying the general case we first study the case $`K=`$ that will highlight the essential features. Assume that $`p,q`$ are odd primes. As notation, for any prime $`p`$ we denote by $`\theta _p:=\theta _{𝔽_p}`$ the mod $`p`$ cyclotomic character and by $`\stackrel{~}{\theta }_p`$ its Teichmüller lift (we will regard the latter as a character taking values either in $`\overline{}^\times `$ or in $`\overline{}_p^\times `$).

###### Proposition 1.

Assume $`K=`$, and assume the conditions of the Lemma 4 above. Let $`k_p`$ be an integer defined mod $`p1`$ such that $`\rho |I_p=\theta _p^{k_p}`$ and let $`a_p`$ be an integer well-defined mod $`A_p:=`$ (the prime to $`q`$ part of $`p1`$) such that $`\rho ^{}|_{I_p}`$ is the reduction mod $`q`$ of $`\stackrel{~}{\theta }_p^{a_p}\psi _p`$ where $`\psi _p`$ is a character of conductor and order a power of $`p`$. Define $`k_q,a_p,B_q`$ similarly (where this time for instance $`B_q`$ is the prime to $`p`$ part of $`q1`$). The representations $`\rho `$ and $`\rho ^{}`$ arise simultaneously from a Hecke character if and only if there is an integer $`k`$ that is simultaneously congruent to $`k_pa_p`$ mod $`A_p`$ and $`k_qa_p`$ mod $`B_q`$. Note that the above conditions depends only on $`\rho |_{I_p},\rho |_{I_q},\rho ^{}|_{I_q},\rho ^{}|_{I_p}`$.

###### Proof.

We will assume (w.l.o.g. because Lemma 5 ensures this situation after twisting by an Artin character) above that $`\rho `$ and $`\rho ^{}`$ are unramified outside $`p,q`$ and the infinite place.

The Hecke characters for $``$ have a particularly simple description: they are of the form $`\epsilon \mathrm{Nm}^k`$ where $`\epsilon `$ is an Artin character, $`\mathrm{Nm}`$ is the norm character, and $`k`$ is an integer. The proof will be accomplished by analyzing mod $`p`$ and mod $`q`$ representations which arise from a character $`\chi :=\epsilon \epsilon ^{}\mathrm{Nm}^k`$ where $`\epsilon `$ is primitive of conductor a power of $`p`$, and $`\epsilon ^{}`$ is primitive of conductor a power of $`q`$ (we need only study such characters because of Lemma 6). The mod $`p`$ and mod $`q`$ (i.e., more precisely w.r.t. embeddings $`\iota _p,\iota _q`$ fixed above) characters of $`G_K`$ that arise from $`\chi `$ are $`\overline{\chi }_p:=\overline{\epsilon }_p\overline{\epsilon }_p^{}\theta _p^k`$ and $`\overline{\chi }_q:=\overline{\epsilon }_q\overline{\epsilon }_q^{}\theta _q^k`$.

We want to determine conditions on $`\rho `$ and $`\rho ^{}`$ such that there is a triple $`(\epsilon ,\epsilon ^{},k)`$ and the corresponding Hecke character $`\chi =\epsilon \epsilon ^{}\mathrm{Nm}^k`$ has the property $`\overline{\chi }_p=\rho `$ and $`\overline{\chi }_q=\rho ^{}`$, i.e., gives rise to $`\rho `$ and $`\rho ^{}`$. It will be useful first to determine to what extent $`\overline{\chi }_p`$ and $`\overline{\chi }_q`$ determines the triple $`(\epsilon ,\epsilon ^{},k)`$. For this note that $`\overline{\chi }_q|_{I_p}=\overline{\epsilon }_q|_{I_p}`$, and thus the Artin character $`\epsilon `$ which is of conductor a power of $`p`$ is determined up to characters (of conductor a power of $`p`$) that have order a power of $`q`$. This determines the wild part of $`\epsilon `$, and determines the tame part up to characters of order a power of $`q`$.

By considering $`\rho ^{}|_{I_p}`$ we get an integer $`a_p`$ that is well-defined mod $`A_p`$ (the prime to $`q`$ part of $`p1`$) such that $`\overline{\chi }_q|_{I_p}`$ is the reduction mod the place above $`q`$ (fixed by $`\iota _q`$) of $`\stackrel{~}{\theta }_p^{a_p}`$ where now $`a_p`$ can vary mod $`A_p`$ (the reduction of a power of $`\stackrel{~}{\theta }_p`$ mod $`q`$ is constant when the power varies in a congruence class mod $`A_p`$). A similar analysis applies to $`\epsilon ^{}`$ and gives an integer $`b_q`$ that is well defined mod $`B_q`$ (the prime to $`p`$ part of $`q1`$) and such that $`\overline{\chi }_p|_{I_q}`$ is the reduction mod the place above $`p`$ (fixed by $`\iota _p`$) of $`\stackrel{~}{\theta }_p^{b_q}`$ where now $`b_q`$ can vary mod $`B_q`$. Consider $`\overline{\chi }_p|_{I_p}=\theta _p^{k_p}`$ and $`\overline{\chi }_q|_{I_q}=\theta _q^{k_q}`$ where $`k_p`$ and $`k_q`$ are integers that are well-defined modulo $`p1`$ and $`q1`$ respectively by these equations.

We deduce from the above analysis, using further the fact that the abelian extension $`L`$ of $``$ which is the compositum of the fixed fields of the kernels of $`\rho `$ and $`\rho ^{}`$ is generated by the inertia groups above $`p`$ and $`q`$ in $`\mathrm{Gal}(L/)`$ ($``$ has no non-trivial unramified extensions), that there is a Hecke character $`\chi `$ with $`\overline{\chi }_p=\rho `$ and $`\overline{\chi }_q=\rho ^{}`$, if and only if there exists an integer $`k`$ that is congruent to $`k_pa_p`$ mod $`A_p`$ and $`k_qb_q`$ mod $`B_q`$. Thus we have completely explicit necessary and sufficient conditions for the existence of a $`\chi `$ such that $`\chi _p=\rho `$ and $`\chi _q=\rho ^{}`$ and these conditions depend only on $`\rho |_{I_p},\rho |_{I_q},\rho ^{}|_{I_q},\rho ^{}|_{I_p}`$. ∎

###### Remark 2.

By examining the proof we see that we have a classification of the lifts of $`\rho `$ and $`\rho ^{}`$ by Hecke characters.

### 2.4. The case of general $`K`$

We retain of course the notation of 1.1, but also of section 2.1.2 above.

The following theorem will give a general criterion for the existence of a Hecke character $`\chi `$ of $`K`$, such that

$$\overline{\chi }_p\rho \varphi \text{and}\overline{\chi }_q\rho ^{}\varphi ^{}$$

for some unramified characters $`\varphi ,\varphi ^{}`$ on $`G_K`$.

Because of Lemma 5 we may, and will, restrict ourselves to the case where $`\rho `$ and $`\rho ^{}`$ are both unramified outside $`p`$ and $`q`$.

Before stating the theorem we introduce some data attached to the given representations $`\rho `$ and $`\rho ^{}`$:

Let $`v_1,\mathrm{},v_s`$ and $`v_1^{},\mathrm{},v_t^{}`$ be the primes of $`K`$ above $`p`$ and $`q`$, respectively. Define the natural numbers $`A_i`$, $`B_j`$ by the requirements:

$$\mathrm{\#}k_{v_i}1=A_i(\text{power of }q),qA_i,$$

and similarly

$$\mathrm{\#}k_{v_j^{}}1=B_j(\text{power of }p),pB_j.$$

Let $`k_i`$ and $`k_j^{}`$ be integers such that:

$$\rho |_{I_{v_i}}=\theta _{v_i}^{k_i},i=1,\mathrm{},s,$$

$$\rho ^{}|_{I_{v_j^{}}}=\theta _{v_j^{}}^{k_j^{}},j=1,\mathrm{},t.$$

Also, there are integers $`b_j`$, well-defined modulo $`B_j`$, and a complex character $`\psi _j:I_{v_j^{}}^\times `$ of $`q`$-power order such that:

$$(\rho |_{I_{v_j^{}}})=(\stackrel{~}{\theta }_{v_j^{}}^{b_j}\mathrm{mod}p)(\psi _j\mathrm{mod}p),$$

and similarly we have integers $`a_i`$, well-defined modulo $`A_i`$, such that:

$$(\rho ^{}|_{I_{v_i}})=(\stackrel{~}{\theta }_{v_i}^{a_i}\mathrm{mod}q)(\psi _i^{}\mathrm{mod}q),$$

with a complex character $`\psi _i^{}:I_{v_i}^\times `$ of $`p`$-power order.

Finally, we shall denote by $`\mathrm{rec}_\lambda `$ the reciprocity map $`K_\lambda ^\times \mathrm{Gal}(K_\lambda ^{ab}/K_\lambda )`$.

###### Theorem 1.

Consider the above situation and suppose that integers $`n_\sigma `$, $`\sigma \mathrm{\Sigma }`$, are given. Then there exists a Hecke character $`\chi `$ of $`\mathrm{}`$-type $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma `$, and unramified characters

$$\varphi :G_K\overline{𝔽}_p^\times ,\varphi ^{}:G_K\overline{𝔽}_q^\times ,$$

such that

$`()`$
$$\overline{\chi }_p\rho \varphi \text{and}\overline{\chi }_q\rho ^{}\varphi ^{},$$

if and only if the following conditions hold:

$`(1)`$
$$k_ia_i\underset{\sigma \mathrm{\Sigma }(v_i)}{}n_\sigma p^{\kappa (v_i,\sigma )}=:\xi _i\mathrm{mod}A_i,\text{for }i=1,\mathrm{},s\text{,}$$

and

$`(1^{})`$
$$k_j^{}b_j\underset{\sigma \mathrm{\Sigma }(v_j)}{}n_\sigma q^{\kappa (v_j,\sigma )}=:\xi _j^{}\mathrm{mod}B_j,\text{for }j=1,\mathrm{},t\text{.}$$

$`(2)`$ We have

$$\underset{i}{}(\stackrel{~}{\theta }_{v_i}^{k_i\xi _i}\psi _i^{})\mathrm{rec}_{v_i}(u)\underset{j}{}(\stackrel{~}{\theta }_{v_j^{}}^{k_j^{}\xi _j^{}}\psi _j)\mathrm{rec}_{v_j^{}}(u)=\underset{\sigma \mathrm{\Sigma }}{}\sigma (u)^{n_\sigma },$$

for every totally positive global unit $`u`$.

###### Proof.

The structure of the proof is as follows. We first seek to determine the restriction of $`\chi `$ to local unit groups $`U_\lambda `$ for primes $`\lambda `$ lying above $`p`$ or $`q`$. This is done via matching the description we have from section 2.1.2 with the information coming from the behaviour of $`\rho `$ and $`\rho ^{}`$ at local inertia groups. Then Lemma 2 is invoked to give local conditions which will turn out as the conditions $`(1)`$ and $`(1^{})`$. Once these restrictions of $`\chi `$ have been determined, the existence of $`\chi `$ amounts to the global condition of Lemma 1 which will turn into condition $`(2)`$.

Proof of necessity: Assume that $`\chi `$ exists with the stated properties. According to lemma 6, $`\chi `$ is unramified outside the primes dividing $`p`$ or $`q`$, and the infinite primes. If $`\mathrm{}`$ is a prime number and $`\lambda `$ a finite prime of $`K`$, we have – retaining the notation of section 2.1.2 – that

$$\overline{\chi }_{\mathrm{}}|_{I_\lambda }=\{\begin{array}{cc}(\epsilon _\lambda \mathrm{mod}\mathrm{})\hfill & ,\text{ for }\lambda \mathrm{}\hfill \\ (\epsilon _\lambda \mathrm{mod}\mathrm{})\theta _\lambda ^{_{\sigma \mathrm{\Sigma }(\lambda )}n_\sigma \mathrm{}^{\kappa (\lambda ,\sigma )}}\hfill & ,\text{ for }\lambda \mathrm{}\hfill \end{array}$$

In particular we have for $`i=1,\mathrm{},s`$:

$$\overline{\chi }_q|_{I_{v_i}}=(\epsilon _{v_i}\mathrm{mod}q)=\rho ^{}|_{I_{v_i}}=(\stackrel{~}{\theta }_{v_i}^{a_i}\mathrm{mod}q)(\psi _i^{}\mathrm{mod}q)$$

and

$$\overline{\chi }_p|_{I_{v_i}}=(\epsilon _{v_i}\mathrm{mod}p)\theta _{v_i}^{\xi _i}=\rho |_{I_{v_i}}=\theta _{v_i}^{k_i}.$$

We conclude that the mod $`p`$ and mod $`q`$ characters

$$\theta _{v_i}^{k_i\xi _i}\text{and}(\stackrel{~}{\theta }_{v_i}^{a_i}\mathrm{mod}q)(\psi _i^{}\mathrm{mod}q)$$

of $`I_{v_i}`$ simultaneously lift to a (uniquely determined) complex character of $`I_{v_i}`$, namely $`\epsilon _{v_i}`$. On the other hand, as individual lifts of these characters are

$$\stackrel{~}{\theta }_{v_i}^{k_i\xi _i}\text{and}\stackrel{~}{\theta }_{v_i}^{a_i}\psi _i^{}$$

where $`\psi _i^{}`$ has $`p`$-power order, and as $`\stackrel{~}{\theta }_{v_i}`$ has order prime to $`p`$, we deduce from lemma 2 that the character

$$\stackrel{~}{\theta }_{v_i}^{a_ik_i+\xi _i}$$

has $`q`$-power order. This implies $`(1)`$ by the definition of $`A_i`$. Lemma 2 also gives:

$`()`$
$$\epsilon _{v_i}=\stackrel{~}{\theta }_{v_i}^{k_i\xi _i}\psi _i^{}.$$

Similarly, $`(1^{})`$ follows from the fact $`\chi `$ gives a simultaneous lift of the representations $`\rho `$ and $`\rho ^{}`$ restricted to $`I_{v_j^{}}`$, and we see that in fact

$`()`$
$$\epsilon _{v_j^{}}=\stackrel{~}{\theta }_{v_j^{}}^{k_j^{}\xi _j^{}}\psi _j.$$

Now, as $`\chi `$ is unramified outside $`pq`$ and the infinite primes, condition $`(2)`$ follows from lemma 1, $`()`$ and $`()`$.

Proof of sufficiency: Define complex characters on inertia at the primes $`v_i`$, $`i=1,\mathrm{},s`$, and $`v_j^{}`$, $`j=1,\mathrm{},t`$, according to $`()`$ and $`()`$ above. Define also $`\epsilon _\lambda `$ to be the trivial character on $`I_\lambda `$ if $`\lambda `$ is a finite prime not above $`p`$ or $`q`$.

If these characters are viewed as characters on local unit groups $`U_\lambda `$, then $`(2)`$ combined with Lemma 1 imply that these local characters are in fact restrictions to the $`U_\lambda `$ of a Hecke character $`\chi `$ with $`\mathrm{}`$-type $`_{\sigma \mathrm{\Sigma }}n_\sigma \sigma `$.

For such a $`\chi `$ we deduce, utilizing $`(1)`$ and $`(1^{})`$, and reversing the pertinent reasoning in the proof of necessity above, that the characters $`\overline{\chi }_p^1\rho `$ and $`\overline{\chi }_q^1\rho ^{}`$ vanish on every inertia group, and hence are both globally unramified. ∎

###### Remark 3.

As will be seen from the proof of the theorem, the contribution at the place $`v_i`$ to the conductor of a lift $`\chi `$ is ‘essentially’

$$\mathrm{l}.\mathrm{c}.\mathrm{m}\{𝔭_{v_i},\mathrm{cond}(\psi _i^{})\}=\mathrm{l}.\mathrm{c}.\mathrm{m}\{𝔭_{v_i},\mathrm{cond}(\rho ^{}|_{I_{v_i}})\}.$$

We say ‘essentially’ because this is definitely true if $`\psi _i^{}`$ is nontrivial. If however $`\psi _i^{}`$ is trivial the conductor is 1 or $`𝔭_{v_i}`$ depending on whether $`k_i\xi _i`$ is divisible by $`\mathrm{\#}k_{v_i}1`$ or not; however, this condition depends on the $`n_\sigma `$’s. Similar remarks apply to the places dividing $`q`$ of course.

###### Remark 4.

We chose to formulate a theorem considering only representations unramified outside $`pq`$ and the infinite primes. The reason is first of all that this is the crucial case, and secondly that we wanted to avoid an unnecessarily complicated statement. However, the observant reader will notice that our reduction to the above case via lemma 5 is not completely explicit: The behavior of an $`\epsilon `$ from lemma 5 at primes above $`p`$ or $`q`$ is not given explicitly.

However, this situation can easily be rectified, and we shall limit ourselves to some indications: If one wants to prove a statement as in theorem 1 for arbitrarily ramified representations, there are 2 possible, essentially equivalent, ways of accomplishing this. First, an inspection of the proof of theorem 1 reveals immediately that the method extends without any difficulty to the general case of arbitrary ramification: First, one would have conditions like $`(1)`$, $`(1^{})`$ for each ramification point $`w`$ not dividing $`pq\mathrm{}`$; these are purely local conditions coming directly from lemma 2. Secondly, condition $`(2)`$ would change by incorporating certain factors on the left hand side; these factors would depend on the restrictions $`\rho |_{I_w}`$ and $`\rho ^{}|_{I_w}`$ for each $`w`$ as above. We shall leave it to the reader to work out the exact form of these factors.

The second way to extend theorem 1 to the case of arbitrary ramification is to be more precise about the behavior of an $`\epsilon `$ as in lemma 5 at the primes dividing $`pq`$. A possible way to do this would be to use lemma 1 for the case $`n_\sigma =0`$ – under the assumptions of lemma 5 – to ‘shift’ (via twisting) any ramification outside $`pq\mathrm{}`$ to a prime above $`p`$ (say). After this, one could plug the data into theorem 1 and get explicit conditions. As the reader will however quickly ascertain, this method would result in exactly the same modified conditions $`(1)`$, $`(1^{})`$ and $`(2)`$ that result from the first method.

###### Remark 5.

Notice that if $`\chi _1`$ and $`\chi _2`$ are 2 Hecke characters with the same $`\mathrm{}`$-type which are both ‘solutions’ to $`()`$, i.e. have their mod $`p`$ and mod $`q`$ representations isomorphic up to twist by unramified to $`\rho `$ and $`\rho ^{}`$, respectively, then $`\chi _1`$ and $`\chi _2`$ differ by a globally unramified Artin character. For the Hecke character $`\epsilon :=\chi _1\chi _2^1`$ has trivial $`\mathrm{}`$-type, i.e. is an Artin character, and its mod $`p`$ and mod $`q`$ reductions are by hypothesis both unramified whence the claim by Lemma 2.

###### Remark 6.

The reason why we consider only ‘lifting up to unramified’ as in the Theorem above is to be found in the nature of the conditions we impose: As an analysis of the argument quickly reveals, in order to discuss exact lifting, and not just ‘up to unramified’, we would have to consider some sort of analogue to Lemma 1 but with given restrictions to decomposition groups instead of inertia groups. This ties up with the Grunwald-Wang theorem where of course the problem is that one cannot in general lift without introducing additional ramification. We have not been able to find a reasonable characterization of pairs $`(\rho ,\rho ^{})`$ with ‘exact’ lifts and doubt whether there is one. The following example – a simple counting argument – shows that in general one cannot lift an arbitrary pair of unramified characters.

Example: Suppose that $`K`$ is an imaginary quadratic field containing no other roots of unity that $`\pm 1`$. Let $`p`$ and $`q`$ be odd primes that split in $`K`$. Fix an embedding $`\sigma :K`$ and consider an $`\mathrm{}`$-type $`m\sigma +n\sigma ^c`$, with integers $`m`$ and $`n`$. We apply Theorem 1 to find the conditions on $`m`$ and $`n`$ necessary and sufficient for the existence of a Hecke character $`\chi `$ with $`\mathrm{}`$-type $`m\sigma +n\sigma ^c`$ and both $`\overline{\chi }_p`$ and $`\overline{\chi }_q`$ globally unramified. So, we apply Theorem 1 for the case $`\rho =\rho ^{}=1`$ and hence $`k_i=k_j^{}=a_i=b_j=0`$, and $`\psi _i=\psi _j^{}=1`$ for all $`i,j`$.

The conditions $`(1)`$ and $`(1^{})`$ of the theorem amount then to 4 congruence conditions on $`n`$ and $`m`$ which are seen to boil down to:

$$n,m0\mathrm{mod}C$$

where $`C:=\mathrm{l}.\mathrm{c}.\mathrm{m}.\{A,B\}`$ with $`A:=A_1=A_2`$ and $`B:=B_1=B_2`$ as in the definitions preceding the theorem. Now, $`C`$ is an even number so if $`n`$ and $`m`$ are both divisible by $`C`$, then condition $`(2)`$ of the theorem is automatically satisfied as $`\pm 1`$ are the only units in $`K`$.

So there exist Hecke characters $`\chi _1`$ and $`\chi _2`$ with $`\mathrm{}`$-types $`C\sigma `$ and $`C\sigma ^c`$, respectively, such that

$$((\overline{\chi _i})_p,(\overline{\chi _i})_q)=(\varphi _i,\varphi _i^{}),i=1,2$$

where $`\varphi _i,\varphi _i^{}`$, $`i=1,2`$, are unramified characters. Now, if $`\chi `$ is any Hecke character such that $`\overline{\chi }_p`$ and $`\overline{\chi }_q`$ are both unramified, its $`\mathrm{}`$-type has shape $`\mu C\sigma +\nu C\sigma ^c`$ with integers $`\mu `$ and $`\nu `$. Consequently, $`\chi =\epsilon \chi _1^\mu \chi _2^\nu `$ with $`\epsilon `$ an Artin character which must be globally unramified (cf. Remark 5 above).

So any pair $`(\rho ,\rho ^{})`$ of unramified mod $`p`$ and mod $`q`$ characters that lifts exactly to a Hecke character necessarily has form:

$$(\rho ,\rho ^{})=(\overline{\epsilon }_p\varphi _1^\mu \varphi _2^\nu ,\overline{\epsilon }_q(\varphi _1^{})^\mu (\varphi _2^{})^\nu )$$

with an unramified Artin character $`\epsilon `$. If the class group of $`K`$ has exponent $`\alpha `$ and order $`h`$, it follows that the number of such pairs $`(\rho ,\rho ^{})`$ is bounded by $`\alpha ^2h`$. On the other hand, if $`h`$ is not divisible by $`p`$ or $`q`$, then the total number of pairs of unramified mod $`p`$ and mod $`q`$ characters is at least $`h^2`$. Hence, if further $`h>\alpha ^2`$ there necessarily exist at least 1 such pair that does not lift ‘exactly’ to a Hecke character. As a concrete example, one can take $`K=(\sqrt{35711})`$, which has class group isomorphic to $`(/2)^3`$, and for $`p`$ and $`q`$ any two distinct odd primes that split in $`K`$.

## 3. Serre’s conjecture mod $`pq`$

This will be a speculative section on issues surrounding mod $`pq`$ versions of Serre’s conjectures in . Let $`p`$ and $`q`$ be odd primes and fix as above embeddings $`\iota _p`$ and $`\iota _q`$ of $`\overline{}`$ in $`\overline{}_p`$ and $`\overline{}_q`$ as before. Barry Mazur and Ken Ribet had investigated the question of when a pair of odd continuous irreducible mod $`p`$ and mod $`q`$ Galois representations

$$\rho :G_{}GL_2(\overline{𝔽}_p)$$

and

$$\rho ^{}:G_{}GL_2(\overline{𝔽}_q)$$

arise from a newform $`fS_2(\mathrm{\Gamma }_1(N))`$ for some level $`N`$ and with respect to the embeddings $`\iota _p`$ and $`\iota _q`$ that have been fixed. William Stein made some computations () towards this question in which the level $`N`$ was varied in order to discover a newform $`fS_2(\mathrm{\Gamma }_0(N))`$ of the desired sort.

There are certain local constraints that one must impose, and which we will come to later (see Conjecture 1 below), to expect to have an affirmative answer. It must be pointed out here that even assuming Serre’s original conjecture , i.e., assuming that $`\rho `$ and $`\rho ^{}`$ are individually modular, proving that they are simultaneously modular is a different ball game. Even after having imposed these necessary local constraints what makes this question difficult to address even computationally is that there seems no a priori way of guessing what levels $`N`$ one should be looking at (though one does know by the analysis in  what levels one should not be looking at as local constraints preclude some primes diving the levels of newforms which give rise to either of the $`\rho `$ or $`\rho ^{}`$!). Unlike the situation in Serre’s conjecture where he did specify a minimal level at which a representation like $`\rho `$ should be found (before Ribet et al, cf. , proved this $`ϵ`$-conjecture one did not even know whether there existed a minimal level even without caring about what it exactly was), there does not seem to be a “minimal level” $`N_{\rho ,\rho ^{}}`$ at which $`\rho `$ and $`\rho ^{}`$ should arise from a newform $`fS_2(\mathrm{\Gamma }_1(N_{\rho ,\rho ^{}}))`$, i.e., all other levels $`M`$ at which $`\rho `$ and $`\rho ^{}`$ arise from a newform in $`S_2(\mathrm{\Gamma }_1(M))`$ should be divisible by $`N_{\rho ,\rho ^{}}`$.

There is one natural guess for which levels $`N`$ one can look at which unfortunately is very unlikely to be correct. Let $`N(\rho )`$, resp., $`N(\rho ^{})`$, be the prime to $`p`$, resp., prime to $`q`$, part of the Artin conductor of $`\rho `$, resp. $`\rho ^{}`$. Then we can try to look for the desired newform from which $`\rho ,\rho ^{}`$ arise simultaneously in $`S_2(\mathrm{\Gamma }_1(N(\rho )N(\rho ^{})p^\alpha q^\beta ))`$ where $`\alpha ,\beta `$ vary. The reason why this is unlikely to work is that there are only finitely many $`\alpha ,\beta `$ such that there will exist a newform $`fS_2(\mathrm{\Gamma }_1(N(\rho )N(\rho ^{})p^\alpha q^\beta ))^{new}`$ that can give rise both $`\rho `$ and $`\rho ^{}`$. This follows from the analysis in  which gives that if $`\rho `$ (resp., $`\rho ^{}`$) arises from $`S_2(\mathrm{\Gamma }_1(N(\rho )N(\rho ^{})p^\alpha q^\beta ))^{new}`$ then $`\beta `$ (resp., $`\alpha `$) is bounded. (Note that on the contrary by Lemme 1 of  $`\rho `$, resp. $`\rho ^{}`$, does arise from $`S_2(\mathrm{\Gamma }_1(N(\rho )p^\alpha ))^{new}`$, resp., $`S_2(\mathrm{\Gamma }_1(N(\rho ^{})q^\beta ))^{new}`$ for all $`\alpha 2`$, resp., $`\beta 2`$.) Further again unlike the situation for a single representation $`\rho `$, if there does exist a newform $`f`$ which gives rise to $`\rho `$ and $`\rho ^{}`$, it is not clear that there are infinitely many, i.e., there is no known way that one can systematically raise levels mod $`pq`$ unlike in the case of mod $`p`$ representations where a complete study is available because of the work of Ribet (cf. ) and others.

In the questions raised by Mazur and Ribet and the subsequent computations of William Stein only the level aspect of this question was considered. In the following paragraphs we discuss the “weight aspect”.

Suppose for simplicity for this paragraph that $`\rho `$ and $`\rho ^{}`$ arise individually (with respect to the embeddings $`\iota _p,\iota _q`$) from newforms of level $`N`$ in $`S_k(\mathrm{\Gamma }_0(N))`$ with $`N`$ squarefree and $`(N,pq)=1`$. (This ensures that the necessary local conditions of Conjecture 1 below are satisfied.) Then we can ask if they arise simultaneously from a newform $`fS_k^{}(\mathrm{\Gamma }_0(N))`$ for some $`k^{}>>0`$. Unlike the previous paragraph this is more difficult to rule out as for all $`k^{}`$ congruent to $`k`$ mod $`\mathrm{l}.\mathrm{c}.\mathrm{m}.(p1,q1)`$ the $`\rho `$ and $`\rho ^{}`$ individually do arise from $`S_k^{}(\mathrm{\Gamma }_0(N))`$. This of course can be seen by multiplication by powers of the normalized Eisenstein series $`E_{p1}`$ and $`E_{q1}`$ (Hasse invariants mod $`p`$ and mod $`q`$) that are congruent to 1 mod $`p`$ and 1 mod $`q`$ respectively and then applying the mod $`p`$ or mod $`q`$ Deligne-Serre lifting lemma, or better still in the present context by multiplication by a suitable power of the souped up “mod $`pq`$ Hasse invariant”

$$E_{\mathrm{l}.\mathrm{c}.\mathrm{m}.(p1,q1)}=1\frac{2(\mathrm{l}.\mathrm{c}.\mathrm{m}.(p1,q1))}{B_{\mathrm{l}.\mathrm{c}.\mathrm{m}.(p1,q1)}}.\underset{n1}{}\sigma _{\mathrm{l}.\mathrm{c}.\mathrm{m}.(p1,q1)1}(n)q^n$$

(where by $`B_k`$ we mean the $`k`$th Bernoulli number and $`\sigma _k(n)=_{dn}d^k`$) which by the von-Staudt-Clausen theorem is congruent to 1 mod $`pq`$. Unfortunately there is no mod $`pq`$ Deligne-Serre lifting lemma, and so we do not know and perhaps do not even expect that there is any periodicity with respect to weight of newforms in $`S_k(\mathrm{\Gamma }_0(N))`$ which give rise to $`\rho `$ and $`\rho ^{}`$ simultaneously.

It will be interesting to investigate the issues raised in the paragraph computationally. What makes the possibility of $`\rho `$ and $`\rho ^{}`$ arising simultaneously from $`S_k^{}(\mathrm{\Gamma }_0(N))`$ attractive is that arithmetically the weight is just one parameter (or automorphically, the component at the archimedean place) while if we were to look at $`S_k(\mathrm{\Gamma }_0(N))`$ for fixed $`k`$ and varying $`N`$ we would have to allow $`N`$ to be divisible by varying primes (as follows from the analysis in ), so arithmetically vary infinitely many independent parameters (or automorphically, vary infinitely many non-archimedean local components).

In  one set of local constraints for $`\rho `$ and $`\rho ^{}`$ to arise simultaneously from a newform were highlighted: this may be called the semistable case. We will formulate here a finer mod $`pq`$ Serre conjecture.

Given a (algebraic) Weil-Deligne parameter $`(\tau _{\mathrm{}},N_{\mathrm{}})`$ (for this see ) with $`\tau _{\mathrm{}}:W_{_{\mathrm{}}}GL_2(\overline{})`$ a continuous representation of $`W_{_{\mathrm{}}}`$, the Weil group of $`_{\mathrm{}}`$, with the target given the discrete topology, and $`N_{\mathrm{}}`$ a nilpotent matrix in $`M_2(\overline{})`$, and $`p\mathrm{}`$ is a prime then the corresponding 2-dimensional $`p`$-adic representation $`(\tau _{\mathrm{}},N_{\mathrm{}})_p:\mathrm{Gal}(\overline{}_{\mathrm{}}/_{\mathrm{}})GL_2(\overline{}_p)`$ is:

* $`N_{\mathrm{}}=0`$, $`\tau _{\mathrm{}}`$ reducible: $`\tau _{\mathrm{}}=\epsilon _1\epsilon _2`$, the sum of a pair of quasicharacters of the Weil group $`W_{_{\mathrm{}}}`$ taking values in $`\overline{}^\times `$, then $`(\tau _{\mathrm{}},N_{\mathrm{}})_p:=\epsilon _{1,p}\epsilon _{2,p}`$, and $`\epsilon _{1,p},\epsilon _{2,p}`$ the corresponding $`p`$-adic characters arising via the fixed embedding $`\iota _p:\overline{}\overline{}_p`$.
* $`N_{\mathrm{}}=0`$, $`\tau _{\mathrm{}}`$ irreducible: then up to twisting by a character $`\epsilon :W_{_{\mathrm{}}}\overline{}^\times `$, $`\tau _{\mathrm{}}`$ has finite image. Then $`(\tau _{\mathrm{}},N_{\mathrm{}})_p:=(\tau _{\mathrm{}}\epsilon )_p\epsilon _p^1`$ with $`(\tau _{\mathrm{}}\epsilon )_p`$ the embedding of the finite image of $`\tau _{\mathrm{}}\epsilon `$ in $`GL_2(\overline{})`$ into $`GL_2(\overline{_p})`$ and $`\epsilon _p`$ the $`p`$-adic character corresponding to $`\epsilon `$ arising via the fixed embedding $`\iota _p:\overline{}\overline{}_p`$.
* $`N_{\mathrm{}}0`$: then $`\tau _{\mathrm{}}`$ is forced to be of the form $`\epsilon \epsilon ||||`$ with $`\epsilon `$ a quasicharacter of the Weil group $`W_{_{\mathrm{}}}`$ taking values in $`\overline{}^\times `$ and $`||||`$ the “norm character” (i.e., unramified character with $`\mathrm{Frob}_{\mathrm{}}=\mathrm{}`$) then $`(\tau _{\mathrm{}},N_{\mathrm{}})_p`$ is $`\left(\begin{array}{cc}\epsilon _p||||_p& 0\\ 0& \epsilon _p\end{array}\right)\mathrm{exp}(N_{\mathrm{}}t_p)`$ : here $`\epsilon _p`$ is the $`p`$-adic character corresponding to $`\epsilon `$ w.r.t. the embedding $`\iota _p:\overline{}\overline{}_p`$ as before, $`t_p`$ is the homomorphism of the Galois group of the maximal tamely ramified extension of $`𝐐_{\mathrm{}}`$ which arises by projecting first to $`I_{\mathrm{}}^t`$, the tame inertia at $`\mathrm{}`$ (i.e., after choosing a Frobenius $`\sigma `$, $`\sigma ^n\tau \tau `$ where $`\tau I_{\mathrm{}}^t`$), followed by a $`_p`$-valued homomorphism of $`I_{\mathrm{}}^t`$ which is the projection to the unique $`_p`$ quotient of $`I_{\mathrm{}}^t`$ and $`||||_p`$ is the $`p`$-adic cyclotomic character (the isomorphism class of $`(\tau _{\mathrm{}},N_{\mathrm{}})_p`$ is independent of the choices made).

###### Conjecture 1.

Let $`\rho :G_{}GL_2(\overline{𝔽}_p)`$ and $`\rho ^{}:G_{}GL_2(\overline{𝔽}_q)`$ be continuous, odd, absolutely irreducible representations and assume that $`\rho `$ is unramified at $`q`$ and $`\rho ^{}`$ is unramified at $`p`$. Let $`k(\rho )`$ and $`k(\rho ^{})`$ be the Serre invariants of $`\rho ,\rho ^{}`$ as in . Then $`\rho `$ and $`\rho ^{}`$ are the reductions mod $`p`$ and mod $`q`$ of the $`p`$-adic and $`q`$-adic representations (w.r.t. $`\iota _p,\iota _q`$) attached to a newform in $`S_k(\mathrm{\Gamma }_1(N))`$ for some integer $`k2`$ and some positive integer $`N`$ with $`(N,pq)=1`$ if and only if

* there is an integer congruent to $`k(\rho )`$ mod $`p1`$ and $`k(\rho ^{})`$ mod $`q1`$,
* and further for every prime $`\mathrm{}p,q`$, there is a (algebraic) Weil-Deligne parameter $`(\tau _{\mathrm{}},N_{\mathrm{}})`$ and a choice of integral models for $`(\tau _{\mathrm{}},N_{\mathrm{}})_p`$ and $`(\tau _{\mathrm{}},N_{\mathrm{}})_q`$ such that their mod $`p`$ and mod $`q`$ reductions are isomorphic to $`\rho |_D_{\mathrm{}}`$ and $`\rho ^{}|_D_{\mathrm{}}`$ respectively.

Discussion of the conjecture: The main feature of the conjecture is that the conditions are local (recall that in  the definition of $`k(\rho ),k(\rho ^{})`$ is purely in terms of $`\rho |_{I_p},\rho ^{}|_{I_q}`$). The condition in the conjecture at primes $`\mathrm{}`$ is empty for $`\mathrm{}`$ that are $`p,q`$ and unramified in both $`\rho `$ and $`\rho ^{}`$, and thus there are only finitely many conditions that need to be checked as per the conjecture. The restriction that $`\rho `$ is unramified at $`q`$ and $`\rho ^{}`$ is unramified at $`p`$ is a technical restriction which arises from the difficulties of studying mod $`p`$ representation restricted to $`D_p`$ arising from newforms with levels divisible by powers of $`p`$ (there are some results towards this in  and ): it will be nice to remove this technical restriction and refine the above conjecture to allow $`\rho `$ and $`\rho ^{}`$ to be ramified at $`q`$ and $`p`$ respectively.

As the referee has remarked, in general the local constraints in the conjecture are non-empty: We can find distinct primes $`\mathrm{}`$, $`p`$ and $`q`$, and representations $`\rho :G_{}GL_2(\overline{𝔽}_p)`$, $`\rho ^{}:G_{}GL_2(\overline{𝔽}_q)`$ such that $`\rho `$ has conductor divisible exactly by $`\mathrm{}^3`$ whereas $`\rho ^{}`$ is unramified at $`\mathrm{}`$. The results due to Carayol  show that the pair $`(\rho ,\rho ^{})`$ definitely can not arise from a modular form.

We could make a more optimistic conjecture and fix a weight $`k2`$ congruent to $`k(\rho )`$ mod $`p1`$ and $`k(\rho ^{})`$ mod $`q1`$, and ask that $`\rho `$ and $`\rho ^{}`$ arise from $`S_k(\mathrm{\Gamma }_1(N))`$ for some (variable) $`N`$ prime to $`pq`$ (as in ), or we can fix $`N`$ prime to $`pq`$ and divisible by $`N(\rho )`$ and $`N(\rho ^{})`$, the prime-to-$`p`$ and prime-to-$`q`$ parts of the Artin conductors of $`\rho `$ and $`\rho ^{}`$ respectively, and ask that $`\rho `$ and $`\rho ^{}`$ arise from $`S_k(\mathrm{\Gamma }_1(N))`$ for some (variable) $`k`$ as in the discussion above. We can also weaken the conjecture and instead of asking that $`\rho `$ and $`\rho ^{}`$ arise from a common newform with respect to fixed embeddings $`\iota _p,\iota _q`$, allow these embeddings to vary, or alternatively ask that $`\rho `$ and $`\rho ^{}`$ arise simultaneously (w.r.t. the fixed embeddings $`\iota _p`$ and $`\iota _q`$) from the Galois orbit of a newform $`f`$.

One can also formulate a conjecture entirely analogous to Conjecture 1 for compatible lifts of $`\rho `$ and $`\rho ^{}`$ to $`p`$-adic and $`q`$-adic representations of $`G_{}`$, which we leave as an exercise for the interested reader. As was pointed out in  such a conjecture has relevance to Serre’s original conjecture in  because of the modularity lifting theorems of Wiles et al.

In connection with Conjecture 1 it is important to notice that the weight $`k`$ may very well depend on the choice of primes of $`\overline{}`$ over $`p`$ and $`q`$. The following simple example illustrates this.

Example: Suppose that $`f`$ and $`f^{}`$ are two newforms on $`\mathrm{SL}_2()`$ of some weight $`k`$ and let $`\rho `$ and $`\rho ^{}`$ be the mod $`p`$ and mod $`q`$ representations attached to $`f`$ and $`f^{}`$, respectively. The conditions of Conjecture 1 are then satisfied so that the Conjecture would have $`\rho `$ and $`\rho ^{}`$ arising from a newform $`FS_m(\mathrm{\Gamma }_1(N))`$ for some $`m2`$ and some $`N`$ prime to $`pq`$.

To illustrate with a simple example that the possible weights $`m`$ may depend on our choice of primes over $`p`$ and $`q`$, suppose that $`p=5`$, $`q=7`$, and that $`f`$ and $`f^{}`$ are the 2 newforms of weight 24 and level 1:

$$f=24\alpha \mathrm{\Delta }^2+Q^3\mathrm{\Delta }\text{and}f^{}=24\alpha ^{}\mathrm{\Delta }^2+Q^3\mathrm{\Delta }$$

with $`\{\alpha ,\alpha ^{}\}:=\{13/2\pm \sqrt{144169}/2\}`$. The primes 5 and 7 both split in the quadratic field $`(\sqrt{144169})`$, say $`5=𝔭_5𝔭_5^{}`$ and $`7=𝔭_7𝔭_7^{}`$. Now, $`\mathrm{\Delta }`$ is congruent mod $`𝔭_7`$ to either $`f`$ or $`f^{}`$. Let us assume notation so that $`\mathrm{\Delta }f(𝔭_7)`$. As $`Q1(5)`$ we have then

$$\mathrm{\Delta }f(𝔭_5),\mathrm{\Delta }f^{}(𝔭_7^{}).$$

On the other hand, as $`\alpha \alpha ^{}`$ is divisible by 5 we have

$$f^{}f(𝔭_5),f^{}f^{}(𝔭_7)$$

and $`f^{}`$ is the solution to these congruences with smallest possible weight.

###### Remark 7.

Unlike the case of 1-dimensional mod $`pq`$ representations (see Lemma 6) one would expect that there are modular forms of levels divisible by arbitrarily many primes that give rise to $`\rho `$ and $`\rho ^{}`$ if the local conditions are met (this is substantiated by the tables in ). Here the point is that one can attempt to raise levels at primes that are “Steinberg” for $`\rho `$ and $`\rho ^{}`$ and Steinberg lifts have the property that the image of inertia is unipotent and hence infinite. Thus Lemma 2 on which Lemma 6 relies does not apply.

###### Remark 8.

A mod $`pq`$ descent result of the type suggested in Remark 1 is not true for 2-dimensional representations even in the simplest case when $`K/`$ is a quadratic extension. The principle for constructing a counterexample is the following: Consider representations $`\rho `$ and $`\rho ^{}`$ as above such that $`\rho `$ is ramified at a prime $`\mathrm{}p,q`$ and $`>2`$, and $`\mathrm{}`$ is not congruent to $`\pm 1`$ either mod $`p`$ or mod $`q`$, with the image of inertia $`\rho (I_{\mathrm{}})`$ non-trivial and unipotent, $`\rho ^{}`$ unramified at $`\mathrm{}`$ and such that $`\rho ^{}(\mathrm{Frob}_{\mathrm{}})`$ has eigenvalues with ratio $`\mathrm{}`$. Let $`\rho _{\mathrm{}}:=\rho |_D_{\mathrm{}}`$ and $`\rho _{\mathrm{}}^{}:=\rho |_D_{\mathrm{}}`$. Then it is easy from local computations at $`\mathrm{}`$ that use structure of tame inertia to see that while $`\rho _{\mathrm{}}`$ and $`\rho _{\mathrm{}}^{}`$ cannot arise from a single Weil-Deligne representation $`(\tau ,N)`$ as above, the restriction of $`\rho _{\mathrm{}}`$ and $`\rho _{\mathrm{}}^{}`$ to the absolute Galois group of the unramified quadratic extension of $`_{\mathrm{}}`$ can arise in this way. From this it is easy to construct counterexamples remarking that if $`\rho `$ and $`\rho ^{}`$ are irreducible on restriction to a quadratic extension $`K`$ of $``$ (with $`\mathrm{}`$ inert in $`K`$), the extensions of $`\rho |_{G_K}`$ and $`\rho ^{}|_{G_K}`$ to $`G_{}`$ are unique up to twisting by characters, and the condition that $`\rho ^{}(\mathrm{Frob}_{\mathrm{}})`$ has eigenvalues with ratio $`\mathrm{}`$ is invariant under twisting. (The case of solvable mod $`p`$ automorphic descent for 2-dimensional representations is the main theorem of .)

###### Remark 9.

In a recent preprint of Manoharmayum  results towards Serre’s conjecture mod 6 are proven.

Acknowledgement: The authors wish to thank the referee for a number of remarks that helped improve the presentation.