Math 481

Functional Analysis 1
MARK P. LAURENTE
Reporter
Chapter 2: COMPLETENESS
Introduction
The validity of many important theorems of analysis depends on the com-
pleteness of the systems with which they deal. This accounts for the in-
adequacy of the rational number system and of the Riemann integral (to
mention just the two best-known examples) and for the success encountered
by their replacements, the real numbers and the Lebesgue integral. Baires
theorem about complete metric spaces (often called the category theorem)
is the basic tool in this area. In order to emphasize the role played by the
concept of category, some theorems of this chapter (for instance, Theorems
2.7 and 2. 1 1) are stated in a little more generality than is usually needed.
When this is done, simpler versions (more easily remembered but sucient
for most applications) are also given.
Baire Category
Denition 2.1. Let S be a topological space.
1. A set E S is said to be nowhere dense if its closure E has an empty
interior, i.e.,
E S is nowhere dense int(E) = .
2. The sets of the rst category in S are those that are countable unions
of nowhere dense sets, i.e,
E S is of the rst category in S E =

n=1
E
i
,
where E
i
is nowhere dense i = 1, 2, 3, ....
1
3. Any subset of S that is not of the rst category is said to be of the
second category in S.
Remark 2.1.1. This terminology (due to Baire) is admittedly rather bland
and unsuggestive. Meager and nonmeager have been used instead in some
texts. But category arguments are so entrenched in the mathematical
literature and are so well known that it seems pointless to insist on a change.
Proposition 2.1.2 (Properties of Category). Let S be a topological
space.
1. If A B and B is of the rst category in S, so is A.
2. Any countable union of sets of the rst category is of the rst category.
3. Any closed set E S whose interior is empty is of the rst category
in S.
4. If h is a homeomorphism of S onto S and if E S, then E and h(E)
have the same category in S.
Proof:
Let S be a topological space.
1. Suppose that A B and B is of the rst category in S. Then
A B =

i=1
E
i
,
where E
i
is nowhere dense i = 1, 2, 3, .... Note that A =

i=1
(A E
i
).
Claim: A E
i
is nowhere dense i = 1, 2, 3, ....
Observe that for each i = 1, 2, 3, ...,
int(A E
i
) = int(A E
i
)
int(A) int(E
i
)
= int(A)
= .
2
Hence, int(A E
i
) = and so by Denition 2.1, A E
i
is nowhere
dense i = 1, 2, 3, .... Consequently, A =

i=1
(A E
i
) is of the rst
category in S.
2. Let A =

i=1
B
i
, where B
i
is of the rst category i = 1, 2, 3, .... Then
for each i = 1, 2, 3, ..., we have B
i
=

j=1
E
ij
, where E
ij
is nowhere
dense j = 1, 2, 3, .... Thus,
A =

i=1
B
i
=

i=1

j=1
E
ij
,
so that A is a countable union of nowhere dense sets. Consequently, A
is of the rst category in S.
3. Let E S be a closed set whose interior is empty. Then E = E, so
that int(E) = int(E) = . Hence, E is nowhere dense. Since E is the
union of itself, we say that E is of the rst category in S.
4. Let h : S S be a homeomorphism and E S.
Claim 1: E is of the rst category in S h(E) is of the rst category
in S.
(=) Suppose that E is of the rst category in S. Then E =

n=1
E
i
,
where E
i
is nowhere dense i = 1, 2, 3, .... Thus, int(E
i
) =
i = 1, 2, 3, .... Note that
h(E) = h(

n=1
E
i
) =

n=1
h(E
i
).
Now, for each i = 1, 2, 3, ..., we have
x int(h(E
i
)) = x int(h(E
i
)) since h is a homeomorphism
= x {O h(E
i
) : O is open}
= x O for some open set O h(E
i
)
= h
1
(x) h
1
(O) E
i
= h
1
(x) {h
1
(O) E
i
: O is open}
= h
1
(x) int(E
i
) since each h
1
(O) is open
= x h(int(E
i
)).
Thus, for each i = 1, 2, 3, ..., we have
int(h(E
i
)) h(int(E
i
)) = h() = .
3
This implies that int(h(E
i
)) = for each i = 1, 2, 3, ..., and so h(E
i
)
is nowhere dense. Consequently, h(E) is of the rst category in S.
(=) (Proven similarly, after interchanging E and h(E) and using the
homeomorphism h
1
.)
Claim 2: E is of the second category in S h(E) is of the sec-
ond category in S.
(Follows immediately from the contrapositive of Claim 1.)

Theorem 2.2 (Baires Theorem). If S is either

(a) a complete metric space, or
(b) a locally compact Hausdor space,
then the intersection of every countable collection of dense open subsets of
S is dense in S.
(Recall: The following are equivalent:
1. D is dense in X;
2. Each nonempty (basic) open set in X contains an element of D; and
3. The complement of D has empty interior.)
Proof: Suppose that V
1
, V
2
, V
3
, ... are dense open subsets of S and B
0
is
an arbitrary nonempty open set in S.
(a) Claim 1: If S is a complete metric space, then

n=1
V
n
is dense in S.
Since V
1
is dense in S, V
1
B
0
= . Let x
1
V
1
B
0
. Since V
1
B
0
is open, there exists an open ball B
1
with suciently small radius r
1
,
0 < r
1
< 1, such that
B
1
V
1
B
0
.
4
Since B
1
is open and V
2
is dense in S, V
2
B
1
is a nonempty open subset
of S. Hence, there exists x
2
V
2
B
1
and an open ball B
2
centered at
x
2
with radius r
2
, 0 < r
2
< 1/2 such that
B
2
V
2
B
1
.
Continuing in this manner, we obtain a sequence B
n
of open sets
B
1
, B
2
, B
3
, ... with the property that for each n = 1, 2, 3, ...,
B
n
V
n
B
n1
.
Observe also that for each n = 1, 2, 3, ...,
B
n
B
n
V
n
B
n1
B
n1
,
so that
B
1
B
2
B
3
...,
where B
n
has radius r
n
, 0 < r
n
< 1/n and center x
n
.
Now, consider the sequence x
n
. Let > 0. Then there exists N Z
+
such that 0 < 2/N < . Since B
n
is descending, it follows that for all
m, n N, we have x
m
, x
n
, B
N
so that
d(x
m
, x
n
) d(x
m
, x
N
) +d(x
N
, x
n
) < 1/N + 1/N = 2/N < ,
where d is the metric in S. Thus, x
n
is a Cauchy sequence in S. Since
S is complete, x
n
x for some x S. Now, for each n, B
n
is closed
and x
k
B
n
for all k n, and so x B
n
for all n = 1, 2, 3, .... Thus,
x

n=1
B
n
. Consequently,
x

n=1
B
n
V
n
for all n = 1, 2, 3, ... and
x

n=1
B
n
B
1
V
1
B
0
B
0
.
Thus, x (

n=1
V
n
) B
0
and since B
0
is arbitrary, we say that

n=1
V
n
is dense in S.
5
(b) Claim 2: If S is a a locally compact Hausdor space, then

n=1
V
n
is
dense in S.
Since V
1
is dense in S, V
1
B
0
= . That is, there exists x
1
V
1
B
0
.
Since V
1
B
0
is open, there exists a neighborhood B
1
of x
1
such that B
1
is compact and
B
1
V
1
B
0
.
Since V
2
is dense in S, V
2
B
1
= , so that there exists x
2
V
2
B
1
.
Since V
2
B
1
is open, we can again nd a neighborhood B
2
of x
2
such
that B
2
is compact and
B
2
V
2
B
1
.
Continuing in this manner, we obtain a sequence B
n
of open sets
B
1
, B
2
, B
3
, ... with the property that for each n = 1, 2, 3, ...,
B
n
V
n
B
n1
.
Observe also that for each n = 1, 2, 3, ..., B
n
is compact and
B
n
B
n
V
n
B
n1
B
n1
,
so that
B
1
B
2
B
3
....
Since every subset of a compact set is compact, the fact that

n=1
B
n

B
n
implies that

n=1
B
n
is compact. Thus,

n=1
B
n
= , i.e., there exists
x S such that
x

n=1
B
n
V
n
for all n = 1, 2, 3, ... and
x

n=1
B
n
B
1
V
1
B
0
B
0
.
Thus, x (

n=1
V
n
) B
0
and since B
0
is arbitrary, we say that

n=1
V
n
is dense in S.

Remark 2.2.1. Baires Theorem is often called the category theorem for the
following reason:
6
If E
i
is a countable collection of nowhere dense subsets of S, and if V
i
is
the complement of E
i
, then we have
V
i
= CE
i
= int(CV
i
) = int(E
i
) = .
This shows that V
i
is dense, and so by the Baires Theorem,

n=1
V
n
= .
Consequently,

n=1
V
n
= C(

n=1
E
i
) =
so that S =

n=1
E
i
. Furthermore, S =

n=1
E
i
. Since E
i
is arbitrary, the
preceding statement implies that S cannot be the union of a countable col-
lection of nowhere dense sets in S.
Therefore, complete metric spaces, as well as locally compact Hausdor spaces,
are of the second category in themselves.
The Banach-Steinhaus Theorem
Denition 2.3 (Equicontinuity). Suppose X and Y are topological vec-
tor spaces and is a collection of linear mappings from X into Y . We
say that is equicontinuous if to every neighborhood W of
Y
in Y there
corresponds a neighborhood V of
X
in X such that (V ) W for all .
Remark 2.3.1.
1. If contains only one , equicontinuity is, of course, the same as con-
tinuity (Theorem 1.17).
Recall: THEOREM 1.17. Let X and Y be topological vector spaces.
If : X Y is linear and continuous at
X
, then is continuous.
In fact, is uniformly continuous, in the following sense : To each
neighborhood W of
Y
in Y corresponds a neighborhood V of
X
in X
such that
y x V = x y W.
2. We already saw (Theorem 1. 32) that continuous linear mappings are
bounded. Equicontinuous collections have this boundedness property
7
in a uniform manner (see next result, Theorem 2.4). It is for this rea-
son that the Banach-Steinhaus theorem (2.5) is often referred to as the
uniform boundedness principle.
Theorem 2.4. Suppose X and Y are topological vector spaces, is an
equicontinuous collection of linear mappings from X into Y , and E is a
bounded subset of X. Then Y has a bounded subset F such that (E) F
for every .
(Recall: A subset E of a TVS X is said to be bounded if for every neigh-
borhood N of , there exists r > 0 such that E tN for all t r.)
Proof:
Let be an equicontinuous collection of linear mappings from X into Y and
E X be bounded. Then for each , (E) Y .
Put F =

(E). Clearly, F Y and (E) F for all . Hence,

we are now left to show that F is bounded.
Let W be a neighborhood of
Y
. Since is equicontinuous, there exists
a neighborhood V of
X
such that (V ) W for all . Since E is
bounded, E tV for all suciently large t. Hence, for these t, and for all
, we have
(E) (tV )
= t(V ) since is linear
= tW since (V ) W.
This means that for all suciently large t,
F =

(E),
and we see that F is bounded.