Topics in analytic number theory, Lent 2013.

Lecture 5: Functional equation, class number

Bob Hough
February 1, 2013
General reference for this lecture: Davenport, Chaps 8, 9.

Functional equation, continued:

We recall several objects from last lecture. Let be a primitive character
modulo q. We say that is even if (1) = 1 and odd if (1) = 1. The
completed L function associated to is
(s, ) = ((s + a)/2)(q/)(s+a)/2 L(s, )
where a = 0 if is even and a = 1 if is odd. The associated theta functions is
X
2 2
(x) =
(n)e q n x ,
even
nZ

(x) =

n(n)e

2 2
q n x

odd.

nZ

Recall that we set (1)

=
Gauss sum.

1
q

a mod q

(a)e(a/q) =

()
,
q

where () is the

Theorem 5.1 (Functional equation). Let mod q be a primitive character.

The completed L-function (s, ) is an entire function. We have
(s, ) = (1)(1

s, ),

even,

(s, ) = i(1)(1

s, ),

odd.

Proof. The Gamma function is defined, for <(s) > 0, by

Z
dx
(s) =
ex xs .
x
0
Thus,
1
(s/2) =
2
and so

ex xs

1
(q/)s/2 |n|s (s/2) =
2
1

Z
0

dx
x

e q x

n2 s dx

In the even case, for <(s) > 1 we sum over n, and then exchange the order of
summation and integration, this justified because sum and integral together are
absolutely convergent (Fubinis theorem):
Z
Z
X
2 2
dx
dx
(n)
(q/)s/2 (s/2)L(s, ) =
e q x n xs
=
(x)xs .
x
x
0
0
nZ

Split the integral at 1, and apply the automorphy of the function to conclude
Z 1
Z
dx
dx
+ (1)

(s, ) =
(1/x)xs1
(x)xs
x
x
Z1
Z0
dx
dx
=
(x)xs
+ (1)

(x)x1s .
x
x
1
1
2

The theta function decays exponentially as x [ (x) = O(e/qx )], so

that this gives an analytic extension of (s, ) to the whole plane s C. Also,
(1), which proves the functional equation (s, ) = (1)(1
(1)

s, ).
In the odd case we have, for <(s) > 2,
Z
X
2 2
dx
(s 1, ) =
n(n)
e q x n xs .
x
0
nZ

Following the steps of above, we deduce that this is equal to

Z
Z
dx
dx
i(1)

(1/x)x3s
(x)xs
x
x
1
1
and we deduce as before the analytic continuation and the functional equation
(s 1, ) = i(1)(2

s, ).
The proof of the functional equation for the Riemann zeta contains an extra
difficulty because of the pole at 1. In analogy with the case above, introduce
the theta function
X
2 2
(x) =
ex n .
nZ

The same proof, using Poisson summation, shows that

(x) =

1 1
( ).
x x
2

Now notice that as x , (x) = 1 + O(ex ), since the n = 0 term is

2
present, while as x 0, the asymptotic is (x) = 1/x + O(e/x /x).
Theorem 5.2. The Riemann function is defined by
(s) =

1
s(s 1) s/2 (s/2)(s)
2

We have (s) is entire, and satisfies the functional equation (s) = (1 s).

Proof. When <(s) > 1 we may write, as we did for even ,

Z
dx
s/2 (s/2)(s) =
((x) 1)xs .
x
0
Note that we have subtracted 1 to kill the n = 0 term. Evidently there will be
an issue of convergence if <(s) 1 from the region where x 0. To correct
this, consider instead
Z 1
Z
dx
1
1
s dx
+
= s/2 (s/2)(s) +
.
((x) 1/x)x
((x) 1)xs
x
x
s
s

1
0
1
Making the change x 7 1/x in the first integral, the left hand side is equal to
Z
Z
dx
dx
((x) 1)x1s
+
((x) 1)xs ,
x
x
1
1
which now converges for all s C, giving the analytic continuation. Also, this
is plainly symmetric in s 7 1 s. The functional equation for (s) now follows,
since the factor 21 s(s 1) also is symmetric in s 7 1 s.

Class number formula:

We now tie up a loose end by describing the class number formula in the special
case of quadratic number fields.
The general situation is as follows. Let K be a number field, having r1 real
embeddings and 2r2 complex embeddings. Let the ring of integers be O. Given
an ideal a O, the norm is defined by N (a) = #{O/a}. This is multiplicative.
Generalizing the Riemann zeta function, the Dedekind zeta function of K is
defined, for <(s) > 1, by
X 1
.
K (s) =
N as
aO

This has a factorization as an Euler product over prime ideals of O (this encodes
unique factorization of ideals in K):
Y
K (s) =
(1 N (p)s )1 .
pO

One may show that K (s) has a meromorphic continuation to all of C and
satisfies a functional equation relating s and 1 s. In his course on Algebraic
Number Theory (Michaelmas, 2012) Prof. Scholl showed this, and proved the
analytic class number formula
lim

s0

K (s)
hK R K
=
.
sr1 +r2 1
wK

Here hK is the size of the ideal class group (fractional ideals/principal ideals)
RK is the regulator, which may be thought of as the lattice volume of the
logarithms of units in the free part of the unit group, and wK is the number of
roots of unity contained in K. We wont discuss the proof now, although we
may return to the simplest case of imaginary quadratic fields later in the course,
when we discuss the class number further.
3

We now specialize our discussion to the case of quadratic fields. Let D be the
discriminant, and recall that p O either splits, ramifies, or is inert, depending
on (D/p) = 1, 0, 1. Since a split or ramified prime has norm p, while an inert
prime has norm p2 , we see that the local factor in the Dedekind zeta function
corresponding to primes dividing p is given by either (1 ps )2 , (1 ps )1
or (1 p2s )1 . Regardless, this is equal to (1 ps )1 (1 (D/p)ps )1 . Thus
we deduce the factorization
K (s) = (s)L(s, (D/)).
We remark that (0) = 1/2, as may be checked from its functional equation,
so that the analytic class number formula reads
L(s, (D/))
2hK RK
=
.
r
+r
1
1
2
s0 s
wK
lim

In the case that K is imaginary quadratic, that is D < 0, we have (D/1) =

1 so that the associated L-function is odd. The conductor of (D/) is |D|, and
so L(s, (D/)) satisfies the functional equation


|D|

(s+1)/2

s+1
2


L(s, (D/)) =

|D|

(2s)/2

2s
2


L(1s, (D/))

where = iD (1) is a complex number of modulus 1. As regards K, it has

2 complex embeddings and no real embeddings. There is no free unit group, so
the regulator is 1. We deduce

lim L(s, (D/)) = lim L(1 s, (D/)) 

s0

s0

Since (1) = 1 and (1/2) =

|D|

|D|

 2s
2
 s+1
2

( 2s
2 )
( s+1
2 )

2hK
.
wK

we deduce

L(1, (D/)) =

2hK
p
.
wK |D|

We have omitted the factor , but notice that L(, (D/)) > 0 for > 1, so that
by continuity = 1. If D = 3 then wK = 6, while if D = 4 then wK = 4.
Otherwise wK = 2. Since hK 1, we have for |D| > 4

L(1, (D/)) p
.
|D|

(1)

In the case where K is real quadratic, we have (D/ 1) = 1, so that the Lfunction is even. The conductor is now D, and L(s, (D/)) satisfies the functional
equation ( = (1))

(D/)s/2 (s/2)L(s, (D/)) = (D/)(1s)/2 ((1 s)/2)L(1 s, (D/)).

The numberfield now has 2 real embeddings
and no complex ones. Let O = Z[ ]

where = 2D if D 0 mod 4 and = 1+2 D if D 1 mod 4. The free part of

4

the unit group is one dimensional, generated by the fundamental unit  = a+b ,
which has a, b > 0, and solves Pells equation
a2 + ab( + ) + b2 = 1.
The regulator is now log . Notice that 
is 2. Putting this together, we deduce

D
2 .

The number of roots of unity

L(s, (D/))
L(1 s, (D/)) ((1 s)/2)(D/)(1s)/2
= lim
= hK log .
s0
s0
s
s
(s/2)(D/)s/2
lim

Here (s/2) = 2/s + O(1) as s 0, so we deduce

L(1, (D/)) =

2hK log 

.
D

Again, as above, = 1. We may comment that log 

we obtain the bound
log D + O(1)

L(1, (D/))
.
D

1
2

log D + O(1), so that

(2)

The bounds (1) and (2) constitute Dirichlets proof that L(1, ) > 0 for real
, and thus complete his proof that for (a, q) = 1 there are infinitely many
primes of the form p a mod q.