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    Foundations of Modern Analysis by Avner Friedman

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    FOUNDATIONS OF MODERN ANALYSIS AVNER FRIEDMAN Northwestern University Dover Publications, Inc. New York To my father, Moshe Simcha Friedman Copyright © 1970,1982 by Avner Fnedman All nghts reserved under Pan American and International Copy- nght Conventions Published in Canada by General Pubhshing Company, Ltd , 30 Lesmill Road, Don Mills, Toronto, Ontano Published mn the United Kingdom by Constable and Company, Ltd , 10 Orange Street, London WC2H 7EG This Dover edition, first published m 1982, is an unabndged and corrected republication of the work originally pubhshed in 1970 by Holt. Rinehart and Winston, Inc , New York Manufactured in the United States of Amenca Dover Publications, Inc 180 Varick Street New York, N'Y 10014 Library of Congress Cataloging in Publication Data Fredman, Avner. Foundations of modern analysis Reprint Originally published New York- Holt, Rinehart, and Winston, [1970] Bibliography p Includes index 1 Mathematical analysis—Foundations I Title [A299 8 F74 1982] 515 8117312 ISBN 0-486-64062-0 (pbk ) AACR2 F5A3B /70 jwise! vlinnisto Mate. cokes feitos (990 qj YR, AK PREFACE This book is aimed to serve as a first-year graduate course in modern analysis. The material includes measure and integration, metric spaces, the elements of functional analysis in Banach spaces, and spectral theory in Hilbert spaces. There are various books in the literature where all these topics are dealt with, however, we have not felt that we could use any of them system- atically as a text book They are either written at a level not consistent with that of a first-year graduate student or else they do not have the choice of topics we would like to see. In Chapters 1 and 2 we present the theory of measure and integration. It has been our experience that there are too many definitions and too many theorems for the student to memorize, and that as a result of this, he often fails to grasp what is really essential in the theory. This motivated us to cut down on many details and to give a general, yet compact, presentation. In Chapters 3 to 6 we present the most fundamental theorems of func- tional analysis. At the same time we give some applications to important problems in ordinary and partial differential equations, and in integral equations. This, we hope, will illustrate to the student the invaluable role played by functional analysis in solving concrete problems in analysis. At the end of each section there are problems for the reader. The solu- tion of some of these prohfems is used in the text itself The material of this book is somewhat more than can be covered in a one-year course. One might omit some topics that are rather independent of the rest of the matcrial, such as Section 3.3, Theorem 3.6.3, Section 3 7, and Sections 4.2, 4,11, and 412 (with the exception of Theorem 4 12.3). The applications of functional analysis to differential and integral equations and to the Dinchlet problem are given in Scctions 3 3, 3 8, 4.7, 4.9, 5.4, and 6.9 They are not used in the remaining sections of the book Evanston, Ilinois February 1970 Avner Friedman iit Preface, CONTENTS ii Chapter 1. MEASURE THEORY, 1 Ld 12 13 14 15 16 17 18 19 Rings and Algebras, 1 Definition of Measure, 4 Outer Measure, 7 Construction of Outer Measures, 11 Completion of Measures, 12 ‘The Lebesgue and the Lebesgue-Stieltjes Measures, 13 Metric Spaces, 15 Metric Outer Measure, 17 Construction of Metric Outer Measures, 20 110 Signed Measures, 25 Chapter 2. INTEGRATION, 29 24 2.2 23 24 25 26 27 28 Definition of Measurable Fuctions, 29 Operations on Measurable Functions, 32 Egoroff’s Theorem, 35 Convergence in Measure, 37 Integrals of Simple Functions, 40 Definition of the Integral, 42 Elementary Properties of Integrals, 48 Sequences of Integrable Functions, 51 29 2.10 24) 2.12 213 214 215 2.16 CONTENTS V Lebesgue’s Bounded Convergence Theorem, 54 Applications of Lebesgue’s Bounded Convergence Theorem, 57 The Riemann Integral, 61 The Radon-Nikodym Theorem, 67 The Lebesgue Decomposition, 72 The Lebesgue Integral on the Real Line, 74 Product of Measures, 78 Fubini’s Theorem, 84 Chapter 3 METRIC SPACES, 90 31 32 3.3 34 35 36 3.7 3.8 Topological and Metric Spaces, 90 L? Spaces, 95 Completion of Metric Spaces; H”-? Spaces, 99 Complete Metric Spaces, 105 Compact Metric Spaces, 107 Continuous Functions on Metric Spaces, 110 The Stone-Weierstrass Theorem, 116 A Fixed-Point Theorem and Applications, 118 Chapter 4. ELEMENTS OF FUNCTIONAL ANALYSIS IN 41 42 43 44 45 46 47 48 49 4.10 4.11 BANACH SPACES, 123 Linear Normed Spaces, 123 Subspaces and Bases, 129 Finite-Dimensional Normed Linear Spaces, 132 Linear Transformations, 135 The Principle of Uniform Boundedness, 139 ‘The Open-Mapping Theorem and the Closed-Graph Theorem, 141 Applications to Partial Differential Equations, 145 The Hahn-Banach Theorem, 150 Applications to the Dirichlet Problem, 155 Conjugate Spaces and Reflexive Spaces, 159 Tychonoff’s Theorem, 164 4.12 Weak Topology in Conjugate Spaces, 168 vi CONTENTS 4.13. Adjoint Operators, 172 4.14 The Conjugates of L? and C [0,1], 176 Chapter 5. COMPLETELY CONTINUOUS OPERATORS, 5.4 5.2 53 5.4 Basic Properties, 186 The Fredholm-Riesz-Schauder Theory, 189 Elements of Spectral Theory, 194 Application to the Dirichlet Problem, 197 Chapter 6. HILBERT SPACES AND SPECTRAL THEORY, 61 6.2 63 6.4 65 66 67 68 69 Hilbert Spaces, 201 The Projection Theorem, 204 Projection Operators, 209 Orthonormal Sets, 213 Self-Adjoint Operators, 218 Positive Operators, 221 Spectral Families of Self-Adjoint Operators, 226 The Resolvent of Self-Adjoint Operators, 233 Eigenvalue Problems for Differential Equations, 237 Bibliography, 244 Index, 247 CHAPTER 1 MEASURE THEORY 1.1. RINGS AND ALGEBRAS Let X be a set of elements We call X also a space and its elements points, X will be fixed throughout the whole chapter. We shall refer to subsets of X briefly as sets (of X), and we shall refer to scts of subsets of X also as classes of sets Given a set E, we denote by E* the complement of E (in X)— that is, = (ve X,x¢ E}. The union of two sets E and F is the set {x, x ¢ E or x € F}, and itis denoted by Eu F The difference E — F is defined as {x ¢ E; x ¢ F} Note that in this definition F is not required to be a subset of E The intersection Em F is defined as {x; xe Eand xe F} We denote by @ the empty set IfEn F = @, then we say that the sets E and F are disjoint Let A be any set of elements and, for cach x€ A, let £, be a set The union YU E, is defined as the set consisting of those elements which belong to at least one of the sets E, The intersection fn E, is defined as the set consisting of those elements which bclong to all the sets E,, The following relations can easily be verified (UE “y= 0 Ee aid) 20 wea (4) = Ue (11.2) aca 2 MEASURE THEORY Let {E,} be a sequence of sets (n = 1,2, .) The superior limit of {E,} is the set consisting of those points which belong to infinitely many E,. We denote it by E* = lim sup E, = [im E, = lim E, " ne ne Similarly, the inferior limit E, = lim inf E, = lim E, = lim E, nae me 7 : a is the set consisting of all those points which belong to autfat ‘a finite number of the E,. If E* = E,, then we say that the sequence {E,} has a /imit, and we denote the set E* by lim E, or lim E,. nt , Note that if {E,} is monotone increasing (decreasing)—that is, if E, © E,41(E, > En41) for all n> t, then lim E, exists The following two definitions are fundamental in measure theory. Definition 1.1.1 A class & of sets is called a ring if it has the following properties: (a) De®. (b) If Ae @and Be@, then A—Be@. () If Ae Mand Be@, then Au Be. A ring @ is called an algebra if it has the additional property: (d) Xe@. An Note that if @ is aring and if A, B e @,thenA — B = A - (A- B)ismn KR. Note also that if R is a ring, then any finite union and any finite intersection of sets in R are in R Definition 1.1.2 A class # of setsis called a o-ring if it has the properties (a), (b), and the additional property: (2) fA, e@ forn=1,2,. , then () 4,€@. net A o-ring is called a o-algebra if it has the additional property (d) If @ is a o-ring (c-algebra), then we can take A, = @ for n>3 in (e), and thereby established the condition (c). Thus, a o-ring (a-algebra) is a ring (algebra). If @ is an algebra, then the following condition clearly holds: (f) If Ae &, then A°e &. Conversely, if the conditions (a), (c), and (f) hold, then @ is an algebra—that RINGS AND ALGEBRAS 3 is, (b) and (d) also hold Indeed, (d) follows from (f) with 4 = @, and (by follows from A-B=ANB =(AU BY A disjoint union is a union of sets that are mutually disjoint. We intro- duce a condition that is weaker than (c), namely: (c) IfAe@, Be Rand ANB=Q, then AUBES. We then have. 4 class & satisfying (a), (b), (c’) is a ring. Indeed, (c) follows from AU B = A U(B— A) Next we introduce a condition weaker than (e) (e’) Anycountable disjoint union of sets A, (1 = 1,2,.) which belong to @ also belongs to ® Theorem 1.1.1 If ® satisfies (a), (b), (e’) [and (d)}, then ® is a o-ring (o-algebra). Proof Taking, in (e'), A, = 0 for m > 3, we see that (c’) holds. Hence (c) follows, and @ is a ring. To prove (e), let {4,} be a sequence of sets in 2. Then the sets B,, defined by . By=A, Bas = Ansa — {0 Ai also belong to @. Since B, 0 B,, = @ ifn Amand UB, = Yan (e’) implies that Y A,e &. PROBLEMS LL. (iim x) = lim, (e E, £12. mE. A OE ketntk on 173° If Risa o-ring and £,c€&, then 2» Ml E.e@ TimE,c@, limE,c# wed * . 4.14. The intersection of any collection of rings (algebras, o-rings, or o-algebras) is also a ring (an algebra, o-ring, or o-algebra). 115. Vf @ is any class of sets, then there exists a unique ring # such that (i) @ > 9, and (ii) any ring # containing @ contains also ®p. Ao is called the ring generated by Z, and is denoted by &(2). 4 = MTASURL THEORY 1416 If & is any class of sets, then there exists a unique o-ring Fy such that (i) £9 > Y, and (ii) any o-ring containing & contains also Fo. We call Yo the a-ring generated by Y, and denote it by #(Z). A similar result holds for o-ulgebras, and we spcak of the «-algebra generated by B 117 fGisany class of sets, then every set in #(¥) can be covered by (that is, is contained in) u finite union of sets of Y [Hint The class % of sets that can be covered by finite unions of sets of 7 forms a ring, ] 118 If Gis any class of sets. then every set in .A(Y) can be covered by countable union of sets of 7 11.9. Let consist of those sets which arc either finite or have a finite complement Then @ is an algebra If X is not finite, then Y is nol a a-algebra, 1110 Let @ consist of all sets of the form 0 Jy. where the J, are Ans mutually disjoint intervals on the real line, having the form {1,@ <1 <6}, where a,b are any real numbers Then @ is a ring but not an algebra. 1111 Find R(B) when & consists of two distinct sets, each consisting of one point. 1.2 DEFINITION OF MEASURE We introduce two symbols, “+00” (or, briefly, oo) and “—a”™ (called ‘plus infinity’ and “minus infinity”), and the following relations: -—« 0, x(t0)= Fe if x<0, and so forth The relations +o +(-«x), 0 (40) are not defined. A set function jc is a function defined on a class 7 of sets. It is said to be extended real-valued, if its values are extended real numbers “is called the domain (of definition) of 4 Let y: be a set function defined on a ring 4. We say that »: is completely additive if o( U £.) = 3 te) a2y Ma ne whenever the E, are mutually disjoint sets of @ such that (J E, is also in #. Definition 1.2.1 A measure is an extended real-valued set function # having the following propertics. (i) The domain @ of p is a a-algcbra (ii) wis nonnegative on @ (iii) jis Completely additive on @ i) WD) =0 DEFINITION OF MEASURE 5 A reaJ-vatued set function p is said to be additive if its domain & is a ring and if HE UF) = p(E) + CF) (1.2.2) whenever Ee @, FER, ENF =. pis called finitely additive if, for any positive integer m, (0, a) (123) whenever E,eR(j=1,. ym), E;QE,=@ if j#k Taking in (1.2.1) E, = @ for n > m and using (iv), we see that a measure is finitely additive. If u{X) < 00, we say that jis a finire measure (or a totally finite measure). 2 If X = UE, and u(E,) < 0 for all n, then we say that p is a o-finite measure, at Theorem 1.2.1 Let s be a measure with domain @. Then (i) EEG, Fe@, Ec F, then p(E) < y(F). Gi) IfEe@,Fe@, ECF, u(F) < 0, then BUF — E) = n(F) = #(E) (124) Gi) If {E,} is @ monotone-increasing sequence of sets of @, then lim p(E,) = (tim E,). (125) 0 nce (iv) If {E,} is @ monotone-decreasing sequence of sets of @, and if HE.) < 00 for some Ng, then (1.2 5) holds. Proof. To prove (i), write F as a disjoint union F = E U(F — E), Then u(F) = wlE) + WF — £). (1.2.6) Since u(F — E) > 0, (i) follows. If w(F)< 00, then p(E) < oo, and (1.2.4) follows from (1 2.6). To prove (iii) we first note, by Problem 1.1 3, that lim E, belongs to @ Next, setting Ey = @, we have * wii E)= uf ©) (Es Ey) = Ey ~ Epa) tim § ue = By) =tim pf 0) €.~£,-)] = tim we), which proves (iii) 6 MEASURE THLORY To prove (iv), we use (ii), flim (En — | =- [Ea = tim 5] Next, by (iii) and (ti), RE) — wien é). 1|lion (Ey, ~ ,)] Him (Eq, ~ £5) = HE) — lim WE). Comparing these two results, (iv) follows. Theorem 1.2.2. Let be a measure with domain @ and letE,(n = 12. ) be sets of @ Then (0, é,) s z H(E,). (127) ~ (i E,| < im HE,), (12.8) o (Ti 4) > Tim p(E,) provided + 0 4) <0 (129) om ~ Proof Let (1210) Freey A 8,~|1 Then F, ¢ £,, ) F, = E,, and the F, aie mutually disjoint Hence 7 . (0, &) <«( OF) = 3 ans 3 a. a nt m1 nat To prove (1.2 8) we use Problem 1.1.2 and Theorem 1.2 1(iii). We then get (tin 8) = lim of 2 J ka A+) Since () E, ¢ Ey, Theorem 1 2.1(i) gives (A E,) < pl E,). Therefore wo tek u(lie f) (Ej) (1.3.2) whenever the £, and their union belong to the domain of v. An extended real-valued set function v is said to be monotone if v(E) < v(F) whenever E, F are in the domain of vand E c F, Definition 1.3.1 An outer measure is an extended real-valued set function p* having the following properties (i) The domain of y* consists of al! the subsets of X. (ii) p* is nonnegative. ii) _y* is countably subadditive (iy) p* is monotone (v) 2*(@) = 0. Taking E; = @ in (1 3 2), for j > n, and using (v), We see that an outer measure is finitely subadditive. It is obvious that every measure whose domain consists of all the subsets of X is an outer measure The usefulness of outer measures is primarily in the role they play in the construction of measures, On one hand, it is fairly easy (see Section 1.4) to construct outer measures. On the other hand, one can always construct a measure from an outer measure. The latter assertion will be proved in this section (Theorem ! 3 |) Definition 1.3.2. Given an outer measure y*, we say that a set E is u*-measurable (or, briefly, measurable) if pt(A) = BA E) + yA — £) (1.3.3) for any subset 4 of X. The (vague) motivation for this definition is that the sets We want to single out as measurable should be such that y* will become additive on them Since p* is subadditive, (1.3.3) is equivalent to the inequality UNA) > BATE) + p*(A — E). 34) Theorem 1.3.1 Let * be an outer measure and denote by @ the class of all z*-measurable sets Then @ is a o-algebra, and the restriction of p* to @ is a measure. OUTER MEASURE ¥ Proof We shall give the proof in several steps (i) If 2*(£) = 0, then £ is measurable. Indeed, for any set A we have HEAD E) + p8(A — E) SpE) + 2*(A) = BAC) —that is, (1 3 4) holds, Hence (1.3.3) is satisfied, Gi) Be @, since pO) =0 Gii) If Ee @, then Ee @. Indeed, WMAQES + ph — Ef) = H(A = B) + pA E) = pA). (iv) If E, and E, belong to @, then also £, UE, belongs to @. To prove it, we write (1.3 3) for E = E, and A and for E= £, and A — E,° HMA) = pA E,) + uA ~ E,), wa — By) = p[(A — E,) VE.) + pt(d — £,) ~ £2). Adding these qualitics and noting that (4 — E,) — E, = A —(E, VE), (A = Ey) NE: ULAN Ey) = ANCE U ED). we get, after using the subadditivity of y*, H(A) > p*LA (Ev E,)) + ALA — (E, VE) Since A is an arbitrary set, the y*-measurability of E, UE, follows. (v) If E,, E, belong to @, then E, — E, belongs to @. Indeed, this follows from the relation E, — E,=(Ei vu £2), using (iti) and (iv) We have proved so far that @ is an algebra. (vi) Let {£,} be « sequence of mutually disjoint sets of @ and let S,= UE Then, for any n> 1, BANS, = 5, HMA 1M En) (135) for all sets A The pioof of (1 3,5) is by induction on n. The case n= is obvious The passage from n to n + 1 is given by BCA 9 Sy) = HCA 9 Sap 9 Sa) + (A 0 Say — Si) =u"(An S,)+ MAN E,.3) . net = YAN E+ A 9 Eye) = 2, BAC E,,) mn ty Here we haye used the measurability of S, 10 MEASURE THEORY Ps (vii) Let {£,} be a sequence of disjoint sets of @, and let S= |) Ey m1 Then, for any set A, (An S)= x u(An E,) (1.3.6) Indeed, by the monotonicity of 4* and (1.3.5), (An S)> ptAn S,)= 3 ut(An Ey). Taking n— oo, we get u(Ans)> x uA a E,). Since the reverse inequality follows from the countable subadditivity of y*, (1.3 6) is completely proved (viii) A countable disjoint union of sets E, (x = 1,2, ..) of @ is again in @ Indeed, by (vi), for any set A, wX(A) = BNA 9 S,) + 28(A ~ 5) > ¥ WAN) +A - 5S) Taking 7 — 0 and using (1 3 6), we get HMA) > w*(A nS) + u*(A — S) —that is, S is measurable. We have proved that @ is an algebra and that a countable, disjoint union of sets of @ is again in @ Hence, by Theorem 1 1 1, @ is a o-algebra The restriction y of u* to @ clearly satisfies (i), (ii), and (iv) of Definition 1 21. It remains to prove that y is completely additive. But this follows from (1.3.6) with A=S. PROBLEMS 13.1, Define y*(Z) as the number of points in E if E is finite and UNE) = & if E is infinite. Show that y* is an outer measure. Determine the measurable sets. 13.2. Define p*(Q) =0, w(E) =1 if E# . Show that p* is an outer measure, and determine the measurable sets 1.3.3. Let X have a noncountable number of points. Set y*(E) = 0 if £ is countable, z*(£) = 1 if E is noncountable. Show that y* is an outer measure, and determine the measurable sets CONSTRUCTION OF OU1EK MEAsURrS ++ 1.3.4. If u* is an outer measure and B is a fixed set, then the set function v* given by v*(4) = u*(A 2 B) is an outer measure. Find the relation between the measurable sets of u* and v*. 13.5. If {uf} is a sequence of outer measures, then Y yu, defined by * ce wr\iay = Y #8), is also an outer measure. * 136 Prove that if an outer measure is finitely additive, then it is a measure. 1.4. CONSTRUCTION OF OUTER MEASURES Let # be a class of sets (of X). We call 4 a sequential covering class (of X) if (i) @ e #, and (ii) for every set A there is a sequence {E,} in such that For example, the bounded open intervals on the real line form a sequential covering class of the real line Let A be an extended real-valued, nonnegative set function, with domain 2, such that 4(@) = 0. For each set A (of X), let ut(A) =iot [5 HE,); Ene, U E,> 4}. 41) Theorem 1.4.1 For any sequential covering class X and for any non- negative, extended real-valued set function & with domain H and with MQ) = 0, the set function * defined by (1.4.1) is an outer measure Proof. The conditions (i), (ii), and (v) in Definition 1.3.1 are trivially satisfied The monotonicity condition (iv) is also fairly obvious Thus it remains to verify (iii), Let {A,} be any sequence of sets. We have to prove that w(0 Ae) < Buta (142) Let c be any positive number For each positive integer 7 there is a sequence {E,} in H such that Are U Eqs 1 E Mew s 0d) +5. (1.43) 12. MEASURE THEORY The double sequence {E,,}. with indices m and k, then satisfies Uae U Ew nee Hence, by the definition (1 4 1) and by (1 4 3), #(U 4,)< 5 Ew) sy |priay + 5 < x, H(A) + Since « is arbitrary, (1 4 2) follows. Theorems 141 and 1.3.1 enable us to construct a measure from any given pair %, A. PROBLEMS 141° Let # consist of X, @, and all the onc-point scts Let 2(X) = 00, HDB) =0, 4b) =1 if EX X. EF QO Describe the outer measure, 1.42 Let X be a noncountable space and .¥ be as in Problem 1 4.1. Let 4(X) = 1, 4(£) =O if k #4 X Describe the outer measure. 1.4.3. Show that, under the conditions of Theorem I 4 1, u*(E) < 4 (E) if Ee # Give an example where inequality holds 144, If H isac-algebra and / is a measure on ¥, then w*(A) = 7(A) for any Ae %. [Hint *(A) = inf (4(E), Ee ¥#, E> A} ) 145° lf 4 isa o-algebra and Ais a measure on #, then every set in MH is y*-measurable. The last two problems show that if we begin with a measure 4 on a o-algebra . then by applying Theorem 141 and then Theorem 131 we get another measure that is an extension of /. 1.5 COMPLETION OF MEASURES A measure yx with domain @ is said to be complete if for any two sets N, E the following holds lf Ne E, Ee @ und «(£E)=0, then NE @ Note that the measure constructed in Theorem | 3.1 is complete. In the next theorem it is shown that any measure can be extended into a complete measure. Theorem 1.5.1 Tet be a measure on a o-algebra @ and let @ denote the class of all sets of the form EON where Ee @ and Nts any subset of a set of @ of measure zero. Then @ is a o-algebra and the set function ji defined by HE UN) = wb) (15.1) is a complete measure on Q. THE LEBESGUE AND 1HE LEBESGUE-STIELTIES MEASURES 3 We call ji the completion of p Proof. We first show that @ is a o-algebra. Let Ee @, NC AER, WAY=0. Then ES~A= ESN AT CES ON S(EUNS CES Hence, (EU NY =(E°— AYU N’ where N'A Sinee [ES — Ale @ it follows that (Eu NY €@. Since E, — Ey = (Ej U £2)‘, it remains to show that a countable union of sets of @ is again in @ Let these sets be E, U N,, where N, C An, #(A,) = 0. Then a £ UE, UN) = (0 E,| UN. where N = UN. Since Nc U4. = A and p(A) = 0, the assertion follows. We shail how show that ii is well defined on @ Let E,UN,=E£,UN3, where E,€ @, N, ¢ Aj, p(A,)) =0 Then E,CE,VUA), E, CEVA, It follows that w(E,) = j{E,) Hence the definition (1.5 1) is unambiguous. It is now easy to verify that ji satisfies all the properties of a complete measure, PROBLEMS 151° Let beacomplete measure A set for which p(N) = 0 is called a null ser. Show that the class of null sets is a o-ring Is it also a o-algebra? 752. Let the conditions of Theorem 1.5 | hold and denote by @* the class of all scts of the form £ ~ N where Ee@ and A is any subset of @ having measure zero. Then @* = @. 1.6 THE LEBESGUE AND THE LEBESGUE-STIELTJES MEASURES Denote by R” the Euclidean space of » dimensions. The points of R” are written in the form x =(x,, .x,) By an open intertal we shall mean a set of the form fap = {X= (Ky. x),

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