Graduate Texts in Mathematics 3

Managing Editor: P. R. Halmos

Graduate Texts in Mathematics

1 TAKEUTIiZARING. Introduction to Axiomatic Set Theory. 2nd ed.

2 OXTOBY. Measure and Category. 2nd ed.
3 SCHAEFFER. Topological Vector Spaces.
4 HILTON/STAMMBACH. A Course in Homological Algebra.
5 MACLANE. Categories for the Working Mathematician.
6 HUGHEs/PIPER. Projective Planes.
7 SERRE. A Course in Arithmetic.
8 TAKEUTIiZARING. Axiomatic Set Theory.
9 HUMPHREYS. Introduction to Lie Algebras and Representation Theory.
10 COHEN. A Course in Simple Homotopy Theory.
11 CONWAY. Functions of One Complex Variable. 2nd ed.
12 BEALS. Advanced Mathematical Analysis.
13 ANDERSON/FuLLER. Rings and Categories of Modules.
14 GOLUBITSKy/GUILLEMIN. Stable Mappings and Their Singularities.
15 BERBERIAN. Lectures in Functional Analysis and Operator Theory.
16 WINTER. The Structure of Fields.
17 ROSENBLATT. Random Processes. 2nd ed.
18 HALMos. Measure Theory.
19 HALMos. A Hilbert Space Problem Book. 2nd ed., revised.
20 HUSEMOLLER. Fibre Bundles. 2nd ed.
21 HUMPHREYS. Linear Algebraic Groups.
22 BARNEs/MACK. An Algebraic Introduction to Mathematical Logic.
23 GREUB. Linear Algebra. 4th ed.
24 HOLMES. Geometric Functional Analysis and its Applications.
25 HEWITT/STROMBERG. Real and Abstract Analysis.
26 MANES. Algebraic Theories.
27 KELLEY. General Topology.
28 ZARISKIiSAMUEL. Commutative Algebra. Vol. I.
29 ZARISKIiSAMUEL. Commutative Algebra. Vol. II.
30 JACOBSON. Lectures in Abstract Algebra I: Basic Concepts.
31 JACOBSON. Lectures in Abstract Algebra II: Linear Algebra.
32 JACOBSON. Lectures in Abstract Algebra III: Theory of Fields and Galois Theory.
33 HIRSCH. Differential Topology.
34 SPITZER. Principles of Random Walk. 2nd ed.
35 WERMER. Banach Algebras and Several Complex Variables. 2nd ed.
36 KELLEy/NAMIOKA et al. Linear Topological Spaces.
37 MONK. Mathematical Logic.
38 GRAUERT/FRITZSCHE. Several Complex Variables.
39 ARVESON. An Invitation to C*-Algebras.
40 KEMENy/SNELL/KNAPP. Denumerable Markov Chains. 2nd ed.
41 ApoSTOL. Modular Functions and Dirichlet Series in Number Theory.
42 SERRE. Linear Representations of Finite Groups.
43 GILLMAN/JERISON. Rings of Continuous Functions.
44 KENDIG. Elementary Algebraic Geometry.
45 LOEVE. Probability Theory I. 4th ed.
46 LOEVE. Probability Theory II. 4th ed.
47 MOISE. Geometric Topology in Dimensions 2 and 3.

continued after Index

Helmut H Schaefer
Topological Vector Spaces

Springer-Verlag New York Heidelberg Berlin

Helmut H. Schaefer
Professor of Mathematics. University of TUbingen

AMS Subject Classifications (1970)

Primary 46-02.46 A OS, 46 A 20. 46 A 25. 46 A 30. 46 A 40. 47 B 55
Secondary 46 F 05. 81 A 17

9 8 7 6 5 (Fifth printing, 1986)

ISBN 978-0-387-05380-6 ISBN 978-1-4684-9928-5 (eBook)

DOI 10.1007/978-1-4684-9928-5

This work is subject to copyright. All rights are reserved. whether the whole or part of the material
is concerned. specifically those of translation. reprinting. re-use of illustrations. broadcasting. repro-
duction by photocopying machine or Similar means. and storage in data bank s. Under ~ 54 of thc
German Copyright Law where copics are made for other than private usc. a fce is payable to the
publisher. the amount of the fee to be determined by agreement with the publisher. © by H. H. Schaefer
1966 and Springer-Verlag New York 1971. Library of Congress Catalog Card Numher 75-156262
So/kover reprint of the hardcover 1st edition 1971
To my Wife
 Preface

The present book is intended to be a systematic text on topological vector

spaces and presupposes familiarity with the elements of general topology and
linear algebra. The author has found it unnecessary to rederive these results,
since they are equally basic for many other areas of mathematics, and every
beginning graduate student is likely to have made their acquaintance. Simi-
larly, the elementary facts on Hilbert and Banach spaces are widely known
and are not discussed in detail in this book, which is mainly addressed to those
readers who have attained and wish to get beyond the introductory level.
The book has its origin in courses given by the author at Washington State
University, the University of Michigan, and the University of Tiibingen in
the years 1958-1963. At that time there existed no reasonably complete text on
topological vector spaces in English, and there seemed to be a genuine need
for a book on this subject. This situation changed in 1963 with the appearance
of the book by Kelley, Namioka et al. [1] which, through its many elegant
proofs, has had some influence on the final draft of this manuscript. Yet the
two books appear to be sufficiently different in spirit and subject matter to
justify the publication of this manuscript; in particular, the present book
includes a discussion of topological tensor products, nuclear spaces, ordered
topological vector spaces, and an appendix on positive operators. The author
is also glad to acknowledge the strong influence of Bourbaki, whose mono-
graph [7], [8] was (before the publication of Kothe [5]) the only modern
treatment of topological vector spaces in printed form.
A few words should be said about the organization of the book. There is a
preliminary chapter called "Prerequisites," which is a survey aimed at
clarifying the terminology to be used and at recalling basic definitions and
facts to the reader's mind. Each of the five following chapters, as well as the
Appendix, is divided into sections. In each section, propositions are marked
u.v, where u is the section number, v the proposition number within the
VIII PREFACE

section. Propositions of special importance are additionally marked

"Theorem." Cross references within the chapter are (u.v), outside the chapter
(r, u.v), where r (roman numeral) is the number of the chapter referred to.
Each chapter is preceded by an introduction and followed by exercises. These
"Exercises" (a total of 142) are devoted to further results and supplements, in
particular, to examples and counter-examples. They are not meant to be
worked out one after the other, but every reader should take notice of them
because of their informative value. We have refrained from marking some of
them as difficult, because the difficulty of a given problem is a highly subjective
matter. However, hints have been given where it seemed appropriate, and
occasional references indicate literature that may be needed, or at
least helpful. The bibliography, far from being complete, contains
(with few exceptions) only those items that are referred to in the text.
I wish to thank A. Pietsch for reading the entire manuscript, and A. L.
Peressini and B. J. Walsh for reading parts of it. My special thanks are
extended to H. Lotz for a close examination of the entire manuscript, and for
many valuable discussions. Finally, I am indebted to H. Lotz and A. L.
Peressini for reading the proofs, and to the publisher for their care and
cooperation.
H.H.S.

Tiibingen, Germany
December, 1964
 Table if Contents

Prerequisites
A. Sets and Order 1
B. General Topology 4
C. Linear Algebra 9

I. TOPOLOGICAL VECTOR SPACES

Introduction 12
Vector Space Topologies 12
2 Product Spaces, Subspaces, Direct Sums,
Quotient Spaces 19
3 Topological Vector Spaces of Finite Dimension 21
4 Linear Manifolds and Hyperplanes 24
5 Bounded Sets 25
6 Metrizability 28
7 Complexification 31
Exercises 33

II. LOCALLY CONVEX TOPOLOGICAL

VECTOR SPACES
Introduction 36
1 Convex Sets and Semi-Norms 37
2 Normed and Normable Spaces 40
3 The Hahn-Banach Theorem 45
X TABLE OF CONTENTS

. Locally Convex Spaces 47

5 Projective Topologies 51
6 Inductive Topologies 54
7 Barreled Spaces 60
8 Bornological Spaces 61
9 Separation of Convex Sets 63
10 Compact Convex Sets 66
Exercises 68

III. LINEAR MAPPINGS

, Introduction
Continuous linear Maps and Topological
73

Homomorphisms 74
2 Banach's Homomorphism Theorem 76
3 Spaces of linear Mappings 79
4 Equicontinuity. The Principle of Uniform Boundedness
and the Banach-Steinhaus Theorem 82
5 Bilinear Mappings 87
6 Topological Tensor Products 92
7 Nuclear Mappings and Spaces 97
8 Examples of Nuclear Spaces 106
9 The Approximation Problem. Compact Maps 108
Exercises 115

IV. DUALITY
Introduction 122
1 Dual Systems and Weak Topologies 123
2 Elementary Properties of Adjoint Maps 128
3 Locally Convex Topologies Consistent with a
130
..
Given Duality.The Mackey-Arens Theorem
Duality of Projective and Inductive Topologies 133
5 Strong Dual of a Locally Convex Space. Bidual.
Reflexive Spaces 140
6 Dual Characterization of Completeness. Metrizable Spaces.
Theorems of Grothendieck, Banach-Dieudonne, and
Krein-Smulian 147
TABLE OF CONTENTS XI

7 Adjoints of Closed Linear Mappings 155

8 The General Open Mapping and Closed Graph Theorems 161
9 Tensor Products and Nuclear Spaces 167
10 Nuclear Spaces and Absolute Summability 176
11 Weak Compactness. Theorems of Eberlein and Krein 185
~~~ m
v. ORDER STRUCTURES
Introduction 203
1 Ordered Vector Spaces over the Real Field 204
2 Ordered Vector Spaces over the Complex Field 214
3 Duality of Convex Cones 215
4 Ordered Topological Vector Spaces 222
5 Positive Linear Forms and Mappings 225
6 The Order Topology 230
7 Topological Vector Lattices 234
8 Continuous Functions on a Compact Space. Theorems
of Stone-Weierstrass and Kakutani 242
Exercises 250
Appendix. SPECTRAL PROPERTIES OF
POSITIVE OPERATORS
Introduction 258
1 Elementary Properties of the Resolvent 259
2 Pringsheim's Theorem and Its Consequences 261
3 The Peripheral Point Spectrum 268
Index of Symbols 277
Bibliography 281
Index 290
 PREREQUISITES

A formal prerequisite for an intelligent reading of this book is familiarity

with the most basic facts of set theory, general topology, and linear algebra.
The purpose of this preliminary section is not to establish these results but
to clarify terminology and notation, and to give the reader a survey of the
material that will be assumed as known in the sequel. In addition, some of
the literature is pointed out where adequate information and further refer-
ences can be found.
Throughout the book, statements intended to represent definitions are
distinguished by setting the term being defined in bold face characters.

A. SETS AND ORDER

1. Sets and Subsets. Let X, Y be sets. We use the standard notations x EX

for" x is an element of X", Xc Y (or Y::::> X) for" X is a subset of Y",
X = Y for" X c Yand Y::::> X". If (p) is a proposition in terms of given
relations on X, the subset of all x E X for which (p) is true is denoted by
{x EX: (p)x} or, if no confusion is likely to occur, by {x: (p)x}. x ¢ X means
"x is not an element of X". The complement of X relative to Y is the set
{x E Y: x ¢ X}, and denoted by Y", X. The empty set is denoted by 0 and
considered to be a finite set; the set (singleton) containing the single element
x is denoted py {x}. If (PI)' (P2) are propositions in terms of given relations
on X, (PI)~(P2) means "(PI) implies (P2)", and (PI)¢:>(P2) means "(PI) is
equivalent with (P2)". The set of all subsets of X is denoted by ~(X).
2. Mappings. A mapping f of X into Y is denoted by f X ...... Y or by
x ...... f(x). X is called the domain off, the image of X under j; the range off;
the graph of/is the subset Gf = {(x,f(x»: x E X} of X x Y. The mapping of
the set ~(X) of all subsets of X into ~(Y) that is associated with f, is also
denoted by f; that is, for any A c X we write f(A) to denote the set
1
2 PREREQUISITES

{I(x) : x E A} c Y. The associated map of 1.l3( Y) into I.l3(X) is denoted by

f- I ; thus for any BeY, f-I(B) = {x E X:f(x) E B}. If B = {b}, we write
f-l(b) in place of the clumsier (but more precise) notation f-I({b}). If
f X ..... Y and g: Y ..... Z are maps, the composition map x ..... g(f(x» is
denoted by 9 f 0

A mapf: X ..... Yis biunivocal (one-to-one, injective) iff(x l ) = f(x 2 ) implies

XI = x 2 ; it is onto Y (surjective) if f(X) = Y. A map fwhich is both injective
and surjective is called bijective (or a bijection).
Iff: X ..... Y is a map and A c X, the map 9 : A ..... Y defined by g(x) = f(x)
whenever x E A is called the restriction off to A and frequently denoted by fA.
Conversely, f is called an extension of 9 (to X with values in Y).
3. Families. If A is a non-empty set and X is a set, a mapping rx ..... x(rx)
of A into X is also called a family in X; in practice, the term family is used for
mappings whose domain A enters only in terms of its set theoretic properties
(i.e., cardinality and possibly order). One writes, in this case, x. for x(:1) and
denotes the family by {x.: rx E A}. Thus every non-empty set X can be viewed
as the family (identity map) x -> x(x E X); but it is important to notice that
if {x.: ex E A} is a family in X, then rx i= f3 does not imply x.i= xp. A sequence
is a family {x n : n EN}, N = {I, 2, 3, ... } denoting the set of natural numbers.
If confusion with singletons is unlikely and the domain (index set) A is clear
from the context, a family will sometimes be denoted by {x.} (in particular, a
sequence by {x n }).
4. Set Operations. Let {X.: rx E A} be a family of sets. For the union of this
family, we use the notations U{X.: rx E A}, U X., or briefly U.Xa if the
.E A
index set A is clear from the context. If {Xn: n E N} is a sequence of sets we
00 k
also write U X., and if {XI' ... , X k } is a finite family of sets we write UXn or
I I
XI U X2 U ... U X k • Similar notations are used for intersections and Car-
tesian products, with U replaced by nand fl
respectively. If {X.: rx E A} is
a family such that X. = X for all rx E A, the product fl.X.
is also denoted by
XA.
If R is an equivalence relation (i.e., a reflexive, symmetric, transitive binary
relation) on the set X, the set of equivalence classes (the quotient set) by R is
denoted by XI R. The map x ..... x (also denoted by x ..... [xD which orders to
each x its equivalence class x (or [x D, is called the canonical (or quotient) map
of X onto XI R.
5. Orderings. An ordering (order structure, order) on a set X is a binary
relation R, usually denoted by ~, on X which is reflexive, transitive, and anti-
symmetric (x ~ y and y ~ x imply x = y). The set X endowed with an order
~ is called an ordered set. We write y ~ x to mean x ~ y, and x < y to mean
x ~ y but x i= y (similarly for x > y). If RI and R2 are orderings of X, we say
that RI is finer than R2 (or that R2 is coarser than R I ) if x(RI)y implies
X(R2)Y. (Note that this defines an ordering on the set of all orderings
of x.)
§A] SETS AND ORDER 3

Let (X, ~) be an ordered set. A subset A of X is majorized if there exists

a o E X such that a ~ ao whenever aEA; ao is a majorant (upper bound) of A.
Dually, A is minorized by ao if ao ~ a whenever a E A; then ao is a minorant
(lower bound) of A. A subset A which is both majorized and minorized, is
called order bounded. If A is majorized and there exists a majorant aD such
that ao ~ b for any majorant b of A, then ao is unique and called the supremum
(least upper bound) of A; the notation is ao = sup A. In a dual fashion, one
defines the infimum (greatest lower bound) of A, to be denoted by inf A. For
each pair (x, y) E X X X, the supremum and infimum of the set {x, y} (when-
ever they exist) are denoted by sup(x, y) and inf(x, y) respectively. (X, ~) is
called a lattice iffor each pair (x, y), sup(x, y) and inf(x, y) exist, and (X, ~) is
called a complete lattice if sup A and inf A exist for every non-empty subset
A c X. (In general we avoid this latter terminology because of the possible
confusion with uniform completeness.) (X, ~) is totally ordered if for each
pair (x, y), at least one of the relations x ~ y and y ~ x is true. An element
x E X is maximal if x ~ y implies x = y.
Let (X, ~) be a non-empty ordered set. X is called directed under ~
(briefly, directed (~» if every subset {x, y} (hence each finite subset) possesses
an upper bound. If Xo E X, the subset {x EX: Xo ~ x} is called a section of X
(more precisely, the section of X generated by x o). A family {Ya: r:t. E A} is
directed if A is a directed set; the sections of a directed family are the sub-
families {Ya: r:t.o ~ r:t.}, for any r:t.o E A.
Finally, an ordered set X is inductively ordered if each totally ordered
subset possesses an upper bound. In each inductively ordered set, there exist
maximal elements (Zorn's lemma). In most applications of Zorn's lemma,
the set in question is a family of subsets of a set S, ordered by set theoretical
inclusion c.
6. Filters. Let X be a set. A set ty of subsets of X is called a filter on X if
it satisfies the following axioms:
(1) ty,., 0 and 0 ¢ 15·
(2) FE 15 and Fe G c X implies G E 15.
(3) FE 15 and G E ty implies F G E ty.
(l

A set '!3 of subsets of X is a filter base if (l ') '!3 ,., 0 and 0 ¢ '!3, and (2') if
B, E'!3 and 8 2 E'!3 there exists B3 E'!3 such that B3 c B, ( l 8 2, Every filter
base I.B generates a unique filter 0: on X such that FE ty if and only if
Be F for at least one BE '!3; '!3 is called a base of the filter ty. The set of all
filters on a non-empty set X is inductively ordered by the relation 0:1 c 152
(set theoretic inclusion of 'l3(X)); tyt c ty2 is expressed by saying that 0:1 is
coarser than ~2' or that ~2 is finer than ~,. Every filter on Xwhich is maximal
with respect to this ordering, is called an ultrafilter on X; by Zorn's lemma,
for each filter ~ on X there exists an ultrafilter finer than 15. If {xa: r:t. E A}
is a directed family in X, the rrnges of the sections of this family form a filter
base on X; the corresponding filter is called the section filter of the family.
 4 PREREQUISITES

An elementary filter is the section filter of a sequence {x n : n EN} in X (N

being endowed with its· usual order).

Literature. Sets: Bourbaki [1], Halmos [3]. Filters: Bourbaki [4], Bushaw
[1]. Order: Birkhoff [1], Bourbaki [1].

B. GENERAL TOPOLOGY

1. Topologies. Let X be a set, ffi a set of subsets of X invariant under finite

intersections and arbitrary unions; it follows that X E ffi, since X is the inter-
section of the empty subset of ffi, and that 0 E ffi, since 0 is the union of
the empty subset of ffi. We say that ffi defines a topology l: on X; structurized
in this way, X is called a topological space and denoted by (X, l:) if reference
to l: is desirable. The sets G E ffi are called open, their complements F = X '" G
are called closed (with respect to l:). Given A c X, the open set A (or int A)
which is the union of all open subsets of A, is called the interior of A; the
closed set A, intersection of all closed sets containing A, is called the closure
of A. An element x E A is called an interior point of A (or interior to A), an
element x E A is called a contact point (adherent point) of A. If A, B are subsets
of X, B is dense relative to A if A c B (dense in A if B c A and A c B). A
topological space X is separable if X contains a countable dense subset; X is
connected if X is not the union of two disjoint non-empty open subsets
(otherwise, X is disconnected).
Let X be a topological space. A subset U c X is a neighborhood of x if
x EO, and a neighborhood of A if x E A implies x E 0. The set of all neigh-
borhoods of x (respectively, of A) is a filter on X called the neighborhood
filter of x (respectively, of A); each base of this filter is a neighborhood base
of x (respectively, of A). A bijectionJ of X (Into another topological space Y
such that J(A) is open in Y if and only if A is open in X, is called a homeo-
morphism; X and Yare homeomorphic if there exists a homeomorphism of
X onto Y. The discrete topology on X is the topology for which every subset
of X is open; the trivial topology on X is the topology whose only open sets
are 0 and X.
2. Continuity and Convergence. Let X, Y be topological spaces and let
J: X --+ Y. J is continuous at x E X if for each neighborhood V of y = J(x),
J-I(V) is a neighborhood of x (equivalently, if the filter on Y generated by
the base J(U) is finer than lB, where U is the neighborhood filter of x, mthe
neighborhood filter of y). Jis continuous on X into Y (briefly, continuous) if
J is continuous at each x E X (equivalently, if J-I(G) is open in X for each
open G c Y). If Z is also a topological space and J: X --+ Yand g: Y --+ Z are
continuous, then g 0 J: X --+ Z is continuous.
A filter ty on a topological space X is said to converge to x E X if ty is finer
than the neighborhood filter of x. A sequence (more generally, a directed
family) in X converges to x E X if its section filter converges to x. If also Y
§B] GENERAL TOPOLOGY 5

is a topological space and ~ is a filter (or merely a filter base) on X, and if

f: X -+ Y is a map, then f is said to converge to Y E Y along ~ if the filter
generated by 1m) converges to y. For example, f is continuous at x E X if
and only iff converges to y = f(x) along the neighborhood filter of x. Given a
filter ~ on X and x E X, x is a cluster point (contact point, adherent point) of
~ if x E F for each F E ~. A cluster point of a sequence (more generally, of a
directed family) is a cluster point of the section filter of this family.
3. Comparison of Topologies. If X is a set and ::t l , ::t2 are topologies on X,
we say that ::t2 is finer than ::tl (or ::tl coarser than ::t 2) if every ::tl-open set
is ::t 2-open (equivalently, if every ::t1-closed set is ::t2-closed). (If (f)l and (f)2
are the respective families of open sets in X, this amounts to the relation
(f)1 c (f)2 in ~(~(X».) Let {::t.: a E A} be a family of topologies on X There
exists a finest topology ::t on X which is coarser than each ::t.(a E A); a set G
is ::t-open if and only if G is:t.-open for each a. Dually, there exists a coarsest
topology ::to which is finer than each ::t.(a E A). If we denote by (% the set
of all finite intersections of sets open for some ::t., the set (f)o of all unions of
sets in (f)~ constitutes the ::to-open sets in X Hence with respect to the relation
"::t2 is finer than ::tl ", the set of all topologies on X is a complete lattice;
the coarsest topology on X is the trivial topology, the finest topology is the
discrete topology. The topology ::t is the greatest lower bound (briefly, the
lower bound) of the family p::.: a E A}; similarly,::t o is the upper bound of the
family {::t.: a E A}.
One derives from this two general methods of defining a topology (Bourbaki
[4]). Let X be a set, {X.: a E A} a family of topological spaces. If {fa: a E A}
is a family of mappings, respectively of X into X., the projective topology
(kerneltopology) on X with respectto the family {( X., fa): a E A} is the coarsest
topology for which each f. is continuous. Dually, if {g.: a E A} is a family of
mappings, respectively of X. into X, the inductive topology (hull topology)
with respect to the family {(X., g.): a E A} is the finest topology on X for
which each g. is continuous. (Note that each/. is continuous for the discrete
topology on X, and that each g. is continuous for the trivial topology on X)
If A = {I} and ::tl is the topology of Xl' the projective topology on X with
respect to (XI,.h) is called the inverse image of::tl under.h, and the inductive
topology with respect to (Xl' g\) is called the direct image of::t, under g,.
4. Subspaces, Products, Quotients. If (X, 2) is a topological space, A a
subset of X, f the canonical imbedding A -+ X, then the induced topology on
A is the inverse image of 2 under f (The open subsets of this topology are
the intersections with A of the open subsets of X) Under the induced
topology, A is called a topological subspace of X (in general, we shall avoid
this terminology because of possible confusion with vector subspaces). If
(X, ::t) is a topological space, R an equivalence relation on X, 9 the canonical
map X -+ XI R, then the direct image of ::t under 9 is called the quotient
(topology) of 2; under this topology, XI R is the topological quotient of
Xby R.
6 PREREQUISITES

Let {Xa: (X E A} be a family of topological spaces, X their Cartesian prod uct,

fa the projection of X onto Xa. The projective topology on X with respect to
the family {(Xa,fa): (X E A} is called the product topology on X. Under this
topology, X is called the topological product (briefly, product) of the family
{Xa: (X E A}.
Let X, Y be topological spaces, f a mapping of X into Y. We say that f is
open (or an open map) if for each open set G c X,f(G) is open in the topo-
logical subspace f(X) of Y. f is called closed (a closed map) if the graph of
fis a closed subset of the topological product X x Y.
5. Separation Axioms. Let X be a topological space. X is a Hausdorff (or
separated) space if for each pair of distinct points x,y there are respective
neighborhoods Ux, Uy such that Ux II Uy = 0. If (and only if) X is separated,
each filter ~ that converges in X, converges to exactly one x E X; x is called
the limit of~. X is called regular if it is separated and each point possesses a
base of closed neighborhoods; X is called normal if it is separated and for
each pair A, B of disjoint closed subsets of X, there exists a neighborhood U
of A and a neighborhood V of B such that U II V = 0.
A Hausdorff topological space X is normal if and only if for each pair
A, B of disjoint closed subsets of X, there exists a continuous function f on
X into the real interval [0,1] (under its usual topology) such that f(x) = °
whenever x E A,/(x) = 1 whenever x E B (Urysohn's theorem).
A separated space X such that for each closed subset A and each b If A,
there exists a continuous functionf: X -+ [0, I] for whichf(b) = 1 andf(x) = °
whenever x E A, is called completely regular; clearly, every normal space is
completely regular, and every completely regular space is regular.
6. Uniform Spaces. Let X be a set. For arbitrary subsets W, V of X x X,
we write W- I = {(y, x): (x, y) E W}, and V W = {(x, z): there exists Y E X
Q

such that (x, y) E W, (y, z) E V}. The set ~ = {(x, x): x E X} is called the
diagonal of X x X. Let 'ill be a filter on X x X satisfying these axioms:

(I) Each WE 'ill contains the diagonal ~.

(2) WE 'ill implies W- I E'ill.
(3) For each WE 1.113, there exists V E 1.113 such that V Q V C W.

We say that the filter 'ill (or anyone of its bases) defines a uniformity (or
uniform structure) on X, each WE 'ill being called a vicinity (entourage) of
the uniformity. Let (\j be the family of all subsets G of X such that x E G
implies the existence of WE 1.113 satisfying {y: (x, y) E W} c G. Then (I) is
invariant under finite intersections and arbitrary unions, and hence defines
a topology:! on X such that for each x E X, the family W(x) = {y: (x, y) E W},
where W runs through 'ill, is a neighborhood base of x. The space (X, 1.113),
endowed with the topology:! derived from the uniformity ~.m, is called a
uniform space. A topological space X is uniformisable if its topology can be
§B] GENERAL TOPOLOGY 7

derived from a uniformity on X; the reader should be cautioned that, In

general, such a uniformity is not unique.
A uniformity is separated if its vicinity filter satisfies the additional axiom
(4)n {W: WE'l.B} = L1.
(4) is a necessary and sufficient condition for the topology derived from the
uniformity to be a Hausdorff topology. A Hausdorff topological space is
uniformisable if and only if it is completely regular.
Let X, Y be uniform spaces. A mapping f: X -> Y is uniformly continuous
if for each vicinity Vof Y, there exists a vicinity U of X such that (x,y) E U
implies U(x), fey)) E V. Each uniformly continuous map is continuous. The
uniform spaces X, Yare isomorphic if there exists a bijection f of X onto Y
such that bothf andf- I are uniformly continuous ;fitself is called a uniform
isomorphism.
If WI and 'l13 2 are two filters on X x X, each defining a uniformity on the
set X, and if WI C 'l13 2 , we say that the uniformity defined by W! is coarser
than that defined by W 2 • If X is a set, {X,: ('J. E A} a family of uniform spaces
andf,«('/. E A) are mappings of X into X" then there exists a coarsest uniformity
on X for which each I.«('/. E A) is uniformly continuous. In this way, one
defines the product uniformity on X = [l,X, to be the coarsest uniformity for
which each of the projections X -> X, is uniformly continuous; similarly,
if X is a uniform space and A c X, the induced uniformity is the coarsest
uniformity on A for which the canonical imbedding A -> X is uniformly
continuous.
Let X be a uniform space. A filter ~ on X is a Cauchy filter if, for each
vicinity V, there exists F E ~ such that F x Fe V. If each Cauchy filter
converges (to an element of X) then X is called complete. To each uniform
space X one can construct a complete uniform space X such that X is
(uniformly) isomorphic with a dense subspace of X, and such that X is
separated if X is. If X is separated, then X is determined by these properties
to within isomorphism, and is called the completion of X. A base of the
vicinity filter of X can be obtained by taking the closures (in the topolog-
ical product X x X) of a base of vicinities of X. A Cauchy sequence in
X is a sequence whose section filter is a Cauchy filter; if every Cauchy
sequence in X converges, then X is said to be semi-complete (sequentially
complete).
If X is a complete uniform space and A a closed subspace, then the uniform
space A is complete; if X is a separated uniform space and A a complete
subspace, then A is closed in X. A product of uniform spaces is complete if
and only if each factor space is complete.
If X is a uniform space, Ya complete separated space, Xo c X andf: Xo -> Y
uniformly continuous; then f has a unique uniformly continuous extension
f: X'o -> Y.
7. Metric and Mctrizable Spaces. If X is a set, a non-negative real function
d on X x X is called a metric if the following axioms are satisfied:
8 PREREQUISITES

(1) d(x, y) = 0 is equivalent with x = y.

(2) d(x, y) = d(y, x).
(3) d(x, z) ~ d(x, y) + dey, z) (triangle inequality).

Clearly, the sets Wn = {(x, y):d(x, y) < n-1}, where n EN, form a filter base
on X x X defining a separated uniformity on X; by the metric space (X, d) we
understand the uniform space X endowed with the metric d. Thus all uniform
concepts apply to metric spaces. (It should be understood that, historically,
uniform spaces are the upshot of metric spaces.) A topological space is
metrizable if its topology can be derived from a metric in the manner indicated;
a uniform space is metrizable (i.e., its uniformity can be generated by a
metric) if and only if it is separated and its vicinity filter has a countable base.
Clearly, a metrizable uniform space is complete if it is semi-complete.
8. Compact and Precompact Spaces. Let X be a Hausdorff topological
space. X is called compact if every open cover of X has a finite subcover.
For X to be compact, each of the following conditions is necessary and
sufficient: (a) A family of closed subsets of X has non-empty intersection
whenever each finite subfamily has non-empty intersection. (b) Each filter
on X has a cluster point. (c) Each ultrafilter on X converges.
Every closed subspace of a compact space is compact. The topological pro-
duct of any family of compact spaces is compact (Tychonov's theorem). If X
is compact, Ya Hausdorffspace,and/: X ~ Y continuous, then/eX) is a com-
pact subspace of Y. If/is a continuous bijection of a compact space X onto a
Hausdorff space Y, then/ is a homeomorphism (equivalently: If (X, :1: 1) is com-
pact and :1:2 is a Hausdorff topology on X coarser than :1:1, then :1:1 = :1: 2),
There is the following important relationship between compactness and
uniformities: On every compact space X, there exists a unique uniformity
generating the topology of X; the vicinity filter of this uniformity is the
neighborhood filter of the diagonal 11 in the topological product X x X. In
particular, every compact space is a complete uniform space. A separated
uniform space is called precompact if its completion is compact. (However,
note that a topological space can be pre compact for several distinct uni-
formities yielding its topology.) X is precompact if and only if for each
vicinity W, there exists a finite subset Xo c X such that Xc U {W(x): x E Xo}.
A subspace of a precompact space is precompact, and the product of any
family of precompact spaces is precompact.
A Hausdorff topological space is called locally compact if each of its points
possesses a compact neighborhood.
9. Category and Baire Spaces. Let X be a topological space, A a subset of
X. A is called nowhere dense (rare) in X if its closure it has empty interior;
A is called meager (of first category) in X if A is the union of a countable set
of rare subsets of X. A subset A which is not meager is called non-meager (of
second category) in X; if every non-empty open subset is nonmeager in X,
then X is called a Baire space. Every locally compact space and every complete
§C] LINEAR ALGEBRA 9

metrizable space is a Baire space (Baire's theorem). Each non-meager subset

of a topological space X is non-meager in itself, but a topological subspace
of X can be a Baire space while being a rare subset of X.

Literature: Berge [I]; Bourbaki [4], [5], [6]; Kelley [I]. A highly recom-
mendable introduction to topological and uniform spaces can be found in
Bushaw [I].

C. LINEAR ALGEBRA

I. Vector Spaces. Let L be a set, K a (not necessarily commutative) field.

Suppose there are defined a mapping (x, y) --+ x + y of L x L into L, called
addition, and a mapping (A, x) --+ Ax of K x L into L, called scalar multiplica-
tion, such that the following axioms are satisfied (x, y, z denoting arbitrary
elements of L, and A, Jl arbitrary elements of K):

(1) (x + y) + z = x + (y + z).
(2) x + y = y + x.
(3) There exists an element 0 E L such that x + 0 = x/or all x E L.
(4) For each x E L, there exists z E L such that x + z = O.
(5) A(X + y) = Ax + Ay.
(6) (A + Jl)x = Ax + JlX.
(7) A(JlX) = (AJl)X.
(8) Ix = x.

Endowed with the structure so defined, L is called a left vector space over
K The element 0 postulated by (3) is unique and called the zero element of L.
(We shall not distinguish notationally between the zero elements of Land
K) Also, for any x E L the element z postulated by (4) is unique and denoted
by -x; moreover, one has -x = (-l)x, and it is customary to write x - y
for x + (- y).
If (1)-(4) hold as before but scalar multiplication is written (A, x) --+ XA and
(5)-(8) are changed accordingly, L is called a right vector space over K By
a vector space over K, we shall always understand a left vector space over K
Since there is no point in distinguishing between left and right vector spaces
over K when K is commutative, there will be no need to consider right vector
spaces except in CA below, and Chapter I, Section 4. (From Chapter II on,
K is always supposed to be the real field R or the complex field C.)
2. Linear Independence. Let L be a vector space over K An element
A,X, + ... + AnXno where n EN, is called a linear combination of the elements
n
Xi E L(i = I, ... , n); as usual, this is written L AiXi or LiAiXi' If {xa: IY. E H}
i= 1
is a finite family, the sum of the elements Xa is denoted by L Xa; for reasons
aeH
of convenience, this is extended to the empty set by defining
xe0
L x = O. (This
10 PREREQUISITES

should not be confused with the symbol A + B for subsets A, B of L, which

by A.2 has the meaning {x + y: x E A, y E B}; thus if A = 0, then A + B = 0
for all subsets BeL.) A subset A c L is called linearly independent if for every
non-empty finite subset {Xi: i = J, ... , n} of A, the relation l>1. i X i = 0 implies
Ai = 0 for i = I, ... , n. Note that by this definition, the empty subset of L is
linearly independent. A linearly independent subset of L which is maximal
(with respect to set inclusion) is called a basis (Hamel basis) of L. The existence
of bases in L containing a given linearly independent subset is implied by
Zorn's lemma; any two bases of L have the same cardinality d, which is called
the dimension of L (over K).
3. Subspaces and Quotients. Let L be a vector space over K. A vector
subspace (briefly, subspace) of L is a non-empty subset M of L invariant under
addition and scalar multiplication, that is, such that M + M c M and
KM c M. The set of all subspaces of L is clearly invariant under arbitrary
intersections. If A is a subset of L, the linear hull of A is the intersection M of
all subspaces of L that contain A; M is also said to be the subspace of L
generated by A. M can also be characterized as the set of all linear com-
binations of elements of A (including the sum over the empty subset of A).
In particular, the linear hull of 0 is {O}.
If M is a subspace of L, the relation "x - Y EM" is an equivalence
relation in L. The quotient set becomes a vector space over K by the definitions
x + y = x + y + M, AX = h + M where x = x + M, Y = y + M, and is
denoted by L/ M.
4. Linear Mappings. Let L I, L2 be vector spaces over K. I: LI -> L2 is
called a linear map if I(AIX I + A2 x 2 ) = At/(X I ) + Ad(x 2) for all AI' A2 E K
and XI' X2 ELI' Defining addition by (fl + j~)(x) = II (x) + f2(x) and scalar
multiplication by (fA)(X) = I(h)(x E L I ), the set L(LI' L 2) of all linear maps
of LI into L2 generates a right vector space over K. (If K is commutative, the
mapping x -+ I(h) will be denoted by J.f and L(LI' L 2) considered to be a left
vector space over K.) Defining (fA)(X) = f(X)A if L2 is the one-dimensional
vector space Ko(over K) associated with K, we obtain the algebraic dual Li
of L I • The elements of L i are called linear forms on L I .
L I and L2 are said to be isomorphic if there exists a linear bijective map
f: LI -+ L 2 ; such a map is called an isomorphism of LI onto L 2. A linear
injective map I: LI -+ L2 is called an isomorphism of LI into L 2.
If f: LI -+ L2 is linear, the subspace N = f-I(O) of LI is called the null
space (kernel) off f defines an isomorphism fo of Ld N onto M = I(L I ); 10
is called the bijective map associated with f If <P denotes the quotient map
LI -+ LI/ Nand t/J denotes the canonical imbedding M -+ L 2 , thenf = t/J 0/0 0 <p
is called the canonical decomposition off
5. Vector Spaces ot'er Valuated Fields. Let K be a field, and consider the
real field R under its usual absolute value. A function A -+ IAI of K into R+
(real numbers ~ 0) is called an absolute value on K if it satisfies the following
axioms:
§C] LINEAR ALGEBRA 11

(1) IAI = 0 is equivalent with A= O.

(2) IA + JlI ~ P·I + 1111·
(3) IAJlI = IAIII1I·
The function (A, 11) -> IA - III is a metricon K; endowed with this metric and
the corresponding uniformity, K is called a valuated field. The valuated field
K is called non-discrete if its topology is not discrete (equivalently, if the
range of A-> IAI is distinct from {O,!}). A non-discrete valuated field is neces-
sarily infinite.
Let L be a vector space over a non-discrete valuated field K, and let A, B be
subsets of L. We say that A absorbs B if there exists Ao E K such that B C AA
whenever IAI ~ IAol. A subset U of L is called radial (absorbing) if U absorbs
every finite subset of L. A subset C of L is circled if AC c C whenever IAI ~ 1.
The set of radial subsets of L is invariant under finite intersections; the
set of circled subsets of L is invariant under arbitrary. intersections. If A c L,
the circled hull of A is the intersection of all circled subsets of L containing A.
Let f: Ll -> L z be linear, Ll and L z being vector spaces over a non-discrete
valuated field K. If A eLl and Be L z are circled, thenf(A) andf- 1 (B) are
circled. If B is radial then f-I(B) is radial; if A is radial and f is surjective,
thenf(A) is radial.
The fields Rand C of real and complex numbers, respectively, are always
considered to be endowed with their usual absolute value, under which they
are non-discrete valuated fields. In addition, R is always considered under its
usual order.

Literature: Baer [I]; Birkhoff-MacLane [I]; Bourbaki [2], [3], [7].