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Serre modularity over real quadratic fields

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Abstract

Assuming GRH for Dedekind zeta functions, we prove Serre’s conjecture over the real quadratic fields Q(d)\mathbf Q(\sqrt d) for d∈{2,3,5,6,7,10,11,13,17,21,33,37,41,57,65,73,89}. d\in\{2,3,5,6,7,10,11,13,17,21,33,37,41,57,65,73,89\}. More precisely, every continuous, absolutely irreducible, totally odd two-dimensional Galois representation over these fields in odd residual characteristic is modular. The result for d=17d=17 is unconditional; for d=33d=33, GRH can be replaced by the assertion that Dedekind zeta functions have no zeros with real part greater than 31/3231/32. The proof combines conductor reduction with local ramification estimates and global discriminant bounds. Its principal new ingredients are a modularity criterion for 22-adic representations with scalar reduction and integral trace arguments that force quadratic descent or bound coefficient fields. Uniform local lifting constructions allow these methods to treat arbitrary conductor.

Introduction

Let KK be a real quadratic field. We study Serre’s conjecture for continuous absolutely irreducible totally odd representations GK→GL2(Fp)G_K \to\mathrm{GL}_2(\mathbb{F}_p), with pp odd and with arbitrary conductor. Here modularity means occurrence in the reduction of the Galois representation of a regular algebraic cuspidal Hilbert modular form. We do not prescribe its weight or level.

Over Q\mathbb{Q}, the conjecture originated in Serre’s questions about modular eigenvalues modulo a prime and was subsequently refined by his predictions for weight, level and character [58 Section 3, Problem 1], [60]. The lifting theorems of Wiles, Taylor–Wiles and Skinner–Wiles, together with potential modularity, laid the foundations for its proof [74, 67, 62, 66].

An essential step in this development was the construction of compatible systems containing a given representation. Dieulefait proved such an existence theorem over Q\mathbb{Q}, in its original crystalline range, using potential modularity and descent [18 Theorem 1.1]. This permits a change of residual characteristic while retaining a single characteristic-zero compatible system. The method was used to establish cases of the Fontaine–Mazur conjecture and small-level cases of Serre’s conjecture [19, 39]. Khare and Wintenberger subsequently proved Serre’s conjecture in full generality [40, 41], with Kisin’s two-adic modularity lifting theorem providing the final dyadic input [43]. Later lifting theorems permit shorter versions of this proof, as in Dieulefait–Pacetti [24]. Over totally real fields, the corresponding strategy of connecting residual representations through compatible systems is formulated in the Rayuela conjecture [23].

Over a real quadratic field, discriminant bounds need not exclude all small-characteristic representations of small conductor. For example, the elliptic curve

y2+6xy+(1+6)y=x3+(1−6)x2−(1+36)x−1−26y^2 + \sqrt{6}xy + (1+\sqrt{6})y = x^3 + (1-\sqrt{6})x^2 - (1+3\sqrt{6})x - 1 - 2\sqrt{6}

has everywhere good reduction over Q(6)\mathbb{Q}(\sqrt{6}); its label is 2.2.24.1-1.1-a1 in [45]. Thus the base cases must establish modularity of surviving representations, rather than only nonexistence. In addition, residual reducibility and ordinarity of a characteristic-zero source are different conditions. A congruence is useful only when modularity can be transferred back to that actual source.

Our starting point is the characteristic-three method of Dieulefait–Pacetti over Q(13)\mathbb{Q}(\sqrt{13}) [25]. Successive discriminant comparisons restrict the residual images, and a conductor reduction relates arbitrary representations to the remaining base case. We retain this distinction between the residual base and the conductor argument, remove the restriction at two, and supply new source theorems where residual modularity alone is insufficient. Fontaine’s local bounds, refined local ramification calculations, and global discriminant estimates provide the arithmetic input [31, 46, 47]; finite-flat groups and integral trace orders control the scalar and dihedral cases.

The results below use the lifting and automorphic inputs specified in Sections 2 and 5. In particular, statements involving the split-dyadic scalar argument are relative to the dyadic structural and propagation results listed there, including the cited preprints. These inputs are distinct from the analytic hypothesis GRH. Write dd for a squarefree radicand.

Theorem 1.1. Let

d∈{2,3,5,6,7,10,11,13,17,21,33,37,41,57,65,73,89},K=Q(d).d \in\{2,3,5,6,7,10,11,13,17,21,33,37,41,57,65,73,89\}, \qquad K = \mathbb{Q}(\sqrt{d}).

Assume GRH for Dedekind zeta functions. For every odd prime pp, every continuous absolutely irreducible totally odd representation

ρ‾:GK⟶GL2(F‾p)\overline{\rho}: G_K \longrightarrow\mathrm{GL}_2(\overline{\mathbb{F}}_p)

is modular.

For d=17d = 17 the theorem holds without GRH. For d=33d = 33 the proof also works with the zero-free hypothesis stated in Corollary 29.2. The analytic arguments for both variants are included in § 9.10. Further nonordinary source arguments and individual residual-image exclusions hold without GRH; these refinements are recorded in the corresponding proofs.

Structural theorems

The field list is an application of three mechanisms: conductor reduction to a specified terminal characteristic, scalar modularity from a quadratic Selmer condition, and coefficient-field rigidity from simultaneous integral trace orders. We state these mechanisms separately, since their hypotheses have different roles.

Conductor reduction. A strongly compatible system, and the conventions for weight two, are specified in § 2.1. The following theorem concerns a system already constructed in characteristic zero; it does not supply an initial lift of an arbitrary residual representation.

Theorem 1.2 (Conductor reduction at a split terminal prime). Let KK be real quadratic, suppose two does not split in KK, and let ℓ\ell be an odd rational prime that splits in KK. Assume:

(i) every absolutely irreducible totally odd representation GK→GL⁡2(F‾ℓ)G_K \to\operatorname{GL}_2(\overline{\mathbb{F}}_\ell) of determinant χˉℓ\bar{\chi}_\ell and unramified outside ℓ\ell is modular;

(ii) for every reducible representation with that determinant and ramification support, its constituent quotient is totally odd and extends to GQG_{\mathbb{Q}}.

Then every nondihedral potentially modular weight-two strongly compatible system over KK, whose determinant is cyclotomic times a finite totally even character, is modular.

The proof is given in § 2.5. The quotient in hypothesis (ii) is automatically totally odd, since its two constituents have product χˉℓ\bar{\chi}_\ell.

A scalar Selmer condition. Suppose two splits in KK, with dyadic places w0,w1w_0,w_1. Put

Vw0+(K)={[a]∈K×/K×2:a is totally positive,vq(a)≡0(mod2)(q∤2),a∈Kw1×2}.(1)V^+_{w_0}(K) = \left\{[a] \in K^\times/K^{\times2} : \begin{array}{l} a\text{ is totally positive},\\ v_{\mathfrak q}(a) \equiv0 \pmod{2}\quad(\mathfrak q \nmid2),\\ a \in K_{w_1}^{\times2}\end{array} \right\}. \tag*{(1)}

This finite squareclass space classifies totally real quadratic extensions unramified outside w0w_0 and split at w1w_1. Quadratic conjugation exchanges the two choices of dyadic place. The condition we use is

Vw0+(K)=0.V^+_{w_0}(K) = 0.

(SV)

It is not an odd-narrow-class-number condition.

Theorem 1.3 (Scalar dyadic modularity). Let KK be a real quadratic field in which two splits and (SV) holds. Under the dyadic structural, propagation and classicality inputs of § 2.4, let E/Q2E/\mathbb{Q}_2 be finite and let r:GK→GL⁡2(E)r : G_K \to\operatorname{GL}_2(E) be continuous and absolutely irreducible, unramified outside finitely many places, with det⁡r=ε2\det r = \varepsilon_2 and rss=1⊕1r^{\mathrm{ss}} = \mathbf{1} \oplus\mathbf{1}. Suppose that at both dyadic places rr is absolutely irreducible, de Rham and has distinct Hodge–Tate weights. Then rr is automorphic.

Sections 7–8 construct the auxiliary fields and prove the theorem. Together with a residual base at two and a two-power ordinary class number, it gives the split-dyadic Serre criterion of Theorem 10.1. The seven split-dyadic fields in the main theorem satisfy these arithmetic conditions. The Selmer vanishing is also valid when the narrow class number is even.

Integral trace orders and symmetry. Let R\mathcal{R} be a strongly compatible system of cyclotomic determinant over a real quadratic field KK, with trace field DD. For finitely many coefficient orbits, form their simultaneous integral matrix order E0E_0, including the trace scalars and every dyadic coefficient place, as in § 3.1. Its rank is four times the sum of the trace-field degrees. The integral order, rather than a single residual two-dimensional realization, is essential here.

Theorem 1.4 (A trace-order bound and quadratic symmetry). Let K/QK/\mathbb{Q} be real quadratic with conjugation σ\sigma, and let R\mathcal{R} be an absolutely irreducible strongly compatible rank-two system with cyclotomic determinant and trace field DD. Let h,ηh,\eta be restrictions of quadratic characters of GQG_{\mathbb{Q}}. Form the coefficient orbits generated by

H(R)=R⊗h,G(R)=Rσ⊗η.H(\mathcal{R})=\mathcal{R}\otimes h,\qquad G(\mathcal{R})=\mathcal{R}^{\sigma}\otimes\eta.

Suppose R≄R⊗h\mathcal{R}\not\simeq\mathcal{R}\otimes h and their simultaneous integral order satisfies dim⁡F2(E0/2E0)<32\dim_{\mathbb{F}_2}(E_0/2E_0)<32. Then either

Rσ≃R⊗ηorRσ≃R⊗ηh,\mathcal{R}^{\sigma}\simeq\mathcal{R}\otimes\eta\quad\text{or}\quad\mathcal{R}^{\sigma}\simeq\mathcal{R}\otimes\eta h,

or [D:Q]≤2[D:\mathbb{Q}]\leq2 or D/QD/\mathbb{Q} is biquadratic. In the latter alternatives every coefficient prime has residue degree at most two. In the former alternatives, a totally odd regular system is modular by quadratic descent.

The arithmetic work in applying Theorem 1.4 lies in bounding the actual order. The finite-flat ramification theorem 11.7 and the regular-order construction in § 3.1 supply different parts of this argument. The bound of twenty-six over Q(11)\mathbb{Q}(\sqrt{11}) then gives the coefficient-field alternative directly; the bound of ten over Q(3)\mathbb{Q}(\sqrt{3}) uses Corollary 12.4.

Two further source theorems have a separate role. Proposition 20.3 constructs the initial lift in the exceptional characteristic-five case over Q(5)\mathbb{Q}(\sqrt{5}), which the general prescribed-lift theorem excludes. Theorem 21.36 proves modularity of the nonordinary reducible characteristic-three source over Q(21)\mathbb{Q}(\sqrt{21}). Its proof kills the anti-invariant part of the full pseudodeformation cotangent space and applies Lemma 12.1; no finiteness theorem for the whole pseudodeformation ring is needed. These are source theorems, not consequences of residual-image bounds alone.

Field applications

The terminal characteristics of the outer conductor reductions are listed below. A source proof may use other coefficient characteristics internally. At every backward step the lifting theorem is applied to the actual old source, with its weight and local ordering retained.

Part I develops the lifting constructions, conductor criteria, scalar theorem and integral-order methods. Part II proves the required source theorems. Part III verifies the remaining residual bases and assembles the field results. The appendices specify the longer finite calculations; their programs and outputs are provided in [49].

Buzzard–Diamond–Jarvis formulated the weight conjecture at unramified residual primes [10]; see also [34]. Our modularity results yield the weight part of Serre’s conjecture under the image hypotheses of Gee–Liu–Savitt [36 Theorem 6.2.1]. Namely, suppose the residual representation remains absolutely irreducible after adjoining the roots of unity of order the residual characteristic and, in characteristic five, that the projective image of this restriction is not the alternating group on five letters. Then the occurring Serre weights are exactly those prescribed by the local crystalline-lift recipes, including at ramified residual primes and for all predicted companion weights. These consequences inherit the assumptions of the corresponding modularity theorem; the weight theorem introduces no further analytic hypothesis.

General criteria and local methods

Compatible systems and congruences

We use dd for the squarefree radicand, DD for a fundamental discriminant, and qq for the residual coefficient-field cardinality. The finite arithmetic and numerical checks are supplied in [49]; the three longer certificate descriptions appear in the appendices.

Throughout, GF=Gal⁡(F‾/F)G_F = \operatorname{Gal}(\overline{F}/F) and the cyclotomic character χp\chi_p has labelled Hodge–Tate weight one. Irreducibility means absolute irreducibility. A representation is totally odd if every real complex conjugation has determinant −1-1.

A system over a totally real field is a pure, regular, totally odd, absolutely irreducible, strongly compatible rank-two system. We require compatibility of the Frobenius-semisimplified Weil–Deligne representations at every finite place, including a place above the coefficient characteristic, and compatibility of labelled weights. Its conductor support consists of the places where the common Weil–Deligne representation is ramified or has nonzero monodromy. Outside this support its pp-adic member is crystalline above pp and unramified at the other places. Weight two means labelled weights {0,1}\{0,1\}. Regular weights may include negative integers.

On the closure of a special local component the Frobenius eigenvalues have ratio N(v)N(v). For a pure system, monodromy cannot vanish at such a place: otherwise both eigenvalues would have the same complex absolute value, contradicting that ratio.

We write R⇝R′\mathcal{R} \rightsquigarrow\mathcal{R}' when a congruence, possibly followed by a finite character twist, has the property that modularity of R′\mathcal{R}' implies modularity of R\mathcal{R}. Every such implication below is an application of a lifting theorem to the actual old characteristic-zero member. Finite twists preserve modularity. Equality of good Frobenius polynomials and Chebotarev then propagate modularity from one member to the whole system.

Residual witnesses and lifting

Lemma 2.1. Let FF be totally real of even degree. An irreducible residual representation with a regular algebraic cuspidal Hilbert modular witness has a parallel-weight-two cuspidal witness, after allowing arbitrary level.

Proof. Transfer the witness to the quaternion algebra over FF ramified at every real place and split at every finite place. At sufficiently small level U=UpUpU = U^pU_p, reduction of a primitive integral eigenvector is nonzero, with coefficient module VV over a finite field kk. Its UpU_p-action factors through a finite quotient GG; write Up′U'_p for the kernel. The map V→Map⁡(G,V)V \to\operatorname{Map}(G,V) given by v↦(g↦gv)v \mapsto(g \mapsto gv) is equivariant for (hf)(g)=f(gh)(hf)(g)=f(gh). The target is a sum of regular representations.

::: Pointwise application and induction in stages give the same away-from-pp Hecke eigencharacter in scalar forms of level UpUp′U^pU'_p. Their integral space is OX\mathcal{O}^X for a finite double-coset set XX, so reduction is surjective. Deligne–Serre’s lifting lemma [17 Lemme 6.11] lifts the eigencharacter to characteristic zero. A norm character would have reducible residue; inverse Jacquet–Langlands therefore gives a parallel-weight-two cuspidal form.

Retaining both operators TvT_v, SvS_v, with polynomial X2−TvX+N(v)SvX^2-T_vX+N(v)S_v, preserves the residual trace and determinant. Chebotarev and Brauer–Nesbitt identify the residue. No exact characteristic-zero central character or ordinary ordering is prescribed by this argument.

Totally odd solvable residual representations have solvable Artin witnesses, followed by regular weight raising, in the scopes of automorphic induction and Langlands–Tunnell; see [3 Theorem 1.2(1), Lemma 2.1 and proof of Theorem 2.5]. Lemma 2.1 gives weight two whenever it is needed. We use Dickson’s classification and the rank-two adequacy criterion [6 Proposition A.2.1] throughout.

Lemma 2.2. Let KK be real quadratic, p>2p > 2, and let r:GK→GL⁡2(Q‾p)r : G_K \to\operatorname{GL}_2(\overline{\mathbb{Q}}_p) be finitely ramified and totally odd, with modular residue whose restriction to GK(ζp)G_{K(\zeta_p)} is irreducible. Then rr is modular in either case:

(i) pp splits in KK, and rr is potentially semistable with distinct labelled weights at the places above pp;

(ii) rr is de Rham of labelled weights {0,1}\{0,1\} above pp, and its residue has a parallel-weight-two modular witness.

Proof. Apply respectively [70 Theorem 4.7] and [3 Theorem 2.3], dualizing to their inverse-cyclotomic normalization when required. In (ii), the parallel-weight-two witness gives the required weight-zero automorphic convention.

Lemma 2.3. Let FF be a totally real extension of a real quadratic field, and let r:GF→GL⁡2(Q‾2)r : G_F \to\operatorname{GL}_2(\overline{\mathbb{Q}}_2) be finitely ramified and totally odd, with determinant χ2ψ\chi_2\psi, where ψ\psi has finite order. Suppose its residue is nonsolvable. Then rr is modular in either case:

(i) rr is nearly ordinary of regular weights at every dyadic place and its residue has a nearly ordinary regular modular witness with the required residual ordinary ordering;

(ii) rr is potentially Barsotti–Tate and potentially nonordinary at every dyadic place and its residue has a regular modular witness.

Proof. The first case is [2 Theorem 5.2.1]. If the line and quotient have weights bτ>aτb_\tau> a_\tau with sum one, its parameters are wτ=aτw_\tau= a_\tau and kτ=bτ−aτ+1k_\tau= b_\tau- a_\tau+ 1, so kτ+2wτ=2k_\tau+ 2w_\tau= 2. Nonsolvability excludes the CM-dihedral exception; residual distinctness is not imposed.

In the second case choose finite Galois extensions of the dyadic completions over which the source is Barsotti–Tate. The solvable local realization theorem [5 Chapter X, Section 2], in the form [14 Theorem 3.1 and Example 3.3], realizes them in a solvable totally real Galois extension. No degree is prescribed. The nonsolvable residual projective image is PSL⁡2(F2a)\operatorname{PSL}_2(\mathbb{F}_{2^a}), a≥2a \ge2; its image after solvable Galois restriction is normal with solvable quotient and is unchanged. Solvable base change retains a cuspidal modular witness, put in weight two by Lemma 2.1. Apply [43 Theorem 3.3.5]. Its condition that a dyadic completion equal Q2\mathbb{Q}_2 applies only at potentially ordinary places, and there are none.

For descent take a cyclic series. Strong multiplicity one makes the automorphic representation invariant at each step because the Galois representation extends downstairs. The descended Galois representation differs from the given one by a character of the cyclic quotient. Twisting and iterating proves modularity over FF; see [7 Lemma 2.2.2].

Globalization and compatibility

Lemma 2.4. Let KK be real quadratic, fix a finite set SS of places containing the coefficient places and all residual ramification, and let rˉ\bar{r} be totally odd with irreducible cyclotomic restriction. At coefficient characteristic two assume nonsolvable image. Fix a totally odd global de Rham determinant lifting its determinant and unramified outside SS, and nonempty compatible local components with regular weights at the coefficient places. Outside the exceptional characteristic-five case of [28 Definition 4.1.1], these components admit a global lift unramified outside SS. Once such a lift has been constructed, it is potentially modular and belongs to a strongly compatible system in the following cases:

(i) odd coefficient characteristic and parallel weight two, with irreducible cyclotomic residual restriction;

(ii) odd coefficient characteristic, adequate cyclotomic residue, and regular potentially diagonalizable crystalline local components;

(iii) coefficient characteristic two, determinant χ2\chi_2, and either ordinary crystalline components of regular weights at all dyadic places, or potentially nonordinary crystalline components of weight two at all dyadic places.

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