For a bounded operator on a complex Banach space, the resolvent set is , and the resolvent operator is . The spectrum is its complement ; the point spectrum consists of with . For a real Banach space these definitions use its complexification.
If , the norm-convergent Neumann series gives , so the spectrum is bounded. If , factor
The second factor is invertible by a Neumann series whenever . Thus the resolvent set is open and the spectrum is closed and bounded.
The point spectrum need not be closed. On , define . Every is an eigenvalue, but zero is not: forces every coordinate of to vanish. No other eigenvalues occur, so is not closed.
Finally, if is self-adjoint and , , then is real and equals under the convention linear in the first argument. Therefore every eigenvalue of a self-adjoint operator is real.
Let , and . For sufficiently small , decompose the increment into an -segment at height and a -segment at . The one-variable mean value theorem applies on each segment because existence of its partial derivative gives continuity along the segment. Thus, when both increments are nonzero,
for some . The same formula with the absent segment omitted covers zero increments. Continuity of both partial derivatives at makes the remainder after subtracting at most for small increments, and hence at most . Therefore the Fréchet derivative is . Continuity throughout the disc is not required; continuity at the point suffices.
For the determinant, expand by multilinearity of the determinant in the columns of . Taking no perturbed column gives one; taking exactly one gives ; all other terms have degree at least two in the entries of . Since matrix-entry functionals are bounded in any finite-dimensional norm, their sum is . Hence
For invertible , multiplicativity of the determinant gives . The bounded linear map transfers the preceding remainder estimate, giving the derivative of the determinant
To justify an open invertible neighborhood, let . Completeness and submultiplicativity make the Neumann series converge in matrix norm. Multiplying finite partial sums by gives , which tends to . Continuity of multiplication proves . Thus is invertible, and the series gives near zero.
Apply the first-derivative formula at to a test matrix :
The last estimate is uniform for , so it proves differentiability of the derivative in the operator norm, rather than merely a directional second derivative. The second derivative of the determinant is the symmetric bilinear map
Its symmetry follows from .
Take a nonzero complex unital Banach algebra, with identity . The spectrum of an element is
The standard Banach algebra spectrum theorem states that it is a nonempty compact subset of , contained in the disk . Conversely, every nonempty compact set occurs: in the Banach algebra , the coordinate function has Banach algebra spectrum exactly , since has a continuous reciprocal precisely when . Thus the possible Banach algebra spectra are exactly the nonempty compact subsets of the complex plane.
For a nonconstant polynomial , factor over . Substitution gives
These factors commute. A finite commuting product is invertible exactly when every factor is invertible: if is invertible, its inverse commutes with each , and is a two-sided inverse. Hence belongs to the Banach algebra spectrum of exactly when some root belongs to , which is equivalent to . Constant polynomials give the same result directly, since . This proves the polynomial spectral mapping theorem:
For a closed unital Banach subalgebra , use the common identity . An inverse in is an inverse in , so . Let . Choose tending to . Then , and . If were outside , continuity of inversion in would give
where membership follows from closedness. This would make , contrary to the closed Banach algebra spectrum having its boundary inside it. Therefore and is approached by points outside that Banach algebra spectrum, proving
Continuity of inversion here follows, for example, by writing a nearby element as an invertible element times a norm-small perturbation and using the Neumann series. This is spectrum in a closed unital subalgebra.
To retain the original Banach algebra spectrum in a commutative subalgebra, take the resolvent-generated commutative algebra
Every generator commutes with and with every other generator: commuting invertible elements have commuting inverses, and their inverses commute with all elements commuting with them. commutativity persists on the algebra they generate and on its norm closure. For every , the required inverse is in by construction, so . The inclusion for unital subalgebras gives the reverse containment. Hence .
Finally, the Banach subalgebra generated by one element is , and it is commutative. Put and suppose its complement has a bounded connected component . The boundary of lies in . For , the maximum modulus principle on a bounded domain applied to any polynomial gives
Here is the spectral radius, and the equality uses the already proved polynomial spectral mapping theorem. Define . The displayed bound makes this well defined, even when two polynomials represent the same algebra element, and bounded on the dense polynomial algebra. Its continuous extension to remains linear and multiplicative, with and , so it is a character of an algebra. If were invertible in , applying to its inverse equation would give . Thus , contradicting .
There are therefore no bounded complementary components. A compact subset of the plane has exactly one unbounded complementary component: everything outside a sufficiently large disk is connected, and every unbounded component meets it. Consequently
Use additive notation and fix Haar measure on . A continuous unitary character is a continuous homomorphism . With the convention
the Fubini theorem and the character identity imply . Also , and choosing for a nonzero nonnegative shows that evaluation at is a nonzero functional. Thus each character gives a character of an algebra on the L1 convolution algebra. Here a multiplicative linear functional means a nonzero multiplicative linear functional; the zero functional must be excluded for the claimed bijection.
Conversely, let be such a functional. It is automatically bounded with : extend it to the unitization of an algebra by . If , the Neumann series makes invertible, so its image under the unital homomorphism cannot be zero. Hence cannot lie outside the norm disc.
Choose with , and let . The Abelian translation identities give
Therefore, defining , one has for every . Applying this to two successive translations gives and . By translation continuity in Lp on a locally compact group, is continuous. It is uniformly bounded by ; applying this bound to for positive and negative integers forces . Thus is a continuous unitary character.
The Bochner integral identity holds in , since . Applying the bounded functional yields
Cancel to obtain the required correspondence
The recovery formula proves uniqueness. These functionals have norm exactly one, since with and has .
For the topology, identify the Pontryagin dual group with these functionals and give it the Gelfand topology, namely pointwise convergence of for every . If a net converges to uniformly on every compact subset of , then for ,
Density of in and the uniform functional norm bound one extend this convergence to every .
Conversely, suppose convergence in the Gelfand topology and choose with . For compact , the set is compact in by translation continuity in Lp on a locally compact group. Evaluation convergence is uniform on this compact set: a finite -net reduces its supremum to finitely many convergent evaluations plus , using the common functional norm one. Thus
Now , and . Dividing this identity proves . Hence the Gelfand topology is exactly the compact-open topology, with the requested neighbourhood basis
For compact , the continuous difference attains its maximum, so this strict pointwise inequality on is equivalent to a strict uniform bound. Finite intersections contain another such set by taking the union of the compact sets and the minimum of the tolerances.
Because is a closed subalgebra of a Banach algebra, it is itself complete. If , the Neumann series converges in :
Multiplying the partial sums by on either side gives , which tends to . Thus every such is invertible in , and is an interior point of .
For , any with has the factorization
The second factor has a Neumann series inverse in , so . Hence the group of invertible elements of a Banach algebra is open in .
For use its inverse in instead. The same small-perturbation argument proves invertibility of in whenever and . Therefore both and are open subsets of ; in the second argument the inverse need not lie in .
Suppose the inverse norms did not tend to infinity. Some subsequence would satisfy . Since , for its large indices . Then
is invertible in by the Neumann series, contradicting the hypothesis. Hence , the inverse norm divergence at noninvertible boundary points property.
If were invertible in , then continuity of inversion in a Banach algebra would give in . Explicitly, the same factorization around gives a Neumann series and the bound , with the inverse norms locally bounded in . Since every belongs to the closed subalgebra , so would . That would make , again a contradiction. Therefore .
A character of an algebra is a nonzero multiplicative complex linear functional . Nonzeroness and multiplicativity force , so it is onto . Its kernel is an ideal, and the quotient is the field , making the kernel maximal.
Continuity is automatic. The element cannot be invertible, since applying to an inverse equation would give . On the other hand is invertible whenever , by the Neumann series. Hence , the automatic continuity of characters bound.
Conversely let be a maximal ideal. Its closure is an ideal, because multiplication is continuous. That closure is proper: otherwise there would be with , making invertible by the Neumann series and forcing . Maximality gives . The quotient is consequently a Banach algebra. It is a division algebra: for any , the larger ideal equals , so the class of has an inverse. By the Gelfand-Mazur theorem, , and its quotient map gives a continuous character of an algebra with kernel .
If two algebra characters have the same kernel, then lies in the second kernel, giving for every . Thus
is a bijection. This proves that maximal ideals of a commutative complex unital Banach algebra are character kernels.
The midpoint quadratic spline collocation matrix is
Its strict diagonal dominance margin is at least . The inverse infinity-norm bound from diagonal dominance thus already proves : choosing an index where a vector attains its maximum absolute entry gives , which also proves invertibility.
To evaluate the finite-dimensional norm exactly, set and . If is the matrix with ones on its two adjacent diagonals and zeros elsewhere, then . Since , the Neumann series
has nonnegative entries. Thus has absolute entry values equal to those of . Its absolute row-sum vector is , characterized by
The homogeneous roots are , and the constant particular solution is . Writing and imposing the two boundary values gives
This is largest at the middle row or rows. Therefore, with , the exact norm is
For example, it is for and for , and it increases towards two as the system grows. Thus two is a uniform bound, rather than the exact finite- inverse norm.
Fix a Fredholm operator . Split its domain as and its target as . For a sufficiently small norm perturbation , write
where remains invertible by the Neumann series. Invertible triangular row and column operations reduce this matrix to
The second block maps the finite-dimensional space into . Hence the perturbed operator has closed range, finite kernel and cokernel, and
since the rank of that finite block cancels from the difference. Thus the Fredholm set is open and its index is locally constant, hence norm continuous.
If are Fredholm, their product is Fredholm by multiplying their invertible images in the Calkin algebra. For index additivity use the following finite-dimensional exact sequence:
Here is reduction modulo , the induced -map sends to , and the last map is the quotient by the larger range . These maps are well-defined. For example, is the image of the preceding map. If , subtracting a suitable makes , proving exactness at . The other positions follow directly from the definitions. Alternating dimensions in this exact sequence gives
Let be the character space of an algebra, consisting of nonzero multiplicative complex linear functionals on . We construct the required Gelfand transform and prove its properties.
Characters exist. A maximal proper ideal exists by the axiom of choice and is closed: if it were dense it would contain an element within distance one of the identity, hence an invertible element, contradicting properness. The quotient is a complex unital Banach division algebra, and the Gelfand-Mazur theorem identifies it with , producing a character. The same argument applied to the proper ideal generated by proves
Every character has norm one, since its value belongs to the spectrum and is bounded by , while . The character equations are weak-star closed in the dual unit ball. Thus Banach-Alaoglu theorem makes compact Hausdorff; separability of makes it metrizable.
The algebra is inverse-closed in . If is invertible there, for some . For , the Neumann series for converges in , since the positive contraction in brackets has norm at most . Therefore . This proves spectral permanence for C-star algebras in the present concrete setting. In particular a self-adjoint element has real spectrum in , so characters take real values on it. Decomposing into self-adjoint real and imaginary parts gives .
Define . This is a unital star-homomorphism to . Every element of the abelian star-algebra is normal, and the C-star identity gives . The spectral radius formula therefore gives . The displayed spectrum identity now yields , proving isometry and injectivity. Its image is closed because is complete, contains the constants, is closed under conjugation, and separates distinct characters. The Stone-Weierstrass theorem makes that image dense in , hence equal to it. isometrically as a star-algebra.
For the Fredholm convention, define
The equality follows from the Atkinson theorem. The quotient is a unital complex Banach algebra when is infinite-dimensional. Its invertible set is open by the Neumann series, so the spectrum is closed, and it lies in the disk .
For nonemptiness, suppose the quotient resolvent existed for every complex . It is analytic everywhere, and outside a sufficiently large disk its Neumann expansion gives . Continuity bounds it on the remaining compact disk. Every continuous linear functional applied to is therefore a bounded entire scalar function, constant by Liouville's theorem and zero because it tends to zero at infinity. The Hahn-Banach theorem, or separation by the dual, forces , contradicting its inverse identity. The essential spectrum is nonempty and closed.
Infinite dimension is necessary: every operator on a finite-dimensional Hilbert space is Fredholm, so its essential spectrum in this convention is empty. The proof works on nonseparable infinite-dimensional spaces as well; it needs neither self-adjointness nor a sequence basis.
Assume the finite-generator identity holds whenever there is no common zero. Let . For every finite family , their zero sets must have nonempty intersection: otherwise an identity would give . These zero sets are closed in compact . The finite intersection property therefore supplies at which every member of vanishes. For any , the element is in that kernel, so . Thus , proving
For , the identity is explicit. If the have no common zero, the continuous function is strictly positive on compact . Set
Then . The equivalence just proved shows that is natural.
Next consider the disc algebra , the continuous functions on the closed unit disk that are holomorphic in its interior. We show directly that each algebra character is evaluation. Polynomials are uniformly dense in this algebra: for , tends uniformly to as , by uniform continuity. The function is holomorphic on , so its Taylor polynomials converge uniformly on .
Every algebra character of a unital Banach algebra is bounded, with : if were invertible, applying would contradict invertibility, so belongs to the spectrum of an element, which is contained in the disk of radius by the Neumann series. For the coordinate function , put ; then . Multiplicativity gives for every polynomial. By polynomial density and continuity, for every member of the disc algebra. Hence
Finally consider the algebra in the last request. For each , its holomorphic extension from the boundary is unique by the maximum modulus principle. Define . This is a surjective unital algebra homomorphism, since it restricts to the identity on the disc algebra. Also
The algebra is closed: if uniformly, the associated are uniformly Cauchy by this bound, so their limit belongs to the closed disc algebra and agrees with on the boundary. Constants and the coordinate function belong to , so it is itself a uniform algebra on the disk. Its ideal
is contained in , and is the disc algebra.
If a algebra character on vanishes on , it factors through and the preceding result gives
If does not vanish on , choose with . For , define
The product is in , so this is well defined. It is unital and linear, and
shows multiplicativity. Since is natural, is evaluation at a point of the closed disk. The equality places in the open disk. On , , so itself is evaluation at that interior point.
We therefore obtain two families: actual evaluations on one closed disk, and analytic-extension evaluations on a second closed disk. They agree on the boundary. They are distinct at interior points: functions in distinguish actual interior evaluations from every analytic-extension evaluation, and the coordinate function distinguishes points within each family. Thus
This is also a topological identification. Each disk family is continuous in the Gelfand topology, and they agree along their boundary, giving a continuous bijection from the glued disks to . The glued disks form a compact space, explicitly homeomorphic to the sphere by sending in the two copies to . Since the character space is Hausdorff, the continuous bijection is a homeomorphism. This boundary-analytic disk algebra with doubled character space has more algebra characters than evaluations on its original disk.
We prove the forward direction of the finite-generator criterion for a natural uniform algebra. Suppose that is a natural uniform algebra, and let have no common zero on . The ideal
is all of . Otherwise it is contained in a maximal ideal , whose associated character of an algebra vanishes on all the . Since every algebra character is an evaluation character under naturality, this would give a common zero, a contradiction. Therefore , meaning that
Here are the Banach-algebra details behind the algebra character associated with . A proper ideal cannot have dense closure: if it contained an element within distance less than one of , the Neumann series would make that element invertible, forcing the ideal to contain . Thus the closure of a proper ideal is proper. A maximal ideal, obtained from Zorn's lemma, is therefore closed. Its quotient is a complex unital Banach algebra in which every nonzero element is invertible. The Gelfand-Mazur theorem identifies this quotient with , so the quotient map is the required algebra character. No closedness of the originally generated ideal is needed.
Suppose first that the bounded Fredholm operator has Fredholm index zero. Put and . These finite-dimensional linear subspaces have the same dimension. The restricted map is a bounded bijection, with bounded inverse by the bounded inverse theorem. Choose an isomorphism and extend it by zero on , writing the resulting finite-rank operator as .
Relative to the orthogonal decompositions and , the operator is the direct sum of and the invertible restricted map. Thus is invertible, and is the sum of an invertible operator and a compact operator.
Conversely write with invertible and compact. It suffices to treat with . A compact operator on a Hilbert space admits arbitrary operator norm approximation by finite-rank operators: take a finite epsilon-net of its unit-ball image and project onto the span of the net. Choose of finite rank with , put , and factor
The first factor is invertible by the Neumann series. Set and , a finite-dimensional linear subspace. On , the second factor has block form
Left multiplication by the invertible block matrix reduces it to . Its range is closed, and its kernel and cokernel have equal dimension by finite-dimensional rank-nullity theorem for . Invertible factors preserve all these properties. Hence is a Fredholm operator of Fredholm index zero, proving both directions:
A bounded linear operator is compact if it maps the unit ball to a set with compact closure; equivalently, every bounded sequence has a subsequence whose images converge.
If are compact operators, select a subsequence on which converges and then a further subsequence on which converges. This proves compactness of any linear combination. For norm closure, suppose compact converge to in operator norm. Given , choose with . A finite -net for of the unit ball is then a finite -net for its image under . This image is totally bounded, and its closure is compact because is complete. Thus is a closed linear subspace.
For bounded and compact , the image of a bounded sequence under is bounded, so is compact; and a convergent subsequence of remains convergent after applying the continuous map , so is compact. Therefore the compact operators form a closed two-sided ideal in .
For the weighted backward shift, truncate its output after coordinate , obtaining a finite-rank operator . The exact norm estimate is
Hence is compact. Its iterates are
Thus for every nonzero complex the Neumann series
converges absolutely in operator norm. Zero is an eigenvalue, since , whereas every nonzero value is in the resolvent set. Consequently
For an explicit Runge-Kutta method, write its strictly lower-triangular stage matrix as , weight vector as , and . Applied to the scalar test equation, its stage vector satisfies
Since , inversion is a finite Neumann series. Putting gives
This proves degree at most . The printed statement of degree exactly needs a nondegeneracy assumption: a two-stage explicit scheme with is simply Euler's method with an unused second stage, and has polynomial of degree one.
If , the Neumann series gives
The series converges in operator norm because . Hence
The same argument applied to small perturbations of an invertible operator shows that the resolvent set is open and the spectrum is closed.
Suppose and . The quadratic form is real, so the Cauchy-Schwarz inequality implies
Thus is bounded below by : it is injective and has closed range. Its adjoint operator has the same lower bound and trivial kernel. Since
the range is dense as well as closed, and therefore is all of . The inverse has norm at most . For a bounded self-adjoint operator, . The closed-range and adjoint steps are essential: merely excluding nonreal eigenvalues would not exclude all nonreal spectral points.