Ar Ve Son Spectral Solutions

SOLUTIONS TO A SHORT COURSE ON SPECTRAL THEORY
BY WILLIAM ARVESON
Contents
1. Spectral Theory and Banach Algebras 2
1.1. Origins of Spectral Theory 2
1.2. The Spectrum of an Operator 4
1.3. Banach Algebras: Examples 5
1.4. The Regular Representation 8
1.5. The General Linear Group of A 9
1.6. Spectrum of an Element of a Banach Algebra 11
1.7. Spectral Radius 12
1.8. Ideals and Quotients 14
1.9. Commutative Banach Algebras 15
1.10. Examples: C(X) and the Wiener Algebra 16
1.11. Spectral Permanence Theorem 17
1.12. Brief on the Analytic Functional Calculus 18
2. Operators on Hilbert Space 21
2.1. Operators and Their C
-Algebras 21
2.2. Commutative C
-Algebras 23
2.3. Continuous Functions of Normal Operators 26
2.4. The Spectral Theorem and Diagonalizations 27
2.5. Representations of Banach *-Algebras 31
2.6. Borel Functions of Normal Operators 33
2.7. Spectral Measures 34
2.8. Compact Operators 37
2.9. Adjoining a Unit to a C
-Algebra 39
2.10. Quotients of C
-Algebras 40
3. Asymptotics: Compact Perturbations and Fredholm Theory 42
3.1. The Calkin Algebra 42
3.2. Riesz Theory of Compact Operators 43
3.3. Fredholm Operators 43
3.4. The Fredholm Index 43
4. Methods and Applications 43
4.1. Maximal Abelian von Neumann Algebras 43
4.2. Toeplitz Matrices and Toeplitz Operators 43
4.3. The Toeplitz C
-Algebra 43
4.4. Index Theorem for Continuous Symbols 43
4.5. Some H
2
Function Theory 43
4.6. Spectra of Toeplitz Operators with Continuous Symbol 43
4.7. States and the GNS Construction 43
4.8. Existence of States: The Gelfand-Naimark Theorem 43
References 43
1
2 ARVESON SPECTRAL THEORY SOLUTIONS
1. Spectral Theory and Banach Algebras
1.1. Origins of Spectral Theory.
(1) Fix a sequence a
n
of numbers with 0 < a
n
M, and let A :
2

2
be the operator determined by (Ax)
n
= a
n
x
n
.Show that A is a bounded
operator on
2
, and exhibit a bounded operator B on
2
such that AB =
BA = 1.
Solution. A is bounded because
|Ax|
2
=
n
(Ax)
n
(Ax)
n
=
n
a
n
x
n
a
n
x
n
=
n
[a
n
[
2
[x
n
[
2
n
M
2
[x
n
[
2
= M
2
|x|
2
The inverse operator B is determined by (Bx)
n
=
1
an
x
n
; this operator is
bounded by 1/, by the same argument.
(2) Let a
n
be a bounded increasing sequence of positive numbers and let
D
n
= a
1
a
2
. . . a
n
. Show that the sequence D
n
converges to a nonzero limit
D(A) i
n=1
(1 a
n
) < .
Solution. To clarify, when we say
(1a
n
) < , we mean to say that the
sum converges to a nite number. In particular, the case where it converges
to (for example, if all the a
n
are equal to 2) is disallowed.
It is clear that either of the conditions whose equivalence we seek to
establish implies that a
n
1, so we will assume this to be the case.
The condition that D
n
approaches a nonzero limit is equivalent to
j
(ln a
j
) <
. We want to show this is equivalent to
j
(1 a
j
) < . One direction
is trivial, because ln x 1 x for all positive x (just compare the deriva-
tives to the right and left of the intersection point x = 1). For the other
direction, we note that ln x < 2(1x) in a neighborhood of x = 1 (again,
this follows by comparing the derivatives at x = 1); since a
n
1, one has
ln a
j
< 2(1 a
j
) for suciently large j, so that the result follows by the
comparison test.
We note that this argument is standard in complex analysis in the con-
text of the Weierstrass factorization theorem; see for instance ([Rud87])
Theorem 15.5 or ([Con78]) Proposition 5.4.
(3) Let k(x, y) be a continuous function on (x, y) : 0 y x 1 and let
f C([0, 1]). Show that the function g : [0, 1] C dened by
g(x) =
_
x
0
k(x, y)f(y) dy
is continuous, and that the linear map K : f g denes a bounded
operator on C([0, 1]).
Solution. Let M = |f|
sup
and L = max [k(x, y)[. Fix any x [0, 1].
Let > 0. Since k is uniformly continuous (its domain is compact), one
can choose
1
> 0 such that [k(x
1
, y
1
) k(x
2
, y
2
)[ < whenever |(x
1
, y
1
)
ARVESON SPECTRAL THEORY SOLUTIONS 3
(x
2
, y
2
)| <
1
. Let = min(, /L). For 0 h < one has
[g(x +h) g(x)[ =
_
x+h
0
k(x +h, y)f(y) dy
_
x
0
k(x, y)f(y) dy
_
x
0
[k(x +h, y) k(x, y)]f(y) dy +
_
x+h
x
k(x +h, y)f(y) dy
_
x
0
[k(x +h, y) k(x, y)[[f(y)[ dy +
_
x+h
x
[k(x +h, y)[f(y)[ dy
M
_
x
0
[k(x +h, y) k(x, y)[ dy +M
_
x+h
x
[k(x +h, y)[ dy
M +MLh < 2M.
A similar calculation holds for < h 0 (the second integral is reversed).
Thus g(x +h) g(x) as h 0, so that g is continuous at x.
For the boundedness of K, note that for each x [0, 1],
[g(x)[ =
_
x
0
k(x, y)f(y) dy
_
x
0
[k(x, y)[[f(y)[ dy
M
_
x
0
[k(x, y)[dy
ML = L|f|
sup
Taking the supremum over x [0, 1], we have |g|
sup
L|f|
sup
. Thus
|K|
op
L.
(4) For the kernel k(x, y) = 1 for 0 y x 1 consider the corresponding
Volterra operator V : C([0, 1]) C([0, 1]), i.e.
(V f)(x) =
_
x
0
f(y) dy, f C([0, 1]).
Given a function g C([0, 1]), show that the equation V f = g has a
solution f C([0, 1]) i g is continuously dierentiable and g(0) = 0.
Solution. Clearly every element V f of the range is continuously dieren-
tiable and has (V f)(0) = 0. Conversely, suppose g satises those hypothe-
ses; let f = g
. Then (V f)
= f = g
, so that V f and g dier by an additive

constant; but (V f)(0) = 0 = g(0), so that V f = g.
(5) Let k(x, y), 0 x, y 1 be a continuous function on the unit square, and
consider the bounded operator K dened on C([0, 1]) by
(Kf)(x) =
_
1
0
k(x, y)f(y) dy, 0 x 1.
Let B
1
= f C([0, 1]) : |f| 1 be the closed unit ball in C([0, 1]).
Show that K is a compact operator in the sense that the norm closure of
the image KB
1
under K is a compact subset of C([0, 1]).
Solution. Clearly KB
1
is a pointwise bounded family of functions (since K
is a bounded operator, by a straightforward generalization of exercise 3).
Given > 0, use the uniform continuity of k to choose > 0 such that
[k(x
1
, y
1
) k(x
2
, y
2
)[ < whenever |(x
1
, y
1
) (x
2
, y
2
)| < . Then for any
f B
1
and any x
1
, x
2
[0, 1] satisfying [x
1
x
2
[ < ,
[(Kf)(x
1
) (Kf)(x
2
)[ =
_
1
0
[k(x
1
, y) k(x
2
, y)]f(y) dy
_
1
0
[k(x
1
, y) k(x
2
, y)[[f(y)[ dy
_
1
0
1 dy = .
Thus, KB
1
is uniformly equicontinuous; by the Arzela-Ascoli theorem, it
has compact closure.
Note: The hint is misleading, as KB
1
is not uniformly Lipschitz in
general; indeed, it may contain functions which are not Lipschitz. For
example, suppose k(x, y) =

x and f is the constant function f(y) = 1;
then (Kf)(x) =

x is not Lipschitz. One needs to use uniform rather than
Lipschitz continuity.
1.2. The Spectrum of an Operator.

(1) Give explicit examples of bounded operators A, B on
2
(N) such that AB =
1 and BA is the projection onto a closed innite-dimensional subspace of
innite codimension.
Solution. We dene A and B on the standard basis vectors by Be
k
= e
2k
and
Ae
k
=
_
e
k/2
k even
0 else.
Then AB = 1 and BA is the projection onto spane
2
, e
4
, e
6
, . . ..
(2) Let A and B be the operators dened on
2
(N) be
A(x
1
, x
2
, . . . ) = (0, x
1
, x
2
, . . . )
B(x
2
, x
2
, . . . ) = (x
2
, x
3
, x
4
, . . . )
Show that |A| = |B| = 1, and compute both BA and AB. Deduce that
A is injective but not surjective, B is surjective but not injective, and that
(AB) ,= (BA).
Solution. Clearly Ais isometric and B is contractive; since |B(0, 1, 0, 0, . . . )| =
|(0, 1, 0, 0, . . . )| we see that |B| = 1.
BA = 1, whereas AB is projection onto the complement of the span of
e
1
. The former of these implies the injectivity of A and surjectivity of B;
if A were surjective or B injective, the composition AB would have to be
as well, but its not.
The non-injectivity of AB implies that its spectrum includes 0, which
(BA) does not.
(3) Let E be a Banach space and let A and B be bounded operators on E.
Show that 1 AB is invertible i 1 BA is invertible.
Solution. Suppose 1 AB is invertible, and let C be its inverse. Let D =
1 +BCA. Then
D(1BA) = 1+BCABABCABA = 1+B(CCAB)ABA = 1+BABA = 1
and
(1BA)D = 1BA+BCABABCA = 1BA+B(CABC)A = 1BA+BA = 1
so that 1 BA is invertible. Interchanging A and B yields the other
direction of implication.
We note that norm properties enter nowhere into this calculation; the
result holds in any unital algebra.
(4) Use the result of the preceding exercise to show that for any two bounded
operators A, B acting on a Banach space, (AB) and (BA) agree except
perhaps for 0: (AB) 0 = (BA) 0.
Solution. For ,= 0,
/ (AB) AB invertible

_
1
A
B
_
invertible

_
1 B
A
_
invertible
BA invertible
/ (BA).
1.3. Banach Algebras: Examples.

(1) Let E be a normed linear space. Show that E is a Banach space i for
every sequence of elements x
n
X satisfying
n
|x
n
| < , there is an
element y X such that
lim
n
|y (x
1
+ +x
n
)| = 0.
Solution. Suppose E is Banach. Let x
n
be an absolutely summable se-
quence. Let y
n
=
n
i=1
x
i
be the nth partial sum. Then for n m,
|y
n
y
m
| =
_
_
_
_
_
n
i=m+1
x
i
_
_
_
_
_
i=m+1
|x
i
|
i=m+1
|x
i
|.
Since the tails of a convergent sequence tend to zero, this shows that |y
n
y
m
| 0 as n, m , so that y
n
is Cauchy. By completeness, it
converges to a limit y. Thus, every absolutely summable sequence in E is
summable.
Conversely, suppose E is a normed space in which every absolutely
summable sequence is summable. Let x
n
be a Cauchy sequence in E.
Let x
n
k
be a subsequence such that |x
n
k+1
x
n
k
| < 2
k
. Let y
k
=
x
n
k+1
x
n
k
. Then y
k
is absolutely summable, hence summable. Let y
be its sum. For each k,
x
n
k+1
= x
n1
+
k
i=1
y
k
;
since the right-hand side approaches a limit as k , the left-hand side
must as well. Hence the sequence x
n
k
converges. But then x
n
is a Cauchy
sequence with a convergent subsequence, so it converges as well.
(2) Prove that the convolution algebra L
1
(R) does not have an identity.
Solution. Suppose g is a convolution identity. Let f
n
= 1
[0,1/n]
. Then
1 = f
n
(0) = (f
n
g)(0) =
_
0
1/n
g(y) dy.
Since L
1
functions generate absolutely continuous measures ([Fol99] Theo-
rem 3.5), this is impossible.
Another way to prove impossibility is to cite the fact that the convolution
of L
1
functions with L
functions is continuous ([Fol99] Proposition 8.8).

But then the convolution of g with a characteristic function would have to
be a continuous characteristic function, which is impossible.
(3) For every n = 1, 2, . . . let
n
be a nonnegative function in L
1
(R) such that
n
vanishes outside the interval [1/n, 1/n] and
_

n
(t) dt = 1.
Show that
1
,
2
, . . . is an approximate identity for the convolution algebra
L
1
(R) in the sense that
lim
n
|f
n
f|
1
= 0
for every f L
1
(R).
Solution. For any f L
1
(R),
|f
n
f| =
_
R
[(f
n
)(x) f(x)[ dx
=
_
R
_
R
f(x y)
n
(y) dy f(x)
_
R
n
(y) dy
dx
_
R
_
1/n
1/n
[f(x y) f(x)[[
n
(y)[ dydx
=
_
1/n
1/n
n
(y)
_
R
[f
y
(x) f(x)[ dxdy
=
_
1/n
1/n
n
(y)|f
y
f|
1
dy.
By the uniform continuity of translation on L
1
, this tends to 0 as n
.
(4) Let f L
1
(R). The Fourier transform of f is dened as follows:
f() =
_

e
it
f(t) dt, R.
Show that

f belongs to the algebra C
(R) of all continuous functions on

R that vanish at .
Solution. Fix R. Let > 0 be given. Let K R be a compact subset
such that
_
R\K
[f[ < . Now for any R,
[
f()

f()[ =
_
R
e
it
f(t) dt
_
R
e
it
f(t) dt
_
R
_
e
it
e
it
_
f(t) dt
_
R
e
it
e
it
[f(t)[ dt
2 +
_
K
e
it
e
it
[f(t)[ dt.
As , e
it
e
it
uniformly on K, so that the above expression is less
than 3 for suciently close to . This proves that

f is continuous.
For the Riemann-Lebesgue lemma, one could use the identication of R
with the maximal ideal space of L
1
(R), and the corresponding identication
of the Fourier transform with the Gelfand transform; my presentation in
Jorgensens class in spring 2011 goes into this. A more elementary proof,
however (thank to [SS05]), is as follows: For any ,= 0, the change of
variables x
= x +

yields
f() =
_
R
f
_
x
_
e
ix
dx
.
Averaging this with the original expression for

f() yields
f() =
1
2
_
R
_
f(x) f
_
x

__
e
ix
dx
from which [
f()[
1
2
|f f
/
|. The result follows by the L
1
continuity
of translation.
(5) Show that the Fourier transform is a homomorphism of the convolution
algebra L
1
(R) onto a subalgebra / of C
(R) which is closed under complex

conjugation and separates points of R.
Solution. Linearity is obvious. Multiplicativity is a well-known consequence
of Fubinis theorem. For self-adjointness, transform the function f
(x) =
f(x). For separation of points, suppose [[ < [[ and consider the Fourier
transform of the characteristic function of [0,
2
||
].
1.4. The Regular Representation.
(1) Let E and F be normed linear spaces with E ,= 0. Show that B(E, F) is
a Banach space i F is a Banach space.
Solution. Suppose F is Banach. Let T
n
be a Cauchy sequence in B(E, F).
For each e E and each m, n N,
|T
m
e T
n
e| = |(T
m
T
n
)e| |T
m
T
n
||e|
so that T
n
e is a Cauchy sequence in F. Dene the function T : E F
by Te = limT
n
e. Clearly this is linear; it is bounded because
|Te| = | limT
n
e| = lim|T
n
e| (lim|T
n
|)|e|
so that |T| lim|T
n
| (which limit exists because |T
n
| is a Cauchy
sequence in R). Finally, we must prove that T
n
T in norm, not just
pointwise. Given > 0, choose N N such that |T
m
T
n
| < for
m, n N. Then for n N and e E,
|Te T
n
e| = | lim
m
T
m
e T
n
e| = lim
m
|T
m
e T
n
e |e|
since |T
m
e T
n
e| < |e| for each m. Hence |T T
n
| 0.
Conversely, suppose B(E, F) is Banach. Let f
n
be a Cauchy sequence
in F. Let e E be some nonzero vector. Dene linear maps T
n
: E F
by T
n
e = f
n
and T
n
= 0 on the (algebraic) complement of the span of e.
Clearly T
n
is linear with norm
fn
e
. Moreover, since
(T
m
T
n
)x =
_
(f
m
f
n
) x = e
0 else,
we see that |T
m
T
n
| =
fmfn
e
, so that T
n
is Cauchy in B(E, F). Let
T be its limit, and let f = Te. Then
|f f
n
| = |Te T
n
e| |T T
n
||e| 0.
Thus F is Banach.
(2) Let A B(E) be an operator with the property that there is a sequence
A
m
of nite-rank operators such that |A A
n
| 0. Show that A is
compact.
Solution. Let x
n
be a sequence of points in the unit ball of E. Dene
subsequences x
(i)
n
recursively x as follows: x
(0)
n
= x
n
, while x
(i+1)
n
is a
subsequence of x
(i)
n
such that A
i+1
x
(i+1)
n
converges. (This is possible by
the compactness of the unit ball for any nite-dimensional Banach space,
such as the range of each A
m
.) Let y
n
= x
(n)
n
be the diagonal subsequence,
so that A
k
y
n
converges for each xed k; call the limit z
k
. Then
|z
j
z
k
| = | lim
n
A
k
y
n
lim
n
A
j
y
n
| = lim
n
|(A
k
A
j
)y
n
| |A
k
A
j
|
since |(A
k
A
j
)y
n
| |A
k
A
j
| for each n. This proves that z
k
is
Cauchy; let its limit be z. Then for each k,
|Ay
n
z| = |A
k
y
n
z
k
+(AA
k
)y
n
+(z
k
z)| |A
k
y
n
z
k
|+|AA
k
|+|z
k
z|.
Since all three terms on the right approach 0 as k , we see that
Ay
n
z. Thus, we have found a subsequence y
n
such that Ay
n
converges. So A is compact.
By the way, this diagonal subsequence trick is used in general topology
(nets) to show that a cluster point of the cluster points of A is a cluster
point of A; see 11.5 of my putative functional HW. Its also used to prove
Arzela-Ascoli, etc.
(3) Let a
1
, a
2
, . . . be a bounded sequence of complex numbers and A the corre-
sponding multiplication operator on
2
. Show that A is compact i a
n
0.
Solution. Suppose a
n
0. Let A
n
be the truncated multiplication operator
which replaces a
k
with 0 for k > n. Then |A A
n
| = sup
k>n
[a
k
[
0. Since each A
n
has nite rank, the previous exercise implies that A is
compact.
Conversely, suppose a
n
, 0. Let > 0 and a
n
k
a subsequence with
[a
n
k
[ > for each k. Then e
n
k
is a sequence of unit vectors such that
Ae
n
k
has no convergent subsequence (indeed, |Ae
n
k
Ae
nj
| >
2), so
that A is not compact.
(4) Let k C([0, 1] [0, 1]) and dene A : C([0, 1]) C([0, 1]) by
(Af)(x) =
_
1
0
k(x, y)f(y) dy.
Show that A is bounded with |A| |k|
sup
.
Solution. Already done in exercise 1.1.5, where we showed A is in fact
compact.
(5) Show that there is a sequence of nite-rank operators A
n
such that |A
n
A| 0.
Solution. As can easily be checked, if A
is another integral operator with

kernel k
, then |A A
| |k k
|
sup
. Now by Stone-Weierstrass, there
exists a sequence k
n
of kernels of the form k
n
(x, y) =
Nn
j=1
p
(n)
j
(x)q
(n)
j
(y),
with p
(n)
j
and q
(n)
j
polynomials, such that |k
n
k| 0, and therefore
|AA
n
| 0, where A
n
is the operator with kernel k
n
. But each A
n
has
nite rank; in particular, its range is spanned by the p
(n)
j
.
1.5. The General Linear Group of A. Let A be a unital Banach algebra with
|1| = 1, and let G = A
1
.
(1) Show that for every x A with |x| < 1, there exists a continuous function
f : [0, 1] G with f(0) = 1 and f(1) = (1 x)
1
.
Solution. We dene f(t) = (1 tx)
1
. This is well-dened since |tx| < t.
It is continuous because it is the composition of the continuous functions
t 1 tx with y y
1
.
(2) Show that for every element x G there is an > 0 with the following
property: For every element y G satisfying |y x| < there is an arc in
G connecting y to x.
Solution. Let = |x
1
|
1
. If h A is such that x + h G and |h| < ,
then let f be a path from 1 to 1 + x
1
h as in the previous problem; then
t xf(t) is a path in G from x to x +h.
In words, what weve just shown is that G is locally path connected.
(3) Let G
0
be the set of all nite products of elements of G of the form 1 x
or (1x)
1
, where x A satises |x| < 1. Show that G
0
is the connected
component of 1 in G.
Solution. Let J denote the connected component of the identity. Note that
this is the same as the path component of the identity, because G is locally
path connected by problem 2.
By problem 1 above, each element of the form (1 x)
1
is in J.
J is closed under products because, if f is a path from 1 to x and g a
path from 1 to y, then
h(t) =
_
f(2t) 0 t 1/2
xg(2t 1) 1/2 t 1
denes a path from 1 to xy.
J is closed under inverses because, if f is a path from 1 to x, then
g(t) = f(t)
1
is a path from 1 to x
1
.
Thus, G
0
J.
G
0
is open: Let a = a
1
. . . a
n
be an element of G
0
, where a
i
= 1x
i
or
(1x
i
)
1
for each i, with |x
i
| < 1. Then for h / with |h| < |a
1
|,
one has
a h = a(1 a
1
h)
and since both a and 1 a
1
h are elements of G
0
, this product is
again in G
0
.
G
0
is clopen, because open subgroups of topological groups are always
clopen: Suppose G is a topological group and H a subgroup. Then
G H =
_
xG\H
xH
is a union of open sets (because left multiplication y xy is a home-
omorphism), hence open, so that H is closed.
Thus, J G
0
, completing the proof.
(4) Deduce that G

0
is a normal subgroup of G and that the quotient topology
on G/G
0
makes it into a discrete group.
Solution. The connected component of the identity is a subgroup, as shown
above; it is normal because, if f is a path from 1 to x and y G, then t
yf(t)y
1
is a path from 1 to yxy
1
, so that G
0
is closed under conjugation
by elements of G.
The cosets of G
0
in G are precisely the connected components of G; to see
this, let G
x
denote the component of some x G, and note that xG
0
G
x
and x
1
G
x
G
0
. As a result, the preimage of any subset of G/G
0
will be
a union of connected components of G, and therefore open.
1.6. Spectrum of an Element of a Banach Algebra.
(1) Give an example of a one-dimensional Banach algebra that is not isomorphic
to the algebra of complex numbers.
Solution. Such an algebra would have to have the same linear structure
but a dierent multiplication. The simplest way to do this is to dene all
products to be zero.
Note that it is impossible to give a unital counterexample, because the
multiplicative structure of a unital one-dimensional algebra is determined
by (1)(1) = 1.
(2) Let X be a compact Hausdor space and let A = C(X) be the Banach
algebra of all complex-valued continuous functions on X. Show that for
every f C(X), (f) = f(X).
Solution. The invertible functions in C(X) are precisely the functions which
are never zero. Thus, for a given , f 1 is invertible i / f(X).
(3) Let T be the operator dened on L
2
([0, 1]) by (Tf)(x) = xf(x). What is
the spectrum of T? Does T have point spectrum?
Solution. T has no point spectrum, because if f is a function such that
xf(x) = f(x) then f(x) = 0 for x ,= 1, so that f = 0 in L
2
.
The spectrum is [0, 1]. It is at most this, because for / [0, 1], the
inverse of T 1 is the operator (Sf)(x) =
1
x
f(x). On the other hand,
if [0, 1] then such an inverse S cannot exist; when f(x) is the constant
function f(x) = 1, we must have (Sf)(x) =
1
x
a.e., but this is not square
integrable.
We recall that, more generally, the spectrum of a multiplication operator
M
f
on L
2
is the essential range of f.
For the remaining exercises, let a
n
be a bounded sequence of complex
numbers and H a Hilbert space with ONB e
n
.
(4) Show that there is a (necessarily unique) bounded operator A B(H) sat-
isfying Ae
n
= a
n
e
n+1
for every n. Such an operator A is called a unilateral
weighted shift.
Solution. This operator is just the composition of the multiplication oper-
ator A
determined by a
n
with the unilateral shift S. These are both
bounded by previous work.
(5) Let A B(H) be a weighted shift as above. Show that for every complex
number with [[ = 1 there is a unitary operator U
B(H) such that

UAU
1
= A.
Solution. Dene U by Ue
n
=
n
e
n
. Its easy to see that this is unitary and
that the desired conjugation relation holds.
(6) Deduce that the spectrum of a weighted shift must be the union of (possibly
degenerate) concentric circles about z = 0.
Solution. For any , C with [[ = 1, an operator T is the inverse for
A1 i UTU
1
is the inverse for A1. Hence (A) i / (A).
It follows that (A), and therefore (A), is radially symmetric.
(7) Let A be the weighted shift associated with a sequence a
n

.
(a) Calculate |A| in terms of a
n
.
(b) Assuming that a
n
0, show that |A
n
|
1/n
0.
Solution.
(a) We have |A| = sup [a
n
[. Clearly it is at least this, by considering only
its action on the ONB; on the other hand, its at most this, because
of the factorization A = SA
mentioned above.
(b) Because each A
n
maps the ONB onto an orthonormal set, Parsevals
identity implies that the norm may be calculated as
|A
n
| = sup
k
|A
n
e
k
|.
Now
A
n
e
k
=
_
_
k+n1
j=k
a
j
_
_
e
k+n
so that
|A
n
e
k
|
1/n
= sup
k
_
_
k+n1
j=k
a
j
_
_
1/n
.
This approaches 0. Explicitly, given > 0, choose N such that [a
n
[ <
/2 for n N; let M be the product of all a
1
, . . . a
N
with absolute value
greater than 1, if there are any; choose N
2
such that M(/2)
N2N
< ;
then the geometric mean of any N
2
consecutive terms of the sequence
a
n
is less than .
For amusement, one could apply AM-GM and do the above epsilontics
with arithmetic rather than geometric means.
1.7. Spectral Radius.

(1) Let a
n
be a sequence with a
n
0. Show that the associated weighted
shift operator has spectrum 0.
Solution. This follows from exercise 1.6#7(b) and the spectral radius for-
mula.
(2) Consider the simplex
n
[0, 1]
n
dened by
n
= (x
1
, . . . , x
n
) [0, 1]
n
: x
1
x
2
x
n
.
Show that the volume of
n
is
1
n!
.
First Solution. We have the explicit expression
[
n
[ =
_
1
0
_
xn1
0
_
xn2
0
. . .
_
x2
0
1dx
1
dx
2
. . . dx
n
.
One can see inductively that performing the rst k integrals yields the
integrand
x
k
k+1
k!
, so that one ends up integrating
x
n1
n
(n1)!
from 0 to 1, yielding
an answer of
1
n!
.
Second Solution. We proceed by induction. First, let us dene more general
regions
n,r
= (x
1
, . . . , x
n
) [0, r]
n
: x
1
x
n
r
for each r 0. By homothety, [
n,r
[ = r
n
[
n
[.
Now the base case [
1
[ =
1
1!
is clear; for the induction, we note that
[
n+1
[ =
_
n+1
1dV
n+1
=
_
1
0
_
n,x
n+1
1dV
n
dx
n+1
=
_
1
0
x
n
n+1
[
n
[ dx
n+1
=
[
n
[
n + 1
.
Third Solution. We note that the permutation group S

n
acts isometrically
on the cube [0, 1]
n
. Also,
_
Sn
(
n
) = [0, 1]
n
.
Finally, the images (
n
) are almost disjoint. For this, it suces to show
n
is almost disjoint from (
n
) for ,= id. Referring to the cycle decom-
position of , if (a
1
a
2
. . . ) is a cycle in standard form (i.e. smallest element
rst), then
n
(
n
) (x
1
, . . . , x
n
) [0, 1]
n
: x
a1
= x
a2
which has volume zero.

Thus, [0, 1]
n
is the union of n! almost-disjoint regions of equal volume,
so each must have volume
1
n!
.
(3) Let k(x, y) be a Volterra kernel as in Example 1.1.4, and let K be its
corresponding integral operator on the Banach space C([0, 1]). Estimate
the norms |K
n
| by showing that there is a positive constant M such that
for every f C([0, 1]) and every n = 1, 2, . . . ,
|K
n
f|
M
n
n!
|f|.
Solution. By induction,
(K
n
f)(t) =
_
n,t
k(t, x
n
)k(x
n
, x
n+1
) . . . k(x
2
, x
1
)f(x
1
)dx
1
. . . dx
n
so that
[(K
n
f)(t)[
_
n,t
[k(t, x
n
)[ . . . [k(x
2
, x
1
)[[f(x
1
)[dx
1
. . . dx
n

_
n,t
M
n
|f|dx
1
. . . dx
n
=
M
n
|f|t
n
n!

M
n
|f|
n!
where M = |k|
C([0,1]
2
)
.
Hence, |K
n
|
M
n
n!
.
(4) Let K be a Volterra operator as in the preceding exercise. Show that for
every complex number ,= 0 and every g C([0, 1]), the Volterra equation
of the second kind Kf f = g has a unique solution f C([0, 1]).
Solution. Since (n!)
1/n
(one can compare n! to any xed a
n
to get
this result, or use the fact that
n
(n!)
1/n
e), the previous exercise implies
that the spectral radius of K is 0, so that the spectrum is 0. Hence
K 1 is invertible for every ,= 0.
1.8. Ideals and Quotients.
(1) Let V and W be nite-dimensional vector spaces over C and let T : V W
be a linear map satisfying TV = W, and having kernel K = x V : Tx =
0. Then we have a short exact sequence of vector spaces
0 K V W 0.
Show that dimV = dimK + dimW.
Solution. Let k
1
, . . . , k
n
be a basis for K and w
1
, . . . , w
m
a basis for
W. For each j = 1, . . . , m let v
j
V be a vector such that Tv
j
= w
j
. We
will show that B = k
1
, . . . , k
n
, v
1
, . . . , v
m
is a basis for V . It is linearly
independent because, if
a
1
k
1
+ +a
n
k
n
+b
1
v
1
+ +b
m
v
m
= 0,
then, applying T, we have b
1
w
1
+ + b
m
w
m
= 0, which by the indepen-
dence of w
1
, . . . , w
m
implies that b
1
= = b
m
= 0; we therefore have
a
1
k
1
+ + a
n
k
n
= 0, which by the independence of k
1
, . . . , k
n
implies
a
1
= = a
n
= 0.
Furthermore, B spans V , because if v V , there exist scalars c
1
, . . . , c
m
such that Tv = c
1
w
1
+ +c
m
w
m
; but then v(c
1
v
1
+ +c
m
v
m
) K, so
that v (c
1
v
1
+ +c
m
v
m
) = d
1
k
1
+ +d
n
k
n
for some scalars d
1
, . . . , d
n
.
We thus have
v = d
1
k
1
+ +d
n
k
n
+c
1
v
1
+ +c
m
v
m
.
(2) For n = 1, 2, . . . let V

1
, V
2
, . . . , V
n
be nite-dimensional vector spaces and
set V
0
= V
n+1
= 0. Suppose that for k = 0, . . . , n we have a linear map
T
k
: V
k
V
k+1
such that
0
T0
V
1
T1
V
2
T2
. . .
Tn1
V
n
Tn
0
is exact. Show that
n
k=1
(1)
k
dimV
k
= 0.
Solution. By exactness, !(T
k1
) = ker T
k
, so that dim!(T
k1
) = dimker T
k
.
By the Rank Theorem, dimker T
k
+dim!(T
k
) = dimV
k
. Substituting the
former equation into the latter,
dimV
k
= dim!(T
k1
) + dim!(T
k
).
Thus
n
k=1
(1)
k
dimV
k
=
n
k=1
(1)
k
[dim!(T
k1
)+dim!(T
k
)] = dim!(T
0
)+(1)
n
dim!(T
n
)
since the sum telescopes. But both T
0
and T
n
have 0-dimensional range.
Hence the sum is zero.
(3) Show that every normed linear space E has a basis consisting of unit vec-
tors, and deduce that every innite-dimensional normed linear space has a
discontinuous linear functional f : E C.
Solution. Any basis can be scaled to a unit basis. Alternatively, one can
adapt the standard proof of the existence of a basis to nd a maximal set
of independent unit vectors.
If e
is a unit basis of the innite-dimensional normed space E, let

e
n
be a countable subset. Dene f(e
n
) = n and f(e
) = 0 for all other

. Then f is discontinuous.
(4) Let A be a complex algebra and let I be a proper ideal of A. Show that I
is a maximal ideal i the quotient algebra A/I is simple.
Solution. Suppose A/I is not simple, so that it has a nontrivial ideal J.
Then
1
(J) is an ideal strictly between A and I, where : A A/I is
the canonical quotient map, so that I is not maximal.
Conversely, suppose I is not maximal, and let J be a nontrivial ideal of
A containing I. Then (J) is a nontrivial ideal of A/I, so that A/I is not
simple.
(5) Let A be a unital Banach algebra, let n be a positive integer, and let
: A M
n
be a homomorphism of complex algebras such that (A) =
M
n
. Show that is continuous. Deduce that every multiplicative linear
functional f : A C is continuous.
Solution. Since M
n
is simple, the previous problem implies that the kernel
of would be a maximal ideal in A, and therefore closed. But a homomor-
phism is continuous precisely when its kernel is closed (indeed, when it is,
then the homomorphism factors into the contractive quotient map followed
by an isomorphism of nite-dimensional algebras), so is continuous. The
nal comment is simply the case n = 1.
1.9. Commutative Banach Algebras.
(1) Show that if A is nontrivial in the sense that A ,= 0 (equivalently, 1 ,= 0),
one has sp(A) ,= 0.
Solution. Apply Theorem 1.9.5 to the element 1.
(2) Show that ker is a bijection of the Gelfand spectrum onto the set of
maximal ideals in A.
Solution. This maps into the set of maximal ideals as claimed, because
ker has codimension one. It is injective because if ker
1
= ker
2
then
ker(
1
2
) includes both ker
1
and 1 and hence is all of A. Finally, it is
surjective, because if I is a maximal ideal, then A/I is a division algebra
and hence isomorphic to C by Gelfand-Mazur; hence the quotient map
A A/I has the form a (a) + I for some complex homomorphism ,
from which it follows that I = ker .
(3) Show that the Gelfand map is an isometry i |x
2
| = |x|
2
for every x A.
Solution. One always has | x
2
| = | x|
2
; hence, if the Gelfand map is an
isometry, one must have |x
2
| = |x|
2
.
Conversely, suppose |x
2
| = |x|
2
. By induction, this implies that |x
2
n
| =
|x|
2
n
for each n N. The spectral radius then implies that |x| = r(x).
But one always has r(x) = | x| as well, so that |x| = | x|.
(4) The radical of A is the set of quasinilpotent elements
rad(A) =
_
x A : lim
n
|x
n
|
1/n
= 0
_
.
Show that rad(A) is a closed ideal in A with the property that A/rad(A) has
no nonzero quasinilpotents (such a commutative Banach algebra is called
semisimple).
Solution. The quasinilpotent elements are precisely those with spectrum
0, by the spectral radius formula. The set of all such is a closed ideal be-
cause it is the kernel of the contractive homomorphism : A C(sp(A)).
Hence the induced map A/rad(A) C(sp(A)) is injective; a quasinilpo-
tent element of A/rad(A) would be in the kernel and therefore would be
zero.
(5) Let A and B be commutative unital Banach algebras and let : A B be
a unital algebra homomorphism.
(a) Show that induces a continuous map

: sp(B) sp(A) by

() =
.
(b) Assuming that B is semisimple, show that is bounded.
(c) Deduce that every automorphism of a commutative unital semisimple
Banach algebra is a topological automorphism.
Solution.
(a) Clearly

maps sp(B) to sp(A) as claimed. For continuity, suppose
in sp(B), which means
(b) (b) for every b B. Then
)(a) =
((a)) ((a)) =

()(a)
for every a A, so that

(
)

() in sp(A).
(b) Suppose (a
, (a
)) (a, b). Then for every sp(B), ((a
))
(b). On the other hand, because

is continuous, we have
((a
)) =

()(a
)

()(a) = ((a)).
It follows that ((a)) = (b) for every sp(B); by Theorem 1.9.5,
this means (a) b has spectrum 0, hence is quasinilpotent. By
semisimplicity, (a) = b. By the Closed Graph Theorem, is continu-
ous.
(c) This is a special case of the previous statement with A = B.
1.10. Examples: C(X) and the Wiener Algebra.

(1) Let B be the space of functions in C(
D) which are represented by convergent

power series
f(z) =
n=0
a
n
z
n
with
[a
n
[ < .
Prove the following analogue of Wieners theorem: If f B satises
f(z) ,= 0 for every z

D, then
1
f
B.
Solution. First, we show that the maximal ideal space of B (also known as
the disk algebra A(D)) is homeomorphic to D. Clearly point evaluations
are MLFs on B. For the converse, suppose sp(B); let z
0
= (id).
Since || = 1, z
0
D. By linearity and multiplicativity, agrees with
evaluation at z
0
on all polynomials; but the latter are dense in B, so is
evaluation at z
0
.
Now the Gelfand transform is just the inclusion map into C(

D). Also,
the Gelfand transform preserves invertibility, by Theorem 1.9.5. If f B,
then (f) has an inverse in C(

D), and therefore f has an inverse in B.
(2) Let Z
+
denote the semigroup of nonnegative integers. Let T be the right
shift on
1
(Z
+
). Let a = (a
0
, a
1
, . . . )
1
(Z
)
. Show that the set of trans-
lates a, Ta, T
2
a, . . . spans
1
(Z
+
) i the power series
f(z) =
n=0
a
n
z
n
, [z[ 1
has no zeros in the closed unit disk.
Solution. Note that
1
(Z
+
) is a Banach algebra; indeed, it is a closed sub-
algebra of
1
(Z).
A calculation like that on page 30 shows that the maximal ideal space
of
1
(Z
+
) is homeomorphic to

D, with the Gelfand transform being the
Fourier transform a

a
n
z
n
. By the previous exercise, f has no zeros
in the disk i f is invertible in C(

D), which happens i a is invertible in
1
(Z
+
) since the Gelfand transform preserves invertibility.
Finally, note that the convolution of a with another element of
1
consists
of a (convergent innite) sum of translates of a. Hence the span of such
translates includes the delta function; but, being translation-invariant, it
therefore includes translates of the delta function, hence everything.
1.11. Spectral Permanence Theorem.
(1) Let A be a unital Banach algebra, let x A, and let
be the unbounded
component of C
A
(x). Show that for every
there is a sequence
of polynomials p
1
, p
2
, . . . such that
lim
n
|(x 1)
1
p
n
(x)| = 0.
Solution. Let B be the unital subalgebra generated by x. Then
B
(x) has
the same unbounded component as
A
(x); in particular, /
B
(x), so
that x 1 has an inverse in B; but this inverse must be a norm limit of
polynomials, because everything in B is.
(2) Let A be a unital Banach algebra that is generated by 1, x for some
x A. Show that
A
(x) has no holes.
Solution. Let K denote the lling in of
A
(x); that is, K is the comple-
ment of the unbounded component of the complement. We wish to show
that K =
A
(x). By Theorem 1.9.5, it suces to show that for each K
there is a multiplicative linear function on A with (x) = . Given ,
dene on polynomials p(x) by (p(x)) = p(); this is contractive because,
given a polynomial p, the Maximum Modulus Principle implies that there
exists y K with [p()[ [p(y)[. But by the Spectral Mapping Theorem,
p(y)
A
(p(x)), so that [p(y)[ r(p(x)) |p(x)|. We thus have
[(p(x))[ = [p()[ [p(y)[ |p(x)|
so that is contractive. We can therefore extend to a multiplicative
linear functional on the closure of the set of all polynomials in x; but this
is all of A.
(3) Deduce the following theorem of Runge: Let X C be a compact set
whose complement is connected. Show that if f(z) = p(z)/q(z) is a rational
function with q(z) ,= 0 for z X, then there is a sequence of polynomials
f
1
, f
2
, . . . such that
sup
zX
[f(z) f
n
(z)[ 0.
Solution. Let / be the unital subalgebra of C(K) generated by the identity
functionthat is, the algebra of norm limits of polynomials. We wish to
show that f /. Clearly it suces to show that q is invertible in /.
Now
C(K)
(id) = K, which has no holes, so that
A
(id) = K as well. By
Spectral Mapping,
A
(q) =
A
(q(id)) = q(K), which by hypothesis does
not contain 0. Hence q is invertible in /.
Im not sure why the previous problem is needed for this; Corollary 2 is
enough.
1.12. Brief on the Analytic Functional Calculus.
Exercise 1.12.1: Let C be an oriented curve in C, f a continuous function
from C to a Banach space E, and T the set of nite ordered partitions of
C.
(1) Show that for every > 0 there is a > 0 with the property that
for every pair of oriented partitions T
1
, T
2
satisfying |T
k
| for
k = 1, 2, one has |R(f, T
1
) R(f, T
2
)| .
(2) Verify the estimate
_
_
_
_
_
C
f() d
_
_
_
_
_
C
|f()| d[[ sup
C
|f()|(C).
Solution:
(1) Since f is a continuous function with compact domain C, it is uni-
formly continuous. Thus, given > 0, we may choose > 0 such that
[z w[ < implies [f(z) f(w)[ <

2(C)
for any z, w C.
Suppose T
1
and T
2
are two partitions with |T
1
| < and |T
2
| < .
Let T
3
= T
1
T
2
be the common renement. Let
0
, . . . ,
N
denote
the points in T
1
.
Let k 0, . . . , N 1. Suppose T
3
contains the additional points
1
, . . . ,
m
between
k
and
k+1
. (It is possible that m = 0, i.e. that
there are no additional points.) We consider the partial Riemann sums
R
k
(f, T
1
) := f(
k+1
)(
k+1

k
)
R
k
(f, T
3
) := f(
1
)(
1

k
) +
m1
j=1
f(
j+1
)(
j+1

j
) +f(
k+1
)(
k+1

m
)
for the portion C
k
of C between
k
and
k+1
. (In the case m = 0 we
have instead R
k
(f, T
3
) = R
k
(f, T
1
).)
Note that we can expand
R
k
(f, T
1
) = f(
k+1
)
_
(
1

k
) +
m1
j=1
(
j+1

j
) + (
k+1

m
)
_
.
Then
[R
k
(f, T
3
) R
k
(f, T
1
)[=
_
f(
1
) f(
k
)
_
(
1

k
)+
m1
j=1
_
f(
j+1
) f(
k
)
_
(
j+1

j
+
_
f(
k+1
) f(
k
)
_
(
k+1

m
)
[f(
1
) f(
k
)[[
1

k
[ +
m1
j=1
[f(
j+1
) f(
k
)[[
j+1

j
[
+[f(
k+1
) f(
k
)[[
k+1

m
[

2(C)
_
[
1

k
[ +
m1
j=1
[
j+1

j
[ +[
k+1

k
[
_

2(C)
(C
k
).
Summing over k, we have
[R(f, T
3
) R(f, T
1
)[ =
k
R
k
(f, T
3
)
k
R
k
(f, T
1
)
k
[R
k
(f, T
3
) R
k
(f, T
1
)[

2(C)
k
(C
k
) =

2
.
The same calculation holds with T
2
in place of T
1
. By the Triangle
Inequality, it follows that
[R(f, T
1
) R(f, T
2
)[ .
(2) For every partition T one has by the Triangle Inequality
|R(f, T)|
k
|f(
k+1
)|[
k+1

k
[ = R(|f|, T)
where the right-hand side denotes the Riemann sum of the function
|f| : C R with respect to d[[. Taking the limit of both sides as
|T| 0, we have |
_
C
f() d|
_
C
|f()|d[[. For the second half,
if M = sup
C
|f()|, then |f()| M at each point , so that
_
C
|f()|d[[
_
C
Md[[ = M(C).
Notation: For exercise 2-4, let E be a Banach space and T B(E).
Exercise 1.12.2: Let D = z C : [z[ < R be an open disc containing
(T). Let f : D C be an analytic function dened on D with power
series
f(z) =
n=0
c
n
z
n
, z D.
Show that the innite series of operators
n=0
c
n
T
n
converges absolutely in the sense that
n
[c
n
[|T
n
| < .
Solution: Choose some

R with r(T) <

R < R. The spectral radius formula
implies that |T
n
| <

R
n
for suciently large n, say n N, so
nN
[c
n
[|T
n
| <
nN
[c
n
[
R
n
which converges because power series converge absolutely on proper sub-
discs.
Exercise 1.12.3: Give a denition of sin T and cos T using power series.
Solution: We dene
sin T =
k=0
(1)
k
(2k + 1)!
T
2k+1
, cos T =
k=0
(1)
k
(2k)!
T
2k
.
By the previous exercise, these series are absolutely convergent for any T,
since the complex-valued functions sin and cos are entire.
Exercise 1.12.4: Use your denitions in the preceding exercise to show that
(sin T)
2
+ (cos T)
2
= 1.
Solution: This is immediate from the holomorphic functional calculus, which
sends the complex function sin
2
z + cos
2
z 1 to 0. Alternatively, one can
prove it directly by manipulating the above series: Since
sin
2
T =
j,k=0
(1)
j+k
(2k + 1)!(2j + 1)!
T
2(j+k+1)
=
=1
(1)
1
T
s odd
1
s!(2 s)!
and
cos
2
T =
j,k=0
(1)
j+k
(2k)!(2j)!
T
2(j+k)
= 1 +
=1
(1)
T
2
s even
1
s!(2 s)!
,
we have
sin
2
T + cos
2
T = 1 +
=1
(1)
T
2
_

s even
1
s!(2 s)!

s odd
1
s!(2 s)!
_
= 1 +
=1
(1)
T
2
2
s=0
(1)
s
s!(2 s)!
.
But, by the Binomial Theorem,
2
s=0
(1)
s
s!(2 s)!
=
1
(2)!
2
s=0
(1)
s
_
2
s
_
=
1
(2)!
(1 1)
2
= 0,
so that sin
2
T + cos
2
T = 1.
2. Operators on Hilbert Space
2.1. Operators and Their C
-Algebras.
Exercise 2.1.1: Let [, ] : H H C be a sesquilinear form dened on a
Hilbert space H. Show that [, ] satises the polarization formula
4[, ] =
3
k=0
i
k
_
+i
k
, +i
k
.
Solution: We expand the right-hand side using sesquilinearity:
3
k=0
i
k
_
+i
k
, +i
k
=
3
k=0
i
k
_
[, ] +i
k
[, ] + (i)
k
[, ] + [, ]
_
=
_
3
k=0
i
k
_
[, ] +
_
3
k=0
(1)
k
_
[, ] +
3
k=0
[, ] +
_
3
k=0
i
k
_
[, ]
= 4[, ]
Exercise 2.1.2: Let A B(H) be a Hilbert space operator. The quadratic
form of A is the function q
A
: H C dened by q
A
() = A, . The
numerical range and numerical radius of A are dened, respectively,
by
W(A) = q
A
() : || = 1 C,
w(A) = sup[q
A
()[ : || = 1.
(a) Show that A is self-adjoint i q
A
is real-valued.
(b) Show that w(A) |A| 2w(A) and deduce that q
A
= q
B
only when
A = B.
Solution:
(a) We have
: A, R : A, = A, : A, = , A
: A, = A
, , : A, = A
,
A = A
The penultimate equivalence uses the polarization identity from the

previous exercise, which implies that the values of the sesquilinear
form (, ) A, are determined by the values of the quadratic
form A, .
(b) By Cauchy-Schwarz, [q
A
()[ |A||| |A|||
2
for all , so that
w(A) |A|. For the other direction, the polarization formula implies
that
|A| = sup
1
1
[A, [ sup
1
1
1
4
3
k=0
[q
A
( +i
k
)[ sup
2
[q
A
()[ = 2w(A).
Finally, observe that q
A+B
= q
A
+q
B
. Then
|AB| = 0 w(AB) = 0 q
AB
= 0 q
A
q
B
= 0 q
A
= q
B
.
Exercise 2.1.3: Show that the adjoint operator A A
in B(H) is weakly
continuous but not strongly continuous.
Solution: If T
0 in WOT, then for any , H,

T
, = , T
= T
, 0,
so that T
0 in WOT. Hence adjunction is WOT-continuous.

However, if S is the right shift on
2
, then S
n
0 in SOT, whereas
S
n
, 0 in SOT, so that adjunction is not SOT-continuous.
Exercise 2.1.4: Show that the only operators that commute with all opera-
tors in B(H) are the scalar multiples of the identity.
Solution: For each , H let
denote the rank-one operator given

by (
)(y) = y, . If an operator T commutes with all rank-one

operators, then for any and ,
||
2
(T) = T (
)() = [(
) T]() = T, .
Note that this implies that every is an eigenvector of T. Let c
denote the
corresponding eigenvalue. Returning to the above equation with T = c
and T = c
, we have
||
2
c
= c
||
2
,
so that c
= c
. That is, all vectors have the same eigenvalue. Thus T is a

scalar times the identity.
Exercise 2.1.5: Let ( be the closure in the strong operator topology of the
set of all unitary operators in B(H). Show that ( consists of isometries.
Solution: Suppose U
are unitaries and S an operator such that U
S in
SOT. Then for any H,
|S| = | lim
| = lim
|U
| = ||
since |U
| = || for all . Thus S is an isometry.

Note that we never used the fact that U
are actually unitaries, not

isometries; this proof shows that the set of isometries is SOT-closed.
Exercise 2.1.6: Show that the unilateral shift S belongs to ( be exhibiting a
sequence of unitary operators U
1
, U
2
, . . . that converges to S in the strong
operator topology.
Solution: Dene unitaries U
n
on the standard ONB by
U
n
e
k
=
_
_
e
k+1
1 k n 1
e
1
k = n
e
k
k > n.
This is unitary because it maps an ONB to an ONB (it permutes the
standard basis). Fix x
2
, and for each n, let x
n
be the projection of x
onto the span of (e
1
, . . . , e
n1
). Then U
n
x
n
= Sx
n
, so that
|U
n
x Sx| = |U
n
[x
n
+ (x x
n
)] S[x
n
+ (x x
n
)]| = |U
n
x
n
Sx
n
+ (U
n
S)(x x
n
)|
= |(U
n
S)(x x
n
)| |U
n
S||x x
n
| 2|x x
n
| 0.
Hence U
n
S in SOT.
Exercise 2.1.7: Let (X, ) be a -nite measure space and let f : X C be
a bounded complex-valued Borel function. Show that the essential range
of f can be characterized as the intersection
g(X) : g f
of all the closed ranges of all bounded Borel functions g : X C that agree
with f almost everywhere (d).
Solution: Suppose is in the essential range of f, and g = f a.e. Then
for every n N, g
1
(B(, 1/n)) has positive measure; in particular, it is
nonempty, so that g(X) contains points in B(, 1/n) for every n. Thus
is in the closure of g(X).
Conversely, suppose is not in the essential range of f. Let r > 0 such
that f
1
(B(, r)) has measure zero. Let CB(, r). Dene g : X C
by
g(x) =
_
f(x) f(x) / B(, r)
else.
Then g agrees with f a.e., and / g(X).
2.2. Commutative C
-Algebras.
Exercise 2.2.1: Let Abe a unital Banach algebra and a
0
, a
1
, . . . and b
0
, b
1
, . . .
be two sequences of elements of A such that
|a
n
| < and
|b
n
| < ,
and let x =
a
n
, y =
b
n
. Prove that the product xy is given by the
series xy =
c
n
, where
c
n
= a
0
b
n
+a
1
b
n1
+ +a
n
b
0
,
the series
c
n
being absolutely convergent in the sense that
|c
n
| < .
Solution: Let us introduce the notation
x
n
= a
0
+ +a
n
y
n
= b
0
+ +b
n
X
n
= |a
0
| + +|a
n
|
Y
n
= |b
0
| + +|b
n
|
S
n
=
n
k=0
c
k
A
n
=
j+kn
|a
j
||b
k
| =
n
k=0
|c
k
|.
Then A
n
X
n
Y
n
, so that A
n
is bounded above and hence converges, i.e.
c
k
converges absolutely. Now
|x
n
y
n
S
n
| =
_
_
_
_
_
_
_
_
j,kn
j+k>n
a
j
b
k
_
_
_
_
_
_
_
_
A
2n
A
n
which tends to zero since A
n
is a convergent sequence. Thus,
k=0
c
k
= lim
n
S
n
= lim
n
x
n
y
n
= xy.
We note that the key estimate above, using A
2n
A
n
as an upper bound,
can be pictured as a relationship between squares and right triangles on a
quarter-innite lattice. If S
n
indicates an n n square and T
n
an n n
right triangle, then T
n
S
n
T
2n
whereas S
n
T
2n
S
2n
. Here the
points of the lattice represent pairs (j, k) over which one sums a
j
b
k
.
Exercise 2.2.2: Let A be a C
-algebra.
(a) Show that the involution in A satises |x
| = |x|.
(b) Show that if A contains a unit 1, then |1| = 1.
Solution:
(a) Obviously this is true if x = 0; for nonzero x, divide the inequality
|x|
2
= |x
x| |x
||x| by |x| to obtain |x| |x
|. Applying
the same result to x
yields |x
| |x|, from which it follows that

|x
| = |x|.
(b) For any x /,
1
= (x1)
= x
= (1x)
= x
so that 1
is a multiplicative identity; hence 1
= 1. Then |1| =
|1
1| = |1|
2
and, since 1 ,= 0, we can divide both sides by |1| to
obtain |1| = 1.
Notation: In the following exercises, X and Y denote compact Hausdor
spaces, and : C(X) C(Y ) denotes an isomorphism of complex algebras.
We do not assume continuity of .
Exercise 2.2.3: Let p Y . Show that there is a unique point q X such
that (f)(p) = f(q) for all f C(X).
Solution: Let J = f C(Y ) : f(q) = 0, which is a maximal ideal in C(Y )
corresponding to the MLF of evaluation at q. Since is an isomorphism,
=
1
J is a maximal ideal in C(X). As proved in section 1.10, every
maximal ideal in C(X) is the zero set of a unique point p X.
Given f C(Y ), let = f(q). Then f 1 J, so that
1
(f)1
. Hence (
1
f)(p) = 0, so (
1
f)(p) = . Thus p has the desired
property.
If x X with x ,= p, then there is some g with g(x) ,= 0, by the
uniqueness result from chapter 1.10 (or by Urysohns lemma). Since
(g)(q) = 0, this x does not have the desired property. Hence p is
unique.
Exercise 2.2.4: Show that there is a homeomorphism : Y X such that
f = f .
Solution: The previous exercise gives us a bijection : Y X with this
property, so we need only show is continuous. (This will imply its a
homeomorphism, since its a continuous bijection from a compact space to
a Hausdor space.) Suppose not; then there is some closed F X such
that G =
1
(F) is not closed in Y . Let y

G G and let x = (y).
By Urysohns lemma, there exists f C(X) such that f(x) = 1 and f
vanishes on F. But then f = 0 on G, hence on

G, while also (f)(y) = 1,
a contradiction. Hence is continuous.
Exercise 2.2.5: Conclude that is necessarily a self-adjoint linear map in
the sense that (f
) = (f)
, f C(X).
Solution: This is immediate since (f )
= f
.
Exercise 2.2.6: Formulate and prove a theorem that characterizes unital
algebra homomorphisms : C(X) C(Y ) in terms of certain maps
: Y X. Which maps give rise to isomorphisms?
Solution: Theorem: For every unital algebra homomorphism : C(X)
C(Y ) there exists a unique continuous function : Y X such that
= (that is, for all C(X), () = ). Moreover, is (injective,
surjective) i is (surjective, injective). In particular, is an isomorphism
i is a homeomorphism.
Proof: Let
X
: X (C(X)) be the canonical homeomorphism x
( (x)), and similarly with
Y
. Dene

: (C(Y )) (C(X)) by
= , that is, for all (C(Y )) we have

() = , which in turn
means that for all C(X) we have

()() = (()). Dene : Y X
by =
1
X

Y
.
Let C(X). By denition of , we have =
1
X

Y
. In
case its not immediately obvious that this equals (), lets slowly unwind
the denitions:
Let y Y .

Y
(y) is the multiplicative linear functional on C(Y ) given by
(y).

(
Y
(y)) is the multiplicative linear functional on C(X) given by
()(y).

1
X
(
(
Y
(y))) is the unique point x X such that, for all C(X),
(x) = [
(
Y
(y))]().
(
1
X
(
(
Y
(y)))) is, therefore, equal to [
(
Y
(y))]().
By the denition of

(
Y
(y)), this is ()(y).
Thus, () = as claimed.
This proves the existence of ; for uniqueness, suppose there were a
dierent map with the same properties. Let y Y such that (y) ,= (y).
By Urysohns lemma, there exists C(X) with ((y)) ,= ((y)).
Hence is unique.
The last assertions are a consequence of the fact that surjectivity and
injectivity correspond to left and right cancellations, and that the corre-
spondence between and is given by a contravariant functor. Thus, if
Z is any other compact Hausdor space and
1
,
2
: C(Z) C(X) unital
homomorphisms, corresponding to continuous maps
1
,
2
: X Z via
i
=
i
, then (
i
) = (
i
). Therefore, if is right-cancellative,
in that
1
=
2
implies
1
=
2
, then is left-cancellative, mean-
ing that
1
=
2
implies
1
=
2
. For the other direction (left-
cancellativity of corresponds to right-cancellativity of ) we note that
has the same cancellativity properties as

, and repeat the above argument.
In more concrete terms, however, suppose is not surjective. Let x be
in the complement of the range, which is open; by Urysohn, there exists
C(X) which is zero on the range of and such that (x) = 1. Then
() = = 0, proving that is not injective. Conversely, if is not
injective, let C(X) be nonzero such that = 0; then is zero on
the range of , but is not zero everywhere, so that is not surjective.
Similarly, if is not injective, let y
1
,= y
2
such that (y
1
) = (y
2
).
Choose C(Y ) with (y
1
) = 1 and (y
2
) = 0. If were injective, there
would exist C(X) with () = . But then
((y
1
)) = ()(y
1
) = (y
1
) = 1 ,= 0 = (y
2
) = ()(y
2
) = ((y
2
))
which is impossible since (y
1
) = (y
2
). Hence is not surjective. Con-
versely, suppose is injective. Then it is a homeomorphism onto its range
X, so that factors as where : Y

X is a homeomorphism and
:

X X is the inclusion map. Correspondingly, we get the factorization
=
, where

: C(X) C(

X) is the map

= , and : C(

X) C(Y )
is the isomorphism = . Thus will be surjective i

is; but this is
the restriction map, which is surjective by Urysohns lemma again (or, if
you like, by the Tietze extension theorem).
Notation: In the remaining exercises, let H be a Hilbert space and let T
B(H)
1
be an invertible operator. Dene : B(H) B(H) by
(A) = TAT
1
, A B(H).
Exercise 2.2.7: Show that is an automorphism of the Banach algebra struc-
ture of B(H).
Solution: Clearly is an algebraic automorphism; it is bounded because
|(A)| |T||A||T|
1
| || |T||T|
1
,
and its inverse A T
1
AT is bounded in the same way.
Exercise 2.2.8: Show that (A
) = (A)
for all A B(H) i T is a scalar

multiple of the identity operator.
Solution: The if direction is clear. Conversely, suppose (A
) = (A)
for all A. That is,

TA
T
1
= (TAT
1
)
= T
for all A B(H).

This implies
T
TA
= A
T for all A B(H),

i.e. that T
T B(H)
= CI. Let r > 0 such that T
T = r
2
I. The
equation (T
) = (T)
implies T
T = TT
, so that T is normal. Then

U =
1
r
T satises
U
U =
1
r
2
T
T = I =
1
r
2
TT
= UU
and hence is unitary.

2.3. Continuous Functions of Normal Operators.
Exercise 2.3.1: Show that the spectrum of a normal operator T B(H) is
connected if and only if the C
-algebra generated by T and 1 contains no

projections other than 0 and 1.
Solution: By the spectral theorem, C
(T) contains a nontrivial projection i

C((T)) does. But a nontrivial projection in C((T)) is the characteristic
function of a nontrivial union of connected components, which can only
exist of (T) is disconnected.
Notation: Consider the algebra ( of all continuous functions f : C C.
There is no natural norm on (, but for every compact subset X C there
is a seminorm
|f|
X
= sup
zX
[f(z)[.
Exercise 2.3.2: Given a normal operator T B(H), show that there is a
natural extension of the functional calculus to a *-homomorphism f (
f(T) B(H) that satises |f(T)| = |f|
(T)
.
Solution: Given T, we obtain a restriction homomorphism
T
: ( C((T))
which satises
T
(f) = |f|
(T)
. Composing this with the functional cal-
culus yields the result.
Exercise 2.3.3 (Continuity of the functional calculus): Fix a function
f ( and let T
1
, T
2
, . . . be a sequence of normal operators that converges
in norm to an operator T. Show that f(T
n
) converges in norm to f(T).
Solution: First note that T is normal, since norm convergence implies T
n

T
and therefore TT
TT
= limT
n
T
n
T
n
T
n
= 0.
Let K C be a compact set containing all the (T
n
). Since one even-
tually has r(T
n
) = |T
n
| |T| + 1, this is possible.
Let P
k
be a sequence of polynomials converging uniformly to f in C(K).
Given > 0, choose k such that |P
k
f|
K
< . Since P
k
(T
n
) P
k
(T)
in norm (by norm-continuity of products and sums), there is N N such
that |P
k
(T
n
) P
k
(T)| < for n > N. Then for n > N one has
|f(T
n
) f(T)| = |f(T
n
) P
k
(T
n
) +P
k
(T
n
) P
k
(T) +P
k
(T) f(T)|
|f(T
n
) P
k
(T
n
)| +|P
k
(T
n
) P
k
(T)| +|P
k
(T) f(T)| < 3.
Thus f(T
n
) f(T).
2.4. The Spectral Theorem and Diagonalizations.
Exercise 2.4.1: Let X be a Borel space, f a bounded complex-valued Borel
function on X, and and two -nite measures on X. The multiplication
operator M
f
denes bounded operators A on L
2
(X, ) and B on L
2
(X, ).
Assuming that and are mutually absolutely continuous, show that there
is a unitary operator W : L
2
(X, ) L
2
(X, ) such that WA = BW.
Solution: By Radon-Nikodym, d = hd for some nonnegative function h.
(Nonnegative because L
2
spaces are dened with respect to positive mea-
sures.) Dene W : L
2
(X, ) L
2
(X, ) by (W)(x) =
1
h(x)
(x). Then
WA and BW are both M
f/
h
, i.e.
(WA)(x) =
f(x)
_
h(x)
(x) = (BW)(x)
for every L
2
(X, ).
Exercise 2.4.2: Show that every diagonalizable operator on a separable Hilbert
space is unitarily equivalent to a multiplication operator M
f
acting on
L
2
(X, ) where (X, ) is a probability space, that is, a measure space for
which (X) = 1.
Solution: By denition, if T B(1) is diagonalizable, there is a -nite
measure space (X, ), a unitary U : 1 L
2
(X, ), and a function
L
(X, ) such that such that UT = M
U. Let X =
X
i
where (X
i
)
is nite and the X
i
are disjoint. Dene a measure on X by (E
X
i
) =
(EXi)
2
i
(Xi)
. Then is a probability on X which is mutually absolutely
continuous with respect to . By the previous exercise, M
is unitarily
equivalent to a multiplication operator on L
2
(X, ), so T is as well.
Notation: The following exercises concern the self-adjoint operator A dened
on the Hilbert space
2
(Z) by
A
n
=
n+1
+
n1
.
Exercise 2.4.3: Show that A is diagonalizable by exhibiting an explicit uni-
tary operator W : L
2
(T, d/2) H for which WM
f
= AW, where
f : T R is the function f(e
i
) = 2 cos . Deduce that the spectrum of A
is the interval [2, 2] and that the point spectrum of A is empty.
Solution: The unitary is just the Plancherel transform, i.e. the operator
given by
(Wg)(n) = n =
_
T
f()
n
d =
_
1
0
f(e
2i
)e
2in
d.
For any g L
2
(T) one then has Wg =
n
g(n)
n
where
n
is the stan-
dard basis for
2
(Z). Hence
AWg =
n
g(n)[
n+1
+
n1
] =
m
[ g(m1) + g(m+ 1)]
m
whereas
WM
f
g =
fg(n)
n
=
n
[ g(n 1) + g(n + 1)]
n
.
Exercise 2.4.4: Let U be the operator dened on L
2
(T, d/2) by
(Uf)(e
i
) = f(e
).
Show that U is a unitary operator that satises U
2
= 1 and which commutes
with M
f
. [Typo in the book: says commutes with A.]
Solution: Clearly U
2
= 1. Its also clear that |U| = ||, so that U is an
isometry; since its also invertible, its unitary. Finally, for any L
2
(T),
(UM
f
)(e
i
) = (M
f
)(e
i
) = 2 cos()(e
i
) = 2 cos()(e
i
) = (M
f
U)(e
i
)
so that U commutes with M
f
.
Exercise 2.4.5: Let B be the set of all operators on L
2
(T, d/2) that have
the form M
f
+ M
g
U where f, g L
(T, d/2) and U is the unitary

operator of the preceding exercise. Show that B is *-isomorphic to the C
-
algebra of all 2 2 matrices of functions M
2
(B
0
), where B
0
is the abelian
C
-algebra L
(X, ), X being the upper half of the unit circle X = z

T : imz 0 and being the restriction of the measure d = d/2 to X.
Solution: First, we note that one can recover f and g from the operator
M(f) +M(g)U; that is, the linear map : L
(T) L
(T) B given by
(f g) = M(f)+M(g)U is injective. This is clear from a consideration of
this operator applied to the characteristic functions of the upper and lower
semicircles.
Next, we introduce notation for some of the relevant maps between
spaces:
M : L
(T) B(L
2
(T)) is the *-algebra homomorphism that takes f
to the multiplication operator by f
P
u
: L
(T) L
(X) and P
: L
(T) L
(Y ) are the *-homomorphisms

of projection onto the upper and lower semicircles, which we denote
by X and Y ; we view L
(X) and L
(Y ) as subalgebras of L
(T)
T : L
(T) L
(T) is the *-homomorphism (Tf)(e

i
) = f(e
i
),
which satises T
2
= id. Note that T(L
(X)) = L
(Y ) and con-
versely.
: B M
2
(B
0
) is the map
(M(f) +M(g)U) =
_
P
u
(f) P
u
(g)
P
u
(T(g)) P
u
(T(f))
_
,
which we will prove to be a *-algebra isomorphism.
Here are some elementary relations between these maps, all easy to ver-
ify:
UM(f) = M(T(f))U
TP
= P
u
T and TP
u
= P
T
It is clear that the map is bijective and linear. It is self-adjoint because
_
[M(f) +M(g)U]
_
=
_
M(f)
+UM(g)
_
=
_
M(

f) +M(T( g))U
_
=
_
P
u
(

f) P
u
(T( g))
P
u
(T(T( g))) P
u
(T(

f))
_
=
_
P
u
(f) P
u
(g)
P
u
(T(g)) P
u
(T(f))
_
and is multiplicative because
_
[M(f) +M(g)U][M(h) +M(k)U]
_
=
_
M(f)M(h) +M(f)M(k)U +M(g)UM(h) +M(g)UM(k)U
_
=
_
M(f)M(h) +M(f)M(k)U +M(g)M(T(h))U +M(g)M(T(k))
_
=
_
M(fh +gT(k)) +M(fk +gT(h))U
_
=
_
P
u
(fh +gT(k)) P
u
(fk +gT(h))
P
u
(T(fk +gT(h))) P
u
(T(fh +gT(k)))
_
=
_
P
u
(f)P
u
(h) +P
u
(g)P
u
(T(k)) P
u
(f)P
u
(k) +P
u
(g)P
u
(T(h))
P
u
(T(f))P
u
(T(k)) +P
u
(T(g))P
u
(h) P
u
(T(f))P
u
(T(h)) +P
u
(T(g))P
u
(k)
_
=
_
P
u
(f) P
u
(g)
P
u
(T(g)) P
u
(T(f))
_ _
P
u
(h) P
u
(k)
P
u
(T(k)) P
u
(T(h))
_
= (M(f) +M(g)U)(M(h) +M(k)U).
Notation: The following exercises ask you to compare the operator A to a
related operator B that acts on the Hilbert space L
2
([2, 2], ) where
is Lebesgue measure on the interval [2, 2]. The operator B is dened by
(Bf)(x) = xf(x).
Exercise 2.4.6: Show that B has spectrum [2, 2] and that it has no point
spectrum. Deduce that for every f C([2, 2]) we have |f(A)| = |f(B)|.
Solution: The spectrum of a multiplication operator is its essential range,
which in this case is [2, 2]. Since A and B are both normal (in fact, self-
adjoint) and have the same spectrum, the functional calculi for the two of
them together imply that |f(A)| = |f(B)| for all f C([2, 2]).
Im not sure why he mentioned the point spectrum, as its unnecessary
for the above proof.
Exercise 2.4.7: Show that A and B are not unitarily equivalent.
Solution: First, we show that B
= B
, where

denotes the commutant.
Clearly every multiplication operator commutes with B.
Conversely, suppose T commutes with B = M
x
.
Let g = T1. We will show that g L([2, 2]) and that B = M
g
.
For any polynomial p, p(M
x
) = M
p(x)
, so that T commutes with M
p(x)
as well.
It follows that T commutes with M
f
for any f C([2, 2]). Indeed,
since polynomials are dense in C([2, 2]) by the Weierstrass approx-
imation theorem, given any f C([2, 2]) one can nd polynomials
p
n
f uniformly; then |M
pn
M
f
| 0, because M
pn
M
f
= M
pnf
and the norm of a multiplication operator is the essential supremum
of its symbol. Then
|TM
f
M
f
T| = |T(M
f
M
p
) +TM
p
M
p
T + (M
p
M
f
)T| = |T(M
f
M
p
) + (M
p
M
f
)T|
|T||M
f
M
p
| +|M
p
M
f
||T| 0.
If we knew that T commuted with M
f
for any f L
([2, 2]), we
could quickly infer that g L
([2, 2]) and that T = M

g
as follows:
For any h L
([2, 2]),
Th = TM
h
1 = M
h
T1 = M
h
g = M
g
h
so that T and M
g
agree on the dense subspace L
([2, 2]) of L
2
([2, 2]).
If we know that g L
([2, 2]), so that M

g
is bounded, we can con-
clude that T = M
g
. If g / L
, let h
n
be the characteristic function of
x : [g(x)[ > n, and it would follow that
|Th
n
| = |gh
n
| > n|h
n
|
so that T would not be bounded.
Unfortunately I dont know a good way to show that T commutes with
M
g
for all g L
, since C([2, 2]) is not dense in L
([2, 2]).
However, we can still prove that g L
and that T = M
g
as follows:
Let L
2
([2, 2]). Let f
n
C([2, 2]) such that f
n
in L
2
. Let
f
nj
be a subsequence such that f
nj
a.e. (see for instance Theorem
3.12 in ([Rud91]) or Exercise 6.9 in ([Fol99]) for the existence of such).
Then gf
nj
= Tf
nj
L
2
T. Let f
nj
k
be a sub-subsequence such that
gf
nj
k
a.e.
T. Then
T = lim
a.e.
Tf
nj
k
= lim
a.e.
gf
nj
k
= g,
so that T = M
g
for all L
2
. Since T is bounded, one must have
g L
([2, 2]) as well.

I have a feeling that theres a simpler way to prove that B
consists
only of multiplication operators, but I dont know what it is. Sugges-
tions welcome!
If / denotes the algebra of multiplication operators, the fact that
B / implies that /
= /. On the other hand, since /

is commutative, we also have / /
. Hence B
= /
= / =
B
.
On the other hand, it is not true that A
= A
. If it were, it would
follow that
, where

A := M
2 cos
is the operator shown to be
unitarily equivalent to A in Exercise 3. However, U
as previously
noted, so that
. But the latter does not contain multiplication

operators of non-even functions, so it is strictly smaller than
, which
contains all multiplication operators.
Thus, we have found a property which is true of B and false of A, and
which is a unitary invariant. It follows that B is not unitarily equivalent
to A.
Exercise 2.4.8: Show that A is unitarily equivalent to B B.
Solution: It is clear that A is unitarily equivalent to the direct sum of M
2 cos
on L
2
([0, ], d/2) and M
2 cos
on L
2
([, 0], d/2), and that these are
unitarily equivalent to each other. Hence it suces to show that A T
where T is M
2 cos
on L
2
([0, ], d/2).
Dene a linear map : L
2
([2, 2]) L
2
([0, ], d/2) by (f)() =
2
f(2 cos )
sin . Then
|f|
2
=
1
2
_

0
[(f)()[
2
d
= 2
_

0
[f(2 cos )[
2
sin d
=
1
4
_
2
2
[f(u)[
2
du = |f|
2
so that is an isometry. Moreover, is bijective, with
(
1
g)(x) =
1
2
_
(4 x
2
)
g(cos
1
(x/2)),
so that is unitary. Finally, T = B, proving that T and B are unitarily
equivalent.
2.5. Representations of Banach *-Algebras.
Exercise 2.5.1: Let / = /
B(H) be a self-adjoint algebra of operators

on a Hilbert space, and let
N = H : A = 0
be the null space of /. Show that the orthogonal complement of N is the
closed linear span of /H = T : T /, H and that both N and
[/H] are /-invariant subspaces.
Solution: Let (/H) denote the (non-closed) linear span of /H, which has
closure [/H]. Then (/H)
= [/H]
. But show (/H)
= N, because
h (/H)

1
, . . . ,
n
H : a
1
, . . . , a
n
/ :
_
h,
a
i
i
_
= 0

1
, . . . ,
n
H : a
1
, . . . , a
n
/ :
h, a
i
i
= 0

1
, . . . ,
n
H : a
1
, . . . , a
n
/ :
i
h,
i
= 0
a / : ah = 0
h N.
Exercise 2.5.2: Let A be a Banach *-algebra with unit 1, and let
rep(A, H) be a representation of A. Show that is nondegenerate i
(1) = 1
H
.
Solution: Because (1) = (1
) = (1)
and (1) = (1
2
) = (1)
2
, we see
that (1) must be a projection P B(H). Then for any h H and a /,
(a)h = (1a)h = (1)(a)h = P(a)h
so that (a)h PH; thus, PH is the essential subspace for . By denition,
is nondegenerate i this is all of H, which happens i P = 1
H
.
Exercise 2.5.3: Let Abe a Banach *-algebra. A representation rep(A, H)
is said to be cyclic if there is a vector H with the property that the set
of vectors (A) is dense in H. Show that a representation rep(A, H)
is nondegenerate i it can be decomposed into a direct sum of cyclic sub-
representations in the following sense: There is a family H
i
H, i I
of nonzero subspaces of H that are mutually orthogonal, (A)-invariant,
that sum to H, and such that for each i I there is a vector
i
H
i
with
(A)
i
= H
i
.
Solution: If is a direct sum of cyclic subrepresentations, then it must be
degenerate, as (/)H contains each H
i
and therefore all of H.
Conversely, suppose is nondegenerate. Let : be the family of all
subrepresentations of which are direct sums of cyclic subrepresentations,
with the partial order that if is a subrepresentation of . Clearly
: is nonempty, as any vector H gives rise to a cyclic subrepresentation
on the subspace (/). Moreover, every chain in : has an upper bound

given by direct summation over its members. By Zorns lemma, there is a
maximal representation :. Suppose is a proper subrepresentation
of , on a proper subspace H
H. Let (H
be any nonzero vector;

then
is an element of : strictly greater than , a contradiction.

Hence = and is a direct sum of cyclic subrepresentations.
Exercise 2.5.4: Let Abe a Banach *-algebra. A representation rep(A, H)
is said to be irreducible if the only closed (A)-invariant subspaces of H
are the trivial ones 0 and H. Show that is irreducible i the commutant
of (A) consists of scalar multiples of the identity operator.
Solution: A closed subspace of H is (/)-invariant i its projection com-
mutes with (/). Hence is irreducible i (/)
contains no nontrivial
projections. This in turn is equivalent to (/)
being one-dimensional be-

cause (/)
is a von Neumann algebra, and therefore is generated by its

projections. (This fact was mentioned on page 42 of the text.)
Exercise 2.5.5: Let X be a compact Hausdor space and let be an irre-
ducible representation of C(X) on the Hilbert space H. Show that H is one-
dimensional and that there is a unique point p X such that (f) = f(p)1
for all f C(X).
Solution: By the previous exercise, (C(X))
contains only the scalar op-

erators. But (C(X)) is commutative, so that (C(X)) (C(X))
.
Hence (C(X)) contains only scalar operators, so that has the form
(f) = (f)1, where : C(X) C is a nonzero homomorphism, aka a
multiplicative linear functional. As previously established (chapter 1.10),
the only MLFs on C(X) are point evaluations. Finally, any closed sub-
space of H will be invariant under scalar operators, so the irreducibility of
implies that H is one-dimensional.
2.6. Borel Functions of Normal Operators.
Exercise 2.6.1: Show that for every f B(X) and every > 0 there is a
nite linear combination of characteristic functions in B(X) (i.e. a simple
function)
g = c
1
E
1
+ +c
n
En
such that |f g| .
Solution: Let C be tiled by squares with diameter ; a nite collection
S
1
, . . . , S
n
of them cover f(X). Let E
i
= f
1
(S
i
) X, and choose an
arbitrary point c
i
S
i
for each i. Then g =
c
i
E
i
satises |f g| .
Exercise 2.6.2: Let (X, B) be a Borel space. For every -nite measure
on X let
be the representation of B(X) on L

2
(X, ) dened by
(f)(p) = f(p)(p), L
2
(X, ).
(a) Show that
is a -representation of B(X) on L
2
(X, ). (Notice that
the denition of -representation makes sense in this more general
context.)
(b) Given two -nite measures , on (X, B), show that
and
are
unitarily equivalent i and are mutually absolutely continuous.
(c) Deduce that a multiplication operator acting on the L
2
space of a
-nite measure is unitarily equivalent to a multiplication operator
acting on the L
2
space of a nite measure space.
Solution:
(a) Let f
n
be uniformly bounded functions in B(X) (say |f
n
| M for
all n) such that f
n
(p) 0 for all p X. For any L
2
(X, ), the
functions
2
f
2
n
are dominated by M
2
2
, so
lim|
(f
n
)|
2
= lim
_
[f
n
(p)[
2
[(p)[
2
d =
_
lim[f
n
(p)[
2
[(p)[
2
d = 0
by the dominated convergence theorem.
(b) Suppose . By Radon-Nikodym, there is a measurable function
h such that d = hd, with h nonzero a.e. Dene U : L
2
(X, )
L
2
(X, ) by (Uf)(x) =
_
[h(x)[f(x); then
|Uf|
2
=
_
X
[h(x)[[f(x)[
2
d =
_
X
[f(x)[
2
d = |f|
2
so that U is an isometry, and since f
1
|h(x)|
is an inverse for U,
it is unitary. Finally, since
U = U
, we see that
and
are
unitarily equivalent.
Conversely, suppose and are not mutually absolutely continuous.
Then there exists a Borel subset E X such that either (E) = 0
while (E) ,= 0, or (E) = 0 while (E) ,= 0; WLOG suppose the
former. Then
takes 1
E
to the zero operator, whereas
takes 1
E
to a nonzero operator; hence
and
cannot be unitarily equivalent.

(c) If (X, ) is a -nite measure space, let X
1
, X
2
, . . . be disjoint mea-
surable subsets of X with each (X
i
) nite. Dene a measure by
(E X
i
) =
(E)
2
i
(X
i
)
.
Then , and (X) = 1.
Note that this exercise is very similar to 2.4.1.
2.7. Spectral Measures.
Exercise 2.7.1: Let N
1
B(H
1
) and N
2
B(H
2
) be two normal operators
acting on nite-dimensional Hilbert spaces H
1
, H
2
. Show that there is a
unitary operator W : H
1
H
2
such that WN
1
W
1
= N
2
i N
1
and N
2
have the same spectrum and the same multiplicity function.
Solution: Clearly, unitary equivalence preserves both spectrum and multi-
plicity. For the converse, suppose N
1
and N
2
have the same spectrum
and multiplicity. For each (N
1
) = (N
2
), let E
,1
and E
,2
be the
corresponding eigenspaces for N
1
and N
2
. By hypothesis, these have the
same dimension, so that there is a unitary W
: E
,1
E
2
. Because the
operators are normal, theyre diagonalizable, so that
H
j
=
(Nj)
E
,j
for j = 1, 2.
We can therefore dene a unitary W : H
1
H
2
by W = W
. One has
WP
,1
= P
,2
W, where P
,j
is the projection onto E
,j
, so that
W
P
,1
=
P
,2
W WN
1
= N
2
W.
Exercise 2.7.2: Calculate the spectral measure of the multiplication opera-
tor X dened on L
2
([0, 1]) by (X)(t) = t(t), 0 t 1.
Solution: The spectral measure is given by P(S) = M(1
S
) for each Borel
subset S [0, 1], where M(f) denotes the multiplication operator induced
by f.
More generally, we will prove the following: Let X be a locally compact
Hausdor space, a positive -nite Borel measure on X, and : X C
a bounded Borel function with essential range K C. Then the spectral
measure corresponding to the multiplication operator M() on L
2
(X, ) is
given by P(S) = M(1
1
(S)
) for Borel subsets S K.
The proof amounts to the following observations:
(1) In general, if P is the spectral measure for some normal operator T,
then P(S) is the operator 1
S
(T) dened via the Borel functional cal-
culus. This observation was made at the end of section 2.7.
(2) The Borel functional calculus is applied to multiplication operators
by composition: (M()) = M( ) for a bounded Borel function
dened on the essential range of . One proves this formula in
stages, by promoting through the dierent levels of the functional
calculus. If is a polynomial, the formula is immediate. If C(K),
choose polynomials p
n
in C(K); then p
n
in B
(X), so
that M(p
n
) M( ) in B(L
2
(X, )). Since (M()) is dened
by the continuous functional calculus to be the limit of M(p
n
), this
shows that (M()) = M( ). Finally, to extend to B
(K),
note that M() is a -representation of B
(K) which extends

the continuous functional calculus, and since we know (M())
is the only such, it follows that (M()) = M( ).
(3) Applying our second remark to the function = 1
S
, we have 1
S
(M()) =
M(1
S
). Applying the rst remark, this becomes P(S) = M(1
S
).
Finally, we note that 1
S
= 1
1
(S)
.
Exercise 2.7.3: A resolution of the identity is a function : R P

B(H) from R to the projections on a Hilbert space with the following
properties:
P
Relative to the strong operator topology,

lim
= 0, lim
+
P
= 1.
Right continuity: For every R,
lim
+
P
= P
.
Early formulations of the spectral theorem made extensive use of resolutions
of the identity. It was gradually realized that these objects are equivalent
to spectral measures, in much the same way that Stieltjes integrals are
equivalent to integrals with respect to a measure. This exercise is related to
the bijective correspondence that exists between resolutions of the identity
and spectral measures on the real line.
(a) Consider the Borel space (R, B) of the real line. Given a spectral
measure E : B B(H), show that the function P
= E((, ]),
R, is a resolution of the identity.
(b) Given two spectral measures E, F : B B(H) that give rise to the
same resolution of the identity, show that E = F.
Solution:
(a)
(1) If , then (, ] (, ], so
P
= E((, ]) E((, ]) = P
.
(2) By the previous property, it suces to prove this with replaced
by an integer argument m. Now
1
H
= E(R) = E
_
nZ
(n, n + 1]
_
=
nZ
E((n, n + 1]).
We use the fact that the tails of a convergent sum tend to zero.
A negative tail of the above sum has the form
nm
E((n, n + 1]) = E((, n + 1]) = P
m+1
,
from which we see that P
m
0 as m . Similarly, a
positive tail is of the form
E((m, )) = 1
H
E((, m]) = 1
H
P
m
,
from which we see that P
m
1
H
as m .
(3) We write
E((, + 1]) = E
_

n=1
_
+
1
n + 1
, +
1
n
_
_
=
n=1
E
_
_
+
1
n + 1
, +
1
n
_
_
and again use the fact that the tails of a convergent sum tend
to zero. A tail of this sum has the form
n=N
E
_
_
+
1
n + 1
, +
1
n
_
_
= E
_
_
, +
1
N
_
_
= P
+1/N
P
.
Thus, P
+1/N
P
as N ; appealing to the rst property

again, this implies that P
as
+
.
(b) Let
/ = S B : E(S) = F(S).
We will show that / is a -algebra which contains the half-open in-
tervals, which implies B / and hence that B = /.
(1) E() = 0 = F(), so that /.
(2) If S /, then E(S
) = 1 E(S) = 1 F(S) = F(S
), so that
S
/. Thus / is closed under complementation.

(3) If S
1
, S
2
/, then E(S
1
S
2
) = E(S
1
)E(S
2
) = F(S
1
)F(S
2
) =
F(S
1
S
2
), so that S
1
S
2
/. Thus / is closed under nite
intersections.
(4) If T
1
, T
2
, /, let S
1
= T
1
and
S
j+1
= T
j+1

j
_
i=1
T
i
= T
j+1

j
i=1
T
i
,
so that S
i
is a disjoint family with the property that
n
i=1
S
i
=
n
i=1
T
i
for each n. Note also that S
i
/ for each i, by previ-
ously established properties of /. Then
E
_
_
i=1
T
i
_
= E
_
_
i=1
S
i
_
=
i=1
E(S
i
) =
i=1
F(S
i
) = F
_
_
i=1
S
i
_
= F
_
_
i=1
T
i
_
so that
i=1
T
i
is in /. Thus / is closed under countable unions,
and hence is a -algebra. (So far weve retraced the standard
exercise that a collection of sets is a -algebra i it contains the
empty set and is closed under complementation, nite intersec-
tions, and countable disjoint unions.)
(5) Finally, given any half-open interval (a, b]), we have
E((a, b]) = P
b
P
a
= F((a, b])
so that (a, b] /.
2.8. Compact Operators.
Exercise 2.8.1: Let A be a compact operator on a Hilbert space H. Show
that for every sequence of mutually orthogonal unit vectors
1
,
2
, H
we have
lim
n
|A
n
| = 0.
Solution: If not, we may assume, by taking a subsequence and rescaling
A if needed, that |A
n
| 1 for all n. Taking another subsequence if
needed and using the compactness of A, we have A
n
for some
(which automatically satises || 1). This implies Re A
n
,
1
2
for
suciently large n; WLOG, by taking a tail if needed, for all n. Now let
x
N
=
1
+
2
+ +
N
. We have |x
N
| =
N, but
Re Ax
N
,
N
2
[Ax
N
, [
N
2
|Ax
N
|||
N
2
|A||x
N
|||
N
2
|A|
N
2||
for all N, contradicting the boundedness of A.
Exercise 2.8.2: Let e
1
, e
2
, . . . be an orthonormal basis for a Hilbert space H
and let A B(H). Show that A is compact i
lim
n
|(1 E
n
)A(1 E
n
)| = 0,
where E
n
denotes the projection onto spane
1
, . . . , e
n
.
Solution: If A has this property, it is the norm limit of nite-rank operators,
hence is compact. Conversely, if A is compact, the preceding exercise im-
plies that for any > 0 there exists N such that |Ae
n
| < for n N; this
implies that |A(1 E
n
)| < , so that |(1 E
n
)A(1 E
n
)| < .
Exercise 2.8.3: Verify the polarization formula for bounded operators on a
Hilbert space H:
4B
A =
3
k=0
i
k
(A+i
k
B)
(A+i
k
B).
Solution: Its tempting to cite the fact that (A, B) B
A is an inner prod-
uct, but since this is B(H)-valued rather than C-valued, wed have to de-
velop the theory of Hilbert C
-modules to substantiate this. So we can

make the direct calculation:
3
k=0
i
k
(A+i
k
B)
(A+i
k
B) =
3
k=0
i
k
(A
i
k
B
)(A+i
k
B)
=
3
k=0
i
k
(A
Ai
k
B
A+i
k
A
B +B
B)
=
_
3
k=0
i
k
_
A
A+
_
3
k=0
1
_
B
A+
_
3
k=0
(1)
k
_
A
B +
_
3
k=0
i
k
_
B
B
= 4B
A.
Exercise 2.8.4: Let |A|
2
= A, A
1/2
2
for every Hilbert-Schmidt operator A.
(a) Let A
1
, A
2
, . . . be a sequence in /
2
that satises
lim
m,n
|A
m
A
n
|
2
= 0.
Show that there is an operator A B(H) such that |A
n
A| 0 as
n .
(b) Show that /
2
is a Hilbert space relative to the inner product A, B
2
=
trace B
A.
Solution:
(a) This will follow from the more general fact that |A| |A|
2
. For this,
let x H; then
|A
x|
2
=
n
[A
x, e
n
[
2
=
n
[x, Ae
n
[
2
n
|Ae
n
|
2
|x|
2
by Parsevals identity and the Cauchy-Schwarz inequality. It follows
that |A|
2
= |A
|
2
|A|
2
2
.
(b) Let A
n
be Cauchy in /
2
. Let A be the norm limit from part (a).
Let > 0, and choose N N such that |A
j
A
k
|
2
< for j, k N.
Let k N.
We seek to prove that |A A
k
|
2
. It is tempting to use the
computation
|AA
k
|
2
= | lim
j
A
j
A
k
|
2
= lim
j
|A
j
A
k
|
2
.
However, the notation lim
j
here denotes the norm limit, which can-
not be moved through the | |
2
symbol because the Hilbert-Schmidt
norm is not continuous in the operator-norm topology if H is innite-
dimensional. (For instance, consider a projection of rank n; this has
operator norm 1 but Hilbert-Schmidt norm

n.) Thus, another proof
approach must be found. We will use the fact that an innite sum of
nonnegative terms is the supremum over nite sums.
For any xed m N,
(AA
k
)e
m
= (lim
j
A
j
A
k
)e
m
= lim
j
_
(A
j
A
k
)e
m
_
,
so that for any M N,
M
m=1
|(AA
k
)e
m
|
2
=
M
m=1
lim
j
|(A
j
A
k
)e
m
|
2
m=1
sup
jN
|(A
j
A
k
)e
m
|
2
= sup
jN
M
m=1
|(A
j
A
k
)e
m
|
2
sup
jN
|A
j
A
k
|
2
2
.
Thus,
|AA
k
|
2
2
= sup
MN
M
m=1
|(AA
k
)e
m
|
2
.
It follows that |AA
k
|
2
0, so that /
2
is complete.
Exercise 2.8.5: Show that a multiplication operator M
f
is self-adjoint and
has nonnegative spectrum i M
f
, 0 for every L
2
(X, ).
Solution: Suppose M
f
is self-adjoint and has nonnegative spectrum. Since
the spectrum is the essential range, it follows that f is nonnegative a.e.
Then for any L
2
(X, ),
M
f
, =
_
X
(M
f
)(x)(x) d(x) =
_
X
f(x)(x)(x) d(x) 0
because the integrand is nonnegative a.e.
Conversely, suppose f does not have nonnegative spectrum. Let
(M
f
) [0, ), and let N be a neighborhood of such that one of the
conditions
(1) Re z < 0
(2) Imz < 0
(3) Imz > 0
holds throughout N; for convenience, we assume the rst. Let V = f
1
(N),
which has positive measure because is in the essential range of f. Then
M
f
1
V
, 1
V
=
_
V
f(x) d(x)
which has strictly negative real part, because the integrand does a.e. Hence
there exists L
2
such that M
f
, is not nonnegative.
2.9. Adjoining a Unit to a C
-Algebra.
Exercise 2.9.1: Let A be a nonunital C
-algebra and let : A A

e
be the
natural map of A into its unitalization. Considering A
e
as a C
-algebra,
suppose that there is an isometric *-homomorphism : A B of A into
another unital C
-algebra B such that (A) is an ideal of codimension 1 in

B. Show that there is a unique isometric *-isomorphism : A
e
B such
that = .
Solution: The map : A
e
B dened by (a + 1) = (a) + 1 is a *-
homomorphism with the property = . It is surjective because its
range includes (A) and 1. It is injective because if (a + 1) = 0, then
(a) = 1, and since (A) C1 = 0 it follows that (a) = = 0 and
hence, by the injectivity of , that a = = 0.
Exercise 2.9.2: Let / be the C
-algebra of compact operators on a Hilbert

space H. Show that the space of operators 1 + K : C, K / is a
C
-algebra *-isomorphic to K
e
.
Solution: It is easy to see by direct calculation that the space of operators in
question is a unital C
-algebra in which K is an ideal of codimension one.

The previous exercise implies that it is isomorphic to K
e
.
Exercise 2.9.3: Let X be a compact Hausdor space and let F be a proper
closed subset of X. Let A be the ideal of all functions f C(X) that vanish
throughout F. Note that A is a C
-algebra in its own right.

(a) Show that A has a unit if and only if F is both closed and open.
(b) Assuming that F is not open, identify the unitalization of A in concrete
terms by exhibiting a compact Hausdor space Y such that A
e
C(Y ), describing the precise relationship of Y to X and F.

Solution:
(a) If F is clopen, the function 1 1
F
is continuous, and is a unit for A.
Conversely, suppose A has a unit . Given any point x X F, there
exists f C(X) with f(x) = 1 and f = 0 on F; since f A, f = f,
so that (x) = 1. Hence = 1 1
F
. Since this is continuous, F is
clopen.
(b) If F is not open, X F is locally compact but not compact. The
algebra A is isomorphic to C
0
(X F), so its unitization is isomorphic
to C(
X F), where denotes the one-point compactication.

2.10. Quotients of C
-Algebras.
Exercise 2.10.1: Let e
1
, e
2
, . . . be an orthonormal basis for a separable
Hilbert space H, and let E
n
be the projection on the span of e
1
, . . . , e
n
.
Show that an operator T B(H) is compact i
lim
n
|T TE
n
| = 0,
and deduce that E
n
: n N is an approximate unit for the C
-algebra
/.
Solution: The if direction is true because a norm-limit of compact opera-
tors is compact; this is true even on Banach spaces (Exercise 1.4.2). The
only if direction is a consequence of the spectral theorem for compact
normal operators (Theorem 2.8.2).
Exercise 2.10.2: Let U be a unitary operator on a Hilbert space H. Then
(U) T, and hence there is a unique representation rep(C(T), H)
satisfying (f) = f(U) for f C(T). Identify ker as an ideal in C(T),
identify the quotient C(T)/ ker in concrete terms as a commutative C
-
algebra, and similarly describe the natural factorization = , where
: C(T) C(T)/ ker
is the natural map onto the quotient C
-algebra.
Solution: The existence and uniqueness of deserves a little explanation,
since is not just the continuous functional calculus for U if (U) is a
proper subset of T. It is Moreover, even the symbol f(U) needs dening
in this case. We dene it to mean

f(U) where

f is the restriction of f to
(U). Then is unique because it is determined on the set of polynomials,
which are dense in C(T); for existence, note that the composition F r
has the desired properties, where F : C((U)) B(H) is the continuous
functional calculus and r : C(T) C((U)) is restriction.
Now on to the exercise. Because F is injective,
ker = ker r = f C(T) : f = 0 on (U).
Now the restriction map r is surjective (by Urysohns lemma), so r = r
where : C(T) C(T)/ ker r is the quotient map (the same as the
mentioned in the problem, since ker = ker r) and r is an isomorphism.
Hence C(T)/ ker = C(T)/ ker r C((U)).
Finally, = F r = F r , so that = F r is the composition of the
continuous functional calculus with the identication between C(T)/ ker
and C((U)).
Exercise 2.10.3: Show that there is a compact Hausdor space R and an
isometric *-isomorphic of C
b
(R) onto C(R).
Solution: Since C
b
(R) is a unital C
-algebra, the Gelfand spectrum (C

b
(R))
ts the bill.
Exercise 2.10.4: For every t R, show that there is a (naturally dened)
point

t R, and that the map t

t is a homeomorphism of R onto a
dense subspace of R.
Solution: We dene

t to be evaluation at t, that is,

t(f) = f(t) for f C
b
(R).
t

t is continuous because if t
t in R, then f C
b
(R) : f(t
)
f(t); that is, f C
b
(R) :

t
(f)

t(f) in C. By the denition of the
Gelfand topology, this is the same as

t

t in R.
t

t is injective because if t
1
,= t
2
, we can use Urysohns lemma to nd
a function g C
b
(R) with g(t
1
) = 0 and g(t
2
) = 1; then

t
1
(g) ,=

t
2
(g),
so

t
1
,=

t
2
. Note that in a metric space, you dont need Urysohn; you
can use the explicit formula
g(x) = max
_
0, 1
2d(x, t
2
)
d(t
2
, t
1
)
_
.
t

t is open because if t
, t in R, there exists (by taking a subnet

if necessary) a neighborhood N of t such that t
/ N for all . Then

by Urysohns lemma, there exists g C
b
(R) with g(t) = 1 and with g
supported in N. Then
0 =

t
(g) ,

t(g) = 1.
Suppose the range

R is not dense. Let R be a point and U a
neighborhood of disjoint from

R. Using the basis for the weak-*
topology, there exist an > 0, an n N, and function f
1
, . . . , f
n

C
b
(R) such that [(f
k
) (f
k
)[ < for all U and all k = 1, . . . , n.
Let
f(x) =
n
k=1
[f
k
(x) (f
k
)[
2
.
Since no x is in U, we must have f(x)
2
for every x R. Thus, f
is invertible, which implies (f) is nonzero, a contradiction. Hence

R
is dense in R.
This density argument is taken from chapter 6.5 of ([Zhu93]).
Exercise 2.10.5: Identifying R with its image in R, the subspace R R is
called the corona of R. Show that the corona is closed (and hence, R is an
open subset of R).
Solution: As suggested in the hint, we will show that the corona is precisely
the closed subset
R : f C
0
(R) : (f) = 0.
Clearly this subset is contained in the corona, since if t R then there
exists f C
0
(R) (in fact, f can be compactly supported) with f(t) ,= 0
and hence with

t(f) ,= 0. On the other hand, suppose R R. Let
f C
0
(R). Let > 0 and choose compact K R such that [f[ < on
R K. Because

R is dense in R, there is a net t
R such that

t

in R. Then every subnet converges to as well; this implies that only
nitely many points of the net lie in K, as otherwise a subnet of t
would
converge to a point t K, and therefore the corresponding subnet of
would converge to

t rather than . Then [
(f)[ < for suciently large

, so that
[(f)[ = [ lim
(f)[ .
This is true for arbitrary > 0, so (f) = 0.
Exercise 2.10.6: Deduce that the quotient C
-algebra C
b
(R)/C
0
(R) is iso-
metrically isomorphic to C(R R).
Solution: Dene : C
b
(R) C(R R) by = r where : C
b
(R)
C(R) is the Gelfand transform and r : C(R) C(R R) is restric-
tion. By Urysohns lemma, r is surjective, and since is an isomor-
phism, is surjective as well. Moreover, because is an isomorphism,
ker =
1
(ker r), which equals C
0
(R) by the previous exercise. Hence
C
b
(R)/C
0
(R) C(R R) by the First Isomorphism Theorem.
Exercise 2.10.7: A compactication of R is a pair (, Y ) where Y is a
compact Hausdor space and : R Y is a continuous map such that (R)
is dense in Y . Show that (t

t, R) is a universal compactication of R in
the following sense: If (, Y ) is any compactication of R, then there is a
unique extension of : R Y to a continuous surjection

: R Y . Hint:
The map induces a *-isomorphism of C(Y ) onto a unital C
-subalgebra
of C
b
(R).
Solution: Let : R R denote the map t

t. Dene : C(Y ) C
b
(R)
by = ; that is, for any f C(Y ), (f) = f . To see that is
injective, suppose (f) = 0, so f = 0. Thus, f is zero on the range of
; but this is dense in Y , so that f must be zero.
Let

: C(Y ) C(R) be the map

= where : C
b
(R)
C(R) is the Gelfand transform; since the latter is an isomorphism,

is
also injective. By Exercise 2.2.6, there exists a unique continuous function
u : R Y with

= u; moreover, the injectivity of

implies the
surjectivity of u. Finally, we have =
1
and taking the corresponding

maps on topological spaces as in Exercise 2.2.6, we get u = .
3. Asymptotics: Compact Perturbations and Fredholm Theory
3.1. The Calkin Algebra.
3.2. Riesz Theory of Compact Operators.
3.3. Fredholm Operators.
3.4. The Fredholm Index.
4. Methods and Applications
4.1. Maximal Abelian von Neumann Algebras.
4.2. Toeplitz Matrices and Toeplitz Operators.
4.3. The Toeplitz C
-Algebra.
4.4. Index Theorem for Continuous Symbols.
4.5. Some H
2
Function Theory.
4.6. Spectra of Toeplitz Operators with Continuous Symbol.
4.7. States and the GNS Construction.
4.8. Existence of States: The Gelfand-Naimark Theorem.
References
[Con78] John B. Conway, Functions of one complex variable, second ed., Graduate Texts in
Mathematics, vol. 11, Springer-Verlag, New York, 1978. MR 503901 (80c:30003)
[Fol99] Gerald B. Folland, Real analysis, second ed., Pure and Applied Mathematics (New York),
John Wiley & Sons Inc., New York, 1999, Modern techniques and their applications, A
Wiley-Interscience Publication. MR 1681462 (2000c:00001)
[Rud87] Walter Rudin, Real and complex analysis, third ed., McGraw-Hill Book Co., New York,
1987. MR 924157 (88k:00002)
[Rud91] , Functional analysis, second ed., International Series in Pure and Applied Math-
ematics, McGraw-Hill Inc., New York, 1991. MR 1157815 (92k:46001)
[SS05] Elias M. Stein and Rami Shakarchi, Real analysis, Princeton Lectures in Analysis, III,
Princeton University Press, Princeton, NJ, 2005, Measure theory, integration, and Hilbert
spaces. MR 2129625 (2005k:28024)
[Zhu93] Ke He Zhu, An introduction to operator algebras, Studies in Advanced Mathematics,
CRC Press, Boca Raton, FL, 1993. MR 1257406 (94k:46124)

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SOLUTIONS TO A SHORT COURSE ON SPECTRAL THEORY

, so that V f and g dier by an additive

1.2. The Spectrum of an Operator.

1.3. Banach Algebras: Examples.

functions is continuous ([Fol99] Proposition 8.8).

(R) of all continuous functions on

(R) which is closed under complex

is another integral operator with

(4) Deduce that G

B(H) such that

1.7. Spectral Radius.

Third Solution. We note that the permutation group S

which has volume zero.

(2) For n = 1, 2, . . . let V

is a unit basis of the innite-dimensional normed space E, let

) = 0 for all other

in sp(B), which means

(b) (b) for every b B. Then

)) (a, b). Then for every sp(B), ((a

1.10. Examples: C(X) and the Wiener Algebra.

D) which are represented by convergent

The penultimate equivalence uses the polarization identity from the

0 in WOT, then for any , H,

0 in WOT. Hence adjunction is WOT-continuous.

denote the rank-one operator given

)(y) = y, . If an operator T commutes with all rank-one

. That is, all vectors have the same eigenvalue. Thus T is a

are unitaries and S an operator such that U

| = || for all . Thus S is an isometry.

are actually unitaries, not

||x| by |x| to obtain |x| |x

| |x|, from which it follows that

is a multiplicative identity; hence 1

= , that is, for all (C(Y )) we have

X, so that factors as where : Y

for all A B(H) i T is a scalar

for all A. That is,

for all A B(H).

T for all A B(H),

= CI. Let r > 0 such that T

, so that T is normal. Then

and hence is unitary.

-algebra generated by T and 1 contains no

(T) contains a nontrivial projection i

(X, ) such that such that UT = M

(T, d/2) and U is the unitary

(X, ), X being the upper half of the unit circle X = z

(Y ) are the *-homomorphisms

(T) is the *-homomorphism (Tf)(e

and is multiplicative because

([2, 2]) and that T = M

([2, 2]), so that M

, since C([2, 2]) is not dense in L

([2, 2]) as well.

= /. On the other hand, since /

. But the latter does not contain multiplication

B(H) be a self-adjoint algebra of operators

. But show (/H)

on the subspace (/). Moreover, every chain in : has an upper bound

be any nonzero vector;