On The Size of The Shafarevich-Tate Group of Elliptic Curves Over Function Fields
On The Size of The Shafarevich-Tate Group of Elliptic Curves Over Function Fields
29
c 1997 Kluwer Academic Publishers. Printed in the Netherlands.
C. S. RAJAN
School of Mathematics, Tata Institute of Fundamental Research, Homi Bhabha Road,
Mumbai – 400 005, India. e-mail: [email protected]
Abstract. Let E be a nonconstant elliptic curve, over a global field K of positive, odd characterisitc.
Assuming the finiteness of the Shafarevich-Tate group of E , we show that the order of the Shafarevich-
Tate group of E , is given by O(N 1=2+6 log(2)= log(q) ), where N is the conductor of E; q is the cardinality
of the finite field of constants of K , and where the constant in the bound depends only on K . The
method of proof is to work with the geometric analog of the Birch-Swinnerton Dyer conjecture for
the corresponding elliptic surface over the finite field, as formulated by Artin-Tate, and to examine
the geometry of this elliptic surface.
AMS classification: 11G05 11G25, 14G15
1. Introduction
The class group of a number field K ‘measures’ the extent of departure of the
ring of integers of K from being a unique factorisation domain. It is known to be
finite and the class number formula of Dirichlet gives an explicit formula for the
order of the class group of K , the class number. It follows from this using partial
summation and the absolute lower bound for the regulator of number fields shown
in ([22]), that the class number of a number field K is bounded by K
(1=2)+ , where
K is the discriminant of K . In the case of number fields, the conductor NK of
the Dedekind zeta function of K is equal to the discriminant of K , and so one has
that the class number is bounded by NK
(1=2)+ .
Let E be an elliptic curve defined over a global field K . The analogue of the
( )
class group is the Shafarevich–Tate group III E=K of E over K . For a place v of
K , let Kv denote the completion of K at v. The Shafarevich–Tate group III E=K ( )
is defined to be
!
Y
III (E=K ) := Ker H (K; E ) ! H (Kv ; E ) ;
1 1
v
where the cohomology groups are the Galois cohomology groups, and v runs over
the places of K . The Shafarevich–Tate group measures the extent to which the
( )
Hasse principle fails for E=K . It is conjectured that III E=K is finite and this is
known to hold for certain classes of elliptic curves. Morever an effective bound for
( )
III E=K would be useful in computing a set of generators for the Mordell–Weil
( )
group E K of K -rational points of E . Our results indicate that one can indeed
obtain a bound analogous to the bound obtained for the class numbers of number
fields, for elliptic curves over global fields of positive characteristic, provided one
assumes the finiteness of III.
Manin ([11]) and Lang ([7]), conjectured bounds for the size of III based on
various arithmetical invariants associated to the elliptic curve. Inspired by these
conjectures, Mai and Murty ([8]) in 1992, predicted the growth of III E=Q as ( )
satisfying,
jIII(E )j N (1=4)+ :
Since ([8]) has never been published, I have included their argument in an appendix.
Some of the conjectures used in the argument over number fields, viz., Szpiro’s
conjecture and Lang’s conjecture on lower bounds for the canonical heights of
rational points, are known to hold over global fields of positive characteristic ([13,
5]). It would be thus of interest to verify this conjecture for global fields of positive
characteristic.
However a fundamental problem for function fields, is that the estimate on the
rank of the Mordell–Weil group of an elliptic curve is not as sharp as expected for
=
number fields. Let k be a finite field of odd characteristic, with q pf elements.
Let C denote an irreducible, smooth projective algebraic curve over k with function
( )=
field K , genus g , and Euler characteristic C 2 2g . Let K 0 be the function
field of C over k . Let E be an elliptic curve defined over K with conductor N . A.
Brumer has shown ([1])
!
r(E ) 6 (
log N ) ( logq (N ) 4g + 4) log2 (q )
( ( ) 4g + 4) + O pq log2(logq (N ) 4g + 4) ;
2 log logq N
where r (E ) is the rank of the Mordell–Weil group E (K ). Using this and arguing
as in the case of number fields, provides an upper bound for III, which grows faster
than any power of N , and will not provide the conjectured O (N (1=2)+ ). For details
we refer to the last remark in the Appendix. Thus it does not seem to be possible to
establish the desired bounds on III, arguing completely in analogy with the number
fields.
()
For an abelian group A, let A l denote the l-primary component of A. We have
describing the leading coefficient of the L-function at the center of the critical
( )
strip, where the role of the Shafarevich–Tate group III E is replaced by that of the
( )
Brauer group Br X of X :
( ) ( )
where Di 16i6 is a base for NS X modulo torsion. The symbol Di ; Dj ( )
denotes the total intersection multiplicity of the divisors Di and Dj . The term
( ) ( )
jdet Di; Dj j is the regulator for the intersection pairing on NS X .
(X ) = (X; OX ) 1 + dim (Pic(X )): (2)
NS(X )tors j2
jIII(E=K )j = jBr(X )j = R(X; q 1 )q(X ) jjdet(D ; D )j : (3)
i j
( )
Thus to obtain an estimate for jBr X j, we estimate each of the terms in the above
( )
expression for jBr X j, in terms of the conductor N .
( )
without multiplicity. Denote by v;i ; 0 6 i 6 mv 1 the irreducible components
()
of the fiber Xv , with the convention that the 0 divisor meets v;0 . Let u0 be a
point on C outside S . If D1 ; D2 are two divisors on X , denote by D1 ; D2 the ( )
intersection multiplicity, which is a rational integer.
By decomposing divisors into ‘horizontal’ sections and ‘vertical’ fibers, it is
( )
shown in ([15]), that the Néron–Severi group NS X is generated by D s ; 1 6 ( )(
) ( ) () (
6 r0 ; D tj ; j 2 J; 0 ; Xu0 ; v;i ; v 2 S; 1 6 i 6 mv 1 , with the following )
relations for j 2 J :
X
nj D(tj ) ' nj (D(tj ); (0))Xu + 0 nj (v;1 ; : : : v;mv 1)
v;i
Av 1((D(tj ); v;1 ); : : : ; (D(tj ); v;mv 1 ))t ; (4)
where ' denotes algebraic equivalence. Av is the intersection matrix defined by
( ) = ( ) (
the fiber Xv , i.e., Av ij )
v;i v;j ; 1 6 i; j 6 mv 1 . It is known that Av is
invertible and negative definite.
= ( )
Consequently it follows that the rank X of NS X is given by ( )
X
(X ) = r0 + 2 + (mv 1 ): (5)
v2S
In order to estimate the regulator, we need the following result due to Shioda ([16,
Theorem 3.1]).
PROPOSITION 2. Suppose X is a non-isotrivial elliptic surface as above. Then
numerically equivalent divisors are algebraically equivalent. Hence the Néron–
( )
Severi group NS X is torsion-free.
Proof. Since this fact is of basic importance to us, we give a brief outline of
the proof, following Shioda ([16]). Given a divisor D on X numerically equivalent
to 0, by Grothendieck–Riemann–Roch, we have X; O D ( ( )) = ( )
X; OX . By
the formulas (11) and (12), and by our assumption that the j -invariant jE of E
( ( ))
is non-constant, we see that X; O D > 0. Hence either h0 O D > 0 or ( ( ))
( ( ))
h2 O D > 0.
( ( ))
If h0 O D > 0, then D is linearly equivalent to an effective divisor and
numerically equivalent to 0, which implies that D is algebraically equivalent to 0.
( ( ))
If h2 O D > 0, then by duality K D is linearly equivalent to an effective
divisor D 0 , where K is the canonical divisor of X . Since on an elliptic surface K is
fibral, by our assumption on D , we have D 0 ; ( ) =
0, for any vertical divisor on
X . This forces D0 and hence D to be algebraically equivalent to a vertical divisor.
Morever, it is easy to see from our assumption on D , and the non-degeneracy of the
intersection pairing of the divisors on any fiber, that D is algebraically equivalent
to 0 on X .
Since the intersection pairing is non-degenerate on the group of divisors modulo
numerical equivalence, this gives us that the Néron–Severi group NS X is torsion- ( )
free.
( ) (
This allows us to estimate jNS X tors j2 =jdet Di Dj j. Since NS X is a sub-) ( )
( )
group of NS X it is torsion free. The intersection numbers being rational integers,
the determinant of the intersection matrix is an integer and we know it is non-zero.
Hence we have
jNS(X )tors j2 6 1:
jdet(DiDj )j (6)
4. Estimating R (X; q 1 )
Let Bi (1 6 i 6 4) denote the Betti numbers of the surface X , the dimension of
Ql ) over Ql . The degree of the polynomial P2 (X; T ) is B2. By the results of
Heti (X;
Artin and Ogg–Shafarevich–Grothendieck ([14]), one has a formula for the Picard
number B2 , the dimension of the space of ‘transcendental cycles’ on X , in
terms of the exponents of the conductor.
Let M be a l-torsion abelian group which is ‘cofinite’, i.e., is of the form
( )
Ql =Zl s M0 ; M0 a finite group. Then s is called as the corank of M . It is shown
in ([4]), under our hypothesis on the map : X ! C , that B2 is the corank
() ( )
r0 l of the l-torsion of Br X ' H 2 X; m . ( G )
Let be the generic point of C . Arguing using the Leray spectral sequnece for
(
the map , Artin remarks that the map H 1 C; X ! H 2 X; Gm has finite ) ( )
kernel and cokernel and hence the coranks are same. For almost all l, then the corank
( )
of H 1 C; X is given by the formula of Ogg–Shafarevich–Grothendieck as
X
r0(l) = 4g 4 r0 + fv ;
v
where g is the genus of the curve C and fv is the exponent of the conductor N of
the elliptic curve E at v . Hence
X
B2 = 4g 4 r0 + fv : (7)
v2S
Let v denote the minimal discriminant of E at v , and let ordv v denote the ( )
exponent of the minimal discriminant v at v . We have the following important
formula due to Ogg([18]), relating the exponents of the discriminant, the conductor
and the number mv of irreducible components, counted without multiplicity of the
singular fibers
( )( )
On the assumption that Br X l is finite Qfor some prime l, we have by the
results of Deligne and Milne, that R X; T
Q ( )=
1 T where j j q and( ) =
=
6 q. Hence R X; q ( 1 )= ( )
1 w with jw j 1; w 6 1. Morever the = =
( )
degree of R X; T is B2 , which is less than B2 r 2, where r is the rank of
( )
E K , the Mordell–Weil group of E over K . Hence
X
deg R (X; T ) 6 4g 4 r+ ordv (v )
v2S
Hence
Y
jR(X; q 1 )j = j(1 w )j
6 2 r 24g 4
:2v 2s ordv (v ) : (10)
5. Estimating q (X )
Let OX denote the structure sheaf of X . It is known for an elliptic surface, the
= ( ( ))
irregularity q dim Pic X of X is the genus g of the curve C . By Weil’s theory
of Jacobians one has that B1 = =
2q 2g . By duality B3 g. Hence from (9),
2P =
it follows that the topological Euler characteristic top X i ( )= ( )
i 1 Bi is given
by the following interesting formula
X
top (X ) = ordv (v ): (11)
v2S
By semicontinuity we have X; OX ( )= ( )
X; OX . Morever it is known that
( )
canonical divisor is fibral, and is of the form T , where T is a divisor on
=
C . This gives us K 2 0, where K is the canonical bundle of X . Hence by
Grothendieck–Riemann–Roch formula, we have
We have
(X ) = (X; OX ) 1 + dim (Pic(X ))
!
1 X
= 12 v2S
ordv v +g 1 (13)
( )
However it is interesting to note that even though X is an integer, the terms
corresponding to the individual ramified places need not be integral. A different
( )
formula for X has been obtained by Milne ([12]).
We would also like to recall a conjecture of Szpiro’s, and which is known to
hold over function fields of arbitrary characteristic ([13]),
( )
X X
ordv (v ) 6 6pe fv + 2g 2 ; (14)
v v
where pe is the inseparable degree of K over k (jE ). Hence we get by (13) and
(14), an estimate for the ‘period’,
6.
( )( )
Under the assumption that Br X l is finite for some prime l, and that the j -
invariant of E is transcendental over k , we get from (3), (6), (15) and (16),
jIII(E=K )j
= jBr(X )j
6 2 r (16q) (C )=2 (212q) pe (C )=2 N pe ((1=2) + (6 log(2)= log(q)):
Appendix?
Let E be an elliptic curve over Q of conductor N and minimal discriminant .
Let III denote the Shafarevich–Tate group of E . Manin ([11]) and Lang ([7]) have
suggested that the Birch–Swinnerton Dyer conjecture can be used to give upper
bounds for III. Using methods of analytic number theory Mai and Murty ([8]),
conjectured the following
CONJECTURE 1. For any > 0,
H = max(jaj3 ; jbj2 ):
Let LE (s) be the L-series associated to E . Define
Proof. Let r be the order of the zero of LE (s) at s = 1. Birch and Swinnerton–
Dyer conjecture that
where c is an absolute constant. Mazur has shown that jE Q ( )tors j 6 16. The p are
integers. For the real period Lang has shown that
1=12
j1j H :
From Lang’s conjecture stated above, it follows using Hermite’s theorem (see [7]),
that
p
R ( 3=2)r (log jj)r :
2
p
This lower bound for the volume of a lattice is sharp, and neither 3=2 nor the
power r 2 can be improved upon. Thus we have
log N
1=2 !
1=12
jIIIj H exp c log log N
p
(2 log log N )r+2 (2= 3)r (log jj) r : 2
jIIIj N (1=2)+ :
Conversely, we remark that if the above upper bound for III fails to hold, then our
arguments indicate that there should exist elliptic curves of large rank.
p
pRemark. In view of the fact that (2= 3)r
2
occurs in the estimate for III, and
2= 3 > 1, it is of extreme importance to have the square root in the estimate (18)
(
for the rank r . An upper bound for r of the form O log N= log log N , will give )
an upper bound for III, which grows faster than any power of N .
Acknowledgement
I would like to express my sincere thanks to M. Ram Murty, for suggesting this
problem and for many useful discussions. This work was done when the author
was at McGill University, Montreal, for the year 1994–95. I would like to express
my gratitude to McGill University and my colleagues at Montreal for their warm
hospitality and support.
After this paper was written, I received a preprint ‘Bounds for the order of
the Tate–Shafarevich group’ by D. Goldfeld and L. Szpiro, which also provides
estimates for III. However since their arguments are similar to that of number fields,
their methods give upper bounds for III, which seem to grow faster than any power
of the conductor N , and do not give the expected upper bound O N 1=2+ . ( )
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