Pursuing polynomial bounds on torsion
Pete L. Clark, Paul Pollack

TL;DR
This paper establishes polynomial bounds on the torsion subgroup size of elliptic curves over number fields, depending on the degree of the field, with various conditions and unconditional results for specific cases.
Contribution
It provides new polynomial bounds on torsion subgroups of elliptic curves over number fields, including unconditional bounds for certain j-invariants and conditional bounds under GRH.
Findings
Bound #E(F)[tors] by C(epsilon)[F:Q]^{5/2+epsilon} for all epsilon > 0.
Unconditional polynomial bounds for j(E) in fixed quadratic fields not of imaginary class number one.
Conditional bounds assuming GRH and strong boundedness of isogenies for non-CM elliptic curves.
Abstract
We show that for all epsilon > 0, there is a constant C(epsilon) > 0 such that for all elliptic curves E defined over a number field F with j(E) in Q we have #E(F)[tors] \leq C(epsilon)[F:Q]^{5/2+epsilon}. We pursue further bounds on the size of the torsion subgroup of an elliptic curve over a number field E/F that are polynomial in [F:Q] under restrictions on j(E). We give an unconditional result for j(E) lying in a fixed quadratic field that is not imaginary of class number one as well as two further results, one conditional on GRH and one conditional on the strong boundedness of isogenies of prime degree for non-CM elliptic curves.
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Pursuing polynomial bounds on torsion
Pete L. Clark
and
Paul Pollack
Abstract.
We show that for all , there is a constant such that for all elliptic curves defined over a number field with we have
[TABLE]
We pursue further bounds on the size of the torsion subgroup of an elliptic curve over a number field that are polynomial in under restrictions on . We give an unconditional result for lying in a fixed quadratic field that is not imaginary of class number one as well as two further results, one conditional on GRH and one conditional on the strong boundedness of isogenies of prime degree for non-CM elliptic curves.
Notation
Let be the set of prime numbers. For a commutative group , we denote the subgroup of elements of order dividing by and the torsion subgroup – i.e., the subgroup of elements of finite order – by . For , we let denote the subgroup of of elements with order divisible only by primes in . If for a commutative group we have for some – as is the case if is finite – then the least such is the exponent of .
For a field , let be an algebraic closure. We denote by the absolute Galois group of . For and a field of characteristic [math], let be the field obtained by adjoining to the th roots of unity, and let . Let be the -adic cyclotomic character, and put
[TABLE]
1. Introduction
1.1. Known bounds on the torsion subgroup
For an elliptic curve defined over a number field , the torsion subgroup is finite. Moreover, by Merel’s strong111Here and throughout this paper we use the term “strong” to mean a bound that is uniform across elliptic curves defined over number fields of any fixed degree. uniform boundedness theorem [Me96], as we range over all degree number fields and all elliptic curves , we have
[TABLE]
Merel’s work gives an explicit upper bound on , which was improved by Oesterlé (unpublished, but see [De16]) and Parent [Pa99]. These lie more than an exponential away from the best known lower bound, due to Breuer [Br10]:
[TABLE]
Various authors have conjectured that Breuer’s lower bound is esentially sharp.
Conjecture 1.1**.**
We have .
The following weaker conjecture is more widely believed.
Conjecture 1.2**.**
* is polynomially bounded: there is such that*
[TABLE]
Even Conjecture 1.2 seems to lie out of current reach. Since the work of Merel, Osterlé and Parent, progress on understanding the asymptotic behavior of has come (only) by restricting the class of elliptic curves under consideration. For instance if we restrict to the case in which has complex multiplication (CM) – and write in place of when this restriction is made – breakthrough work of Silverberg [Si88, Si92] gave the asymptotically correct upper bound on the exponent, and recent work by the present authors [CP15, CP17] shows
[TABLE]
If we instead restrict to the class of elliptic curves with integral moduli – i.e., with -invariant lying in the ring of algebraic integers – and write in place of , then Hindry-Silverman showed [HS99]
[TABLE]
1.2. In pursuit of polynomial bounds
In this paper we will pursue polynomial bounds on the size of the torsion subgroup in a different kind of restricted regime. We begin by stating the following result, which conveys the flavor with a minimum of technical hypotheses.
Theorem 1.3**.**
Let . Then there is such that: for all degree number fields and all elliptic curves arising via base extension from an elliptic curve , we have
[TABLE]
Now we make some comments:
- •
Of course we can assume that does not have CM.
- •
For any elliptic curve over a number field , we have
[TABLE]
Thus, Theorem 1.3 implies a bound of on the size of the torsion subgroup itself. Later we will give an improvement of this bound.
- •
An easy quadratic twisting argument allows us to establish the bound (1.1) as we range over all elliptic curves with . This serves to motivate the type of further result we would like to prove.
Let . For a positive integer that is divisible by , let be the supremum of as ranges over all elliptic curves defined over a degree number field such that .
Conjecture 1.4**.**
For each , there are and such that
[TABLE]
Theorem 1.3 gives the case of Conjecture 1.4. At present we cannot prove Conjecture 1.4 unconditionally for any , but we can make some progress in this direction, as shown by the following results.
Theorem 1.5**.**
*Let be a quadratic number field that is not imaginary quadratic of class number one. (Thus, the discriminant of is not one of
.) Then for all , there is such that if is a degree number field and is an elliptic curve with , we have*
[TABLE]
Theorem 1.6**.**
Assume the Generalized Riemann Hypothesis (GRH).222Throughout, we use GRH to mean the Riemann Hypothesis for all Dedekind zeta functions. Let be a number field that does not contain the Hilbert class field of any imaginary quadratic field. Then for all , there is such that if is a degree number field and is an elliptic curve with , we have
[TABLE]
For , we introduce a hypothesis defined as follows.
[TABLE]
Theorem 1.7**.**
If holds, then for all , there is with
[TABLE]
Remark 1.8*.*
This paper is cognate to another work [CMP17], written in parallel, giving “typical bounds” on for an elliptic curve , under the same hypotheses as Theorems 1.5, 1.6 and 1.7.
1.3. Strategy of the proofs
In [Ar08], Arai showed that for each fixed prime and number field , as we range over all non-CM elliptic curves there is a uniform upper bound on the index of the image of the -adic Galois representation. In 2 we prove the strong form of this theorem by showing that the conclusion still holds as we range over all non-CM elliptic curves defined over all number fields of any fixed degree (Theorem 2.3).
A uniform upper bound on the index of the adelic Galois representation as we range over all non-CM elliptic curves defined over number fields of fixed degree would be – to say the least! – desirable. It implies but is so much stronger that the case was raised as an open problem in [Se72], has guided most subsequent work in the field, and remains open. Our approach to the -adic version exploits the finiteness properties that enjoys by virtue of being an -adic analytic group – finiteness properties that certainly does not possess.
From Theorem 2.3 we deduce Theorem 2.8: for each finite set of primes , the quantity is bounded by a polynomial in . Thus in order to bound it suffices to bound for all sufficiently large primes.
The next ingredient is the following striking recent result.
Theorem 1.9** (Lozano-Robledo).**
Let be a prime. Let be a number field, a prime ideal of lying over , and the ramification index. Let be a non-CM elliptic curve, and let be such that admits no -rational cyclic isogeny of degree . Let , and let have order . Then there is an integer and a prime of lying over such that the ramification index is divisible by either or by .
Proof.
This is a simplified form of [LR15, Thm. 2.1]. ∎
To apply Theorem 1.9 to get uniform bounds on , we need finiteness results for rational -isogenies. Thus Hypothesis intervenes naturally.
Corollary 1.10**.**
Let , and assume hypothesis . There is a prime such that: for all number fields of degree and all primes , if is a prime ideal of lying over and is a non-CM elliptic curve, then for all , if is a point of order , then there is and a prime of lying over such that is divisible by either or by .
Proof.
This follows from Theorem 1.9 and the bound . ∎
To proceed without assuming we need to restrict to weaker statements that are known or conditionally known. We make use of the following prior results.
Theorem 1.11** (Mazur [Ma78]).**
The hypothesis holds with .
Theorems 1.7 and 1.11 imply Theorem 1.3.
Theorem 1.12** (Momose [Mo95]).**
Let be a quadratic field that is not imaginary quadratic of class number . There is a prime number such that for all primes , no elliptic curve admits an -rational isogeny of degree .
Theorem 1.13** (Larson-Vaintrob [LV14, Cor. 6.5]).**
Let be a number field that does not contain the Hilbert class field of any imaginary quadratic field. If the Generalized Riemann Hypothesis (GRH) holds, then the set of prime numbers such that some elliptic curve admits an -rational -isogeny is finite.
Corollary 1.14**.**
*Let be a number field that does not contain the Hilbert class field of any imaginary quadratic field. If , assume GRH. Then there is a prime such that: for all primes , if is a prime ideal of lying over , and is an elliptic curve, then for all , if is a point of order , then there is an integer and a prime of lying over such that is divisible by either or by . *
Proof.
Combine Theorems 1.9, 1.12 and 1.13. ∎
In 3.2 we use Corollaries 1.10 and 1.14 to get the polynomial bounds on of Theorems 1.5, 1.6 and 1.7. Via (1.2) this immediately gives a polynomial bound on . However in 3.3 we improve this bound using an analysis of cyclotomic characters, completing the proofs of Theorems 1.3, 1.5, 1.6 and 1.7.
2. Bounded index results for the -adic Galois representation
2.1. Statement of the strong Arai theorem
Let be a number field, and let be a non-CM elliptic curve. Let
[TABLE]
denote the adelic Galois representation of , and for a prime , let
[TABLE]
denote the -adic Galois representation of . Then and , so
[TABLE]
By a result of Serre [Se72], the image is open in – equivalently, has finite index. Thus for each prime the -adic image has finite index in and is surjective for all but finitely many primes . As mentioned above, a uniform adelic open image theorem is the ultima Thule of this field, but Arai has proved a uniform -adic open image theorem.
Theorem 2.1** (Arai [Ar08]).**
*Let be a number field, and let be a prime. There is such that for every non-CM elliptic curve , the image of the -adic Galois representation has index at most in . *
Remark 2.2*.*
Arai states Theorem 2.1 slightly differently. For , put
[TABLE]
Then each is an open subgroup of , and each open subgroup of contains for all sufficiently large . The least such is called the level of . Then Arai proves: for a number field and a prime , there is such that for every non-CM elliptic curve , the level of is at most .
The statement in terms of the level immediately implies the statement in terms of the index. The reverse implication holds because (cf. Lemma 2.5a)) the intersection of all open subgroups of of index at most is an open subgroup of .
The main goal of this section is to prove the following strong form of Arai’s theorem.
Theorem 2.3**.**
Fix a prime number and a positive integer .
- a)
As we range over all non-CM elliptic curves defined over number fields of degree , there is an absolute bound on the index of the image of the -adic Galois representation in .
- b)
Moreover, for all but finitely many -invariants we have
[TABLE]
Remark 2.4*.*
- a)
Theorem 2.3a) is a quick consequence of results of Cadoret and Tamagawa [CT12, CT13]. Namely, we apply [CT13, Thm. 1.1] with to the family of elliptic curves given by
[TABLE]
of [CT12, §5.1.3] – this family is geometrically Lie perfect by [CT12, Thm. 5.1]. The conclusion is that, for each , for each fixed prime and positive integer , there is such that for all but finitely many closed points of degree at most , the index of the image of -adic Galois representation on in is at most . By Serre’s open image theorem the result extends to all non-CM -invariants of degree at most with some absolute bound, say . For any non-CM elliptic curve defined over a degree number field , there is an elliptic curve in the above family and a number field with such that . The index of the image of the -adic Galois representation of in is no larger than the index of the -adic Galois representation of in and thus no larger than .
- b)
Rouse outlined a proof of Theorem 2.3a) on MathOverflow [R-MO]. His methods would yield a version of Theorem 2.3b).
- c)
Theorem 2.3a) is sufficient for our applications. Nevertheless we want to include a proof of Theorem 2.3b). First, it seems interesting that in a natural case333In [CT12], the authors identify Arai’s work as a motivation for their own. of [CT13, Thm. 1.1] we can get a bound that is – after omitting a finite set of -invariants that depends on and – explicit and independent of . Second, the proof of [CT13, Thm. 1.1] takes about pages, whereas the outline of [R-MO] is 13 lines. Our argument is about 2.5 pages; readers may appreciate having a proof of this intermediate length. Finally, in [CT13, Thm. 1.2], Cadoret-Tamagawa state a result of Frey [Fr94] but omit Frey’s assumption that . This is easily remedied by using a variant on Frey’s result from [Cl09], and our argument shows how to do this.
2.2. Group theoretic preliminaries
Lemma 2.5**.**
Let be a prime, and let be an infinite -adic analytic group.
- a)
* is topologically finitely generated. A subgroup of is open iff it has finite index. For all , there are only finitely many index subgroups of .* 2. b)
Every open subgroup of has at least one and finitely many maximal proper open subgroups. 3. c)
Let be a set of open subgroups of such that contains all but finitely many open subgroups of . Then every element of is contained in a maximal element, and has finitely many maximal elements. 4. d)
For , the family of open subgroups with satisfies the hypotheses of part c) and thus has at least one and finitely many maximal elements.
Proof.
a) Lazard has shown that an -adic analytic group is topologically finitely generated and that a subgroup of is open iff it has finite index [La65]. Moreover, every topologically finitely generated profinite group has only finitely many open subgroups of any given finite index [FJ, Lemma 16.10.2].444Each finite index subgroup of a topologically finitely generated profinite group is open [NS07].
b) Every nontrivial profinite group has a proper open subgroup, and any such group is contained in a maximal proper subgroup. And every open subgroup of is again an -adic analytic group, so by [S-LMW, pp. 148–149] the Frattini subgroup is open and thus has only finitely many maximal proper open subgroups.
c) We may assume . Since is infinite and profinite, . As for any group, the set of finite index subgroups of , partially ordered under inclusion, satisfies the ascending chain condition, hence so does and every element of is contained in a maximal element. To show that there are only finitely many maximal elements of it suffices to find a finite subset such that for every there is such that , for then the maximal elements of are the maximal elements of .
Let be the set of elements such that is a maximal proper open subgroup of an open subgroup of such that . By assumption the set of such subgroups is finite, so is finite by part b). Because , for , the set of subgroups with and is finite and nonempty; choose a minimal element . The set of subgroups with is finite and nonempty; choose a maximal element . Then and . d) This is immediate from part a). ∎
Remark 2.6*.*
It follows from [S-LMW, pp. 148] that the necessary and sufficient condition on a profinite group for all of the conclusions of Lemma 2.5 to hold for is that the Frattini subgroup of be open.
Lemma 2.7**.**
Let be a degree number field, and let be an elliptic curve. Let be a prime number. Let be the image of the -adic Galois representation on and let . Then we have
[TABLE]
Proof.
Step 1: Let be a group, let be a normal subgroup of , and let be the quotient map. Then we have
[TABLE]
Indeed, let have cardinality larger than . By the Pigeonhole Principle, there is of cardinality larger than such that for all , we have , so . So there are such that .
Step 2: The -adic cyclotomic character is surjective, so for any degree number field and elliptic curve , we have . Applying (2.3) with , , and using (2.1), we get (2.2). ∎
2.3. Proof of Theorem 2.3
Step 1: Put . Let be a number field, let be a non-CM elliptic curve, and let be the image of the -adic Galois representation on . Some quadratic twist of has . Put . Then , so it suffices to work with . We may also assume that . Applying Lemma 2.5 with we get that is contained in one of finitely many open subgroups with . So it suffices to bound while assuming that for a fixed .
Step 2: Let be an open subgroup with
[TABLE]
Put
[TABLE]
Then is a congruence subgroup of . Let be the image of in , and put . Since , we have . Using (2.2) we get
[TABLE]
Step 3: Let be the finite subextension of corresponding to the open subgroup . Then there is a modular curve that is defined and geometrically integral over , and such that the base extension of to is the compact Riemann surface . If for an elliptic curve we have , then , and there is an induced point on and thus a closed point on of degree dividing . Let be the gonality of the curve – the least positive degree of a map defined over – and let be the gonality of , so
[TABLE]
We claim that has only finitely many closed points of degree dividing . Indeed, if not then by [Cl09, Thm. 5] we have
[TABLE]
On the other hand, by a theorem of Abramovich [Ab96, Thm. 0.1], we have
[TABLE]
Putting these results together, we get the upper bound
[TABLE]
and thus
[TABLE]
contradicting (2.4). Thus the set of -invariants of non-CM elliptic curves over degree number fields such that the index of the image of the -adic Galois representation exceeds is finite. (Here we have multiplied by to get back from to .) Let the exceptional -invariants be . For , choose an elliptic curve with -invariant , and let be the index of the image of the -adic Galois representation (by Serre’s open image theorem, each is finite). Now let be a non-CM elliptic curve defined over a degree number field such that the index of the image of the -adic Galois representation exceeds . Then for some . There is a number field such that and , and thus the index of the image of the -adic Galois representation of is at most . So for any non-CM elliptic curve over any degree number field for which the image of the -adic Galois representation is contained in , the index of the image of the -adic Galois representation is at most
[TABLE]
2.4. A consequence
Theorem 2.8**.**
Let , and let be finite. There is such that if is a non-CM elliptic curve with , then
[TABLE]
Proof.
We consider non-CM elliptic curves defined over number fields such that is a number field of degree . In case , as we range over all , by Theorem 2.3 the index of the image of the -adic Galois representation is uniformly bounded. Thus there is such that for all such , we have
[TABLE]
With this notation, we will show that we may take
[TABLE]
Now let be as above, and suppose has a point of order
[TABLE]
Let . We also suppose, temporarily, that arises by base extension from an elliptic curve defined over . Let . Since has a point of order , this forces the image of the -adic Galois representation to lie in a subgroup conjugate to
[TABLE]
Since , we get
[TABLE]
and thus
[TABLE]
(Here and below, we write for rational numbers whenever for some .) Compiling these divisibilities across all , we get
[TABLE]
and thus
[TABLE]
Now suppose that does not necessarily arise by base extension from an elliptic curve over . Nevertheless there is an elliptic curve and and a quadratic extension such that . Since , applying the previously addressed special case with in place of gives
[TABLE]
Remark 2.9*.*
Theorem 2.8 is sharp up to the value of the constant. Indeed, for a non-CM elliptic curve defined over a number field and any prime , since there are points of order on , there is a field extension of degree at most such that has a point of order .
3. The proofs of Theorems 1.5, 1.6 and 1.7
3.1. An easy lemma
Lemma 3.1**.**
Let be a complete discretely valued field, with residue characteristic . Let be a prime number, and let be an elliptic curve over with semistable reduction. Then .
Proof.
Case 1: Suppose has good reduction. Then by the Néron-Ogg-Shafarevich criterion, since the extension is unramified: .
Case 2: Suppose has multiplicative reduction. Then there is an unramified quadratic extension such that admits an analytic uniformization, or in other words is a Tate curve in the sense of [Si94, ]: . It follows that . Put . Since is unramified and , the extension is Galois and
[TABLE]
By Kummer theory, we have
[TABLE]
3.2. Bounding the exponent
For the sake of a uniform presentation, we begin by fixing some notation. In the case of Theorems 1.5 and 1.6, we let be as in the theorem statement, put , and define as in Corollary 1.14. In the case of Theorem 1.7, we let be any number field of the given degree , and we define as in Corollary 1.10.
Let be a non-CM elliptic curve over over a degree number field having . (For CM curves, any of [Si92], [HS99], [CP15, CP17] yield stronger results.) It suffices to show that there is a constant with
[TABLE]
where is a function of , , and . Note that since is determined by in the case of Theorems 1.5 and 1.6, the constant depends on and in those theorems. Since is determined by in the case of Theorem 1.7, the constant depends only on and in that situation.
Step 0: We first reduce to a special case. Suppose that there is a with the property that for all elliptic curves obtained by base extension from an elliptic curve , we have
[TABLE]
Now let be an elliptic curve with . Then there is an elliptic curve with and a quadratic extension such that . Let and . Then
[TABLE]
So we may choose . If depends only on , and , then so does .
Step 1: Now suppose that is obtained by base change from an elliptic curve defined over , which for notational simplicity we continue to denote by . Write
[TABLE]
and, for ,
[TABLE]
for integers satisfying . We will partition into two classes and , get bounds on and , and multiply them to get a bound on .
Step 2: Put . By Theorem 2.8, we have
[TABLE]
Step 3: Let
[TABLE]
List the elements of in decreasing order:
[TABLE]
Suppose that and is a point of order . By Corollaries 1.10 and 1.14, for each prime of lying above , there is a positive integer and a prime of lying above with divisible by either or . Thus, is divisible by either or by .
For simplicity, from now on we write the exponent on as rather than . Let be -rational torsion points of orders . Choose with
[TABLE]
and such that the field has a prime above with divisible by .
We introduce the sequence of fields , , , , …, . By a result of Raynaud, has everywhere semistable reduction; see e.g. [SZ95, Thm. 3.5]. Since , we have
[TABLE]
(We used here that .) Moreover,
[TABLE]
Now let us look at where . For notational simplicity, let . Since , we know there is a prime of above for which is divisible by . Define prime ideals of , for , by
[TABLE]
Thus, , and
[TABLE]
Since and , it follows that
[TABLE]
Suppose that . We have
[TABLE]
Hence, divides the ramification index of in . Note that lies above the rational prime , which is distinct from (since ). By Lemma 3.1, the ramification index of in divides . Moreover,
[TABLE]
is a power of . (The image of the representation on the -torsion lands in the kernel of the natural map , an -group.) Thus, the ramification index of in is a power of . So is also a power of .
The definition of and the ordering of the primes imples that is coprime to . Since is a power of for , (3.3) implies that
[TABLE]
Therefore,
[TABLE]
From the definition of , it is easy to see that every
[TABLE]
Combining these estimates with (3.1) and (3.2), we find that
[TABLE]
Put
[TABLE]
Let be a constant (depending on and ) to be specified momentarily. If , then the th factor in the last displayed product on is at least . Hence, there can be at most such values of . There are at most values of with , where is the usual prime-counting function. So
[TABLE]
We may now deduce from (3.4) that
[TABLE]
We fix large enough, in terms of and , to make ; then
[TABLE]
Step 4: Putting the contribution from and together,
[TABLE]
as desired.
3.3. From the exponent to the order
Let be a set, each element of which is an elliptic curve defined over a number field , and such that for some and all we have
[TABLE]
(The implied constant is allowed to depend on , but not on the choice of .) Let . Then there is a positive integer dividing such that
[TABLE]
Since has full -torsion over , the field contains , so that . It follows (cf. [HW08, Thms. 327, 328]) that for all , we have
[TABLE]
So
[TABLE]
the implied constant depending on (and ) but not on the choice .
Applying this with gives a bound on the size of the torsion subgroup, completing the proofs of Theorems 1.5, 1.6 and 1.7.
The reference list from the paper itself. Each links out to its DOI / PubMed record.
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- 3[BC 16] A. Bourdon and P.L. Clark, Torsion points and Galois represenations on CM elliptic curves , http://arxiv.org/abs/1612.03229 .
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- 6[CMP 17] P.L. Clark, M. Milosevic and P. Pollack, Typically bounding torsion , preprint.
- 7[CP 15] P.L. Clark and P. Pollack, The truth about torsion in the CM case . C.R. Acad. Sci. Paris 353 (2016), 683–688.
- 8[CP 17] by same author, The truth about torsion in the CM case, II . To appear in the Quarterly Journal of Mathematics.
