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In Notes 2, the Riemann zeta function ${\zeta}$ (and more generally, the Dirichlet ${L}$-functions ${L(\cdot,\chi)}$) were extended meromorphically into the region ${\{ s: \hbox{Re}(s) > 0 \}}$ in and to the right of the critical strip. This is a sufficient amount of meromorphic continuation for many applications in analytic number theory, such as establishing the prime number theorem and its variants. The zeroes of the zeta function in the critical strip ${\{ s: 0 < \hbox{Re}(s) < 1 \}}$ are known as the non-trivial zeroes of ${\zeta}$, and thanks to the truncated explicit formulae developed in Notes 2, they control the asymptotic distribution of the primes (up to small errors).

The ${\zeta}$ function obeys the trivial functional equation

$\displaystyle \zeta(\overline{s}) = \overline{\zeta(s)} \ \ \ \ \ (1)$

for all ${s}$ in its domain of definition. Indeed, as ${\zeta(s)}$ is real-valued when ${s}$ is real, the function ${\zeta(s) - \overline{\zeta(\overline{s})}}$ vanishes on the real line and is also meromorphic, and hence vanishes everywhere. Similarly one has the functional equation

$\displaystyle \overline{L(s, \chi)} = L(\overline{s}, \overline{\chi}). \ \ \ \ \ (2)$

From these equations we see that the zeroes of the zeta function are symmetric across the real axis, and the zeroes of ${L(\cdot,\chi)}$ are the reflection of the zeroes of ${L(\cdot,\overline{\chi})}$ across this axis.

It is a remarkable fact that these functions obey an additional, and more non-trivial, functional equation, this time establishing a symmetry across the critical line ${\{ s: \hbox{Re}(s) = \frac{1}{2} \}}$ rather than the real axis. One consequence of this symmetry is that the zeta function and ${L}$-functions may be extended meromorphically to the entire complex plane. For the zeta function, the functional equation was discovered by Riemann, and reads as follows:

Theorem 1 (Functional equation for the Riemann zeta function) The Riemann zeta function ${\zeta}$ extends meromorphically to the entire complex plane, with a simple pole at ${s=1}$ and no other poles. Furthermore, one has the functional equation

$\displaystyle \zeta(s) = \alpha(s) \zeta(1-s) \ \ \ \ \ (3)$

or equivalently

$\displaystyle \zeta(1-s) = \alpha(1-s) \zeta(s) \ \ \ \ \ (4)$

for all complex ${s}$ other than ${s=0,1}$, where ${\alpha}$ is the function

$\displaystyle \alpha(s) := 2^s \pi^{s-1} \sin( \frac{\pi s}{2}) \Gamma(1-s). \ \ \ \ \ (5)$

Here ${\cos(z) := \frac{e^z + e^{-z}}{2}}$, ${\sin(z) := \frac{e^{-z}-e^{-z}}{2i}}$ are the complex-analytic extensions of the classical trigionometric functions ${\cos(x), \sin(x)}$, and ${\Gamma}$ is the Gamma function, whose definition and properties we review below the fold.

The functional equation can be placed in a more symmetric form as follows:

Corollary 2 (Functional equation for the Riemann xi function) The Riemann xi function

$\displaystyle \xi(s) := \frac{1}{2} s(s-1) \pi^{-s/2} \Gamma(\frac{s}{2}) \zeta(s) \ \ \ \ \ (6)$

is analytic on the entire complex plane ${{\bf C}}$ (after removing all removable singularities), and obeys the functional equations

$\displaystyle \xi(\overline{s}) = \overline{\xi(s)}$

and

$\displaystyle \xi(s) = \xi(1-s). \ \ \ \ \ (7)$

In particular, the zeroes of ${\xi}$ consist precisely of the non-trivial zeroes of ${\zeta}$, and are symmetric about both the real axis and the critical line. Also, ${\xi}$ is real-valued on the critical line and on the real axis.

Corollary 2 is an easy consequence of Theorem 1 together with the duplication theorem for the Gamma function, and the fact that ${\zeta}$ has no zeroes to the right of the critical strip, and is left as an exercise to the reader (Exercise 19). The functional equation in Theorem 1 has many proofs, but most of them are related in on way or another to the Poisson summation formula

$\displaystyle \sum_n f(n) = \sum_m \hat f(2\pi m) \ \ \ \ \ (8)$

(Theorem 34 from Supplement 2, at least in the case when ${f}$ is twice continuously differentiable and compactly supported), which can be viewed as a Fourier-analytic link between the coarse-scale distribution of the integers and the fine-scale distribution of the integers. Indeed, there is a quick heuristic proof of the functional equation that comes from formally applying the Poisson summation formula to the function ${1_{x>0} \frac{1}{x^s}}$, and noting that the functions ${x \mapsto \frac{1}{x^s}}$ and ${\xi \mapsto \frac{1}{\xi^{1-s}}}$ are formally Fourier transforms of each other, up to some Gamma function factors, as well as some trigonometric factors arising from the distinction between the real line and the half-line. Such a heuristic proof can indeed be made rigorous, and we do so below the fold, while also providing Riemann’s two classical proofs of the functional equation.

From the functional equation (and the poles of the Gamma function), one can see that ${\zeta}$ has trivial zeroes at the negative even integers ${-2,-4,-6,\dots}$, in addition to the non-trivial zeroes in the critical strip. More generally, the following table summarises the zeroes and poles of the various special functions appearing in the functional equation, after they have been meromorphically extended to the entire complex plane, and with zeroes classified as “non-trivial” or “trivial” depending on whether they lie in the critical strip or not. (Exponential functions such as ${2^{s-1}}$ or ${\pi^{-s}}$ have no zeroes or poles, and will be ignored in this table; the zeroes and poles of rational functions such as ${s(s-1)}$ are self-evident and will also not be displayed here.)

 Function Non-trivial zeroes Trivial zeroes Poles ${\zeta(s)}$ Yes ${-2,-4,-6,\dots}$ ${1}$ ${\zeta(1-s)}$ Yes ${1,3,5,\dots}$ ${0}$ ${\sin(\pi s/2)}$ No Even integers No ${\cos(\pi s/2)}$ No Odd integers No ${\sin(\pi s)}$ No Integers No ${\Gamma(s)}$ No No ${0,-1,-2,\dots}$ ${\Gamma(s/2)}$ No No ${0,-2,-4,\dots}$ ${\Gamma(1-s)}$ No No ${1,2,3,\dots}$ ${\Gamma((1-s)/2)}$ No No ${2,4,6,\dots}$ ${\xi(s)}$ Yes No No

Among other things, this table indicates that the Gamma and trigonometric factors in the functional equation are tied to the trivial zeroes and poles of zeta, but have no direct bearing on the distribution of the non-trivial zeroes, which is the most important feature of the zeta function for the purposes of analytic number theory, beyond the fact that they are symmetric about the real axis and critical line. In particular, the Riemann hypothesis is not going to be resolved just from further analysis of the Gamma function!

The zeta function computes the “global” sum ${\sum_n \frac{1}{n^s}}$, with ${n}$ ranging all the way from ${1}$ to infinity. However, by some Fourier-analytic (or complex-analytic) manipulation, it is possible to use the zeta function to also control more “localised” sums, such as ${\sum_n \frac{1}{n^s} \psi(\log n - \log N)}$ for some ${N \gg 1}$ and some smooth compactly supported function ${\psi: {\bf R} \rightarrow {\bf C}}$. It turns out that the functional equation (3) for the zeta function localises to this context, giving an approximate functional equation which roughly speaking takes the form

$\displaystyle \sum_n \frac{1}{n^s} \psi( \log n - \log N ) \approx \alpha(s) \sum_m \frac{1}{m^{1-s}} \psi( \log M - \log m )$

whenever ${s=\sigma+it}$ and ${NM = \frac{|t|}{2\pi}}$; see Theorem 38 below for a precise formulation of this equation. Unsurprisingly, this form of the functional equation is also very closely related to the Poisson summation formula (8), indeed it is essentially a special case of that formula (or more precisely, of the van der Corput ${B}$-process). This useful identity relates long smoothed sums of ${\frac{1}{n^s}}$ to short smoothed sums of ${\frac{1}{m^{1-s}}}$ (or vice versa), and can thus be used to shorten exponential sums involving terms such as ${\frac{1}{n^s}}$, which is useful when obtaining some of the more advanced estimates on the Riemann zeta function.

We will give two other basic uses of the functional equation. The first is to get a good count (as opposed to merely an upper bound) on the density of zeroes in the critical strip, establishing the Riemann-von Mangoldt formula that the number ${N(T)}$ of zeroes of imaginary part between ${0}$ and ${T}$ is ${\frac{T}{2\pi} \log \frac{T}{2\pi} - \frac{T}{2\pi} + O(\log T)}$ for large ${T}$. The other is to obtain untruncated versions of the explicit formula from Notes 2, giving a remarkable exact formula for sums involving the von Mangoldt function in terms of zeroes of the Riemann zeta function. These results are not strictly necessary for most of the material in the rest of the course, but certainly help to clarify the nature of the Riemann zeta function and its relation to the primes.

In view of the material in previous notes, it should not be surprising that there are analogues of all of the above theory for Dirichlet ${L}$-functions ${L(\cdot,\chi)}$. We will restrict attention to primitive characters ${\chi}$, since the ${L}$-function for imprimitive characters merely differs from the ${L}$-function of the associated primitive factor by a finite Euler product; indeed, if ${\chi = \chi' \chi_0}$ for some principal ${\chi_0}$ whose modulus ${q_0}$ is coprime to that of ${\chi'}$, then

$\displaystyle L(s,\chi) = L(s,\chi') \prod_{p|q_0} (1 - \frac{1}{p^s}) \ \ \ \ \ (9)$

(cf. equation (45) of Notes 2).

The main new feature is that the Poisson summation formula needs to be “twisted” by a Dirichlet character ${\chi}$, and this boils down to the problem of understanding the finite (additive) Fourier transform of a Dirichlet character. This is achieved by the classical theory of Gauss sums, which we review below the fold. There is one new wrinkle; the value of ${\chi(-1) \in \{-1,+1\}}$ plays a role in the functional equation. More precisely, we have

Theorem 3 (Functional equation for ${L}$-functions) Let ${\chi}$ be a primitive character of modulus ${q}$ with ${q>1}$. Then ${L(s,\chi)}$ extends to an entire function on the complex plane, with

$\displaystyle L(s,\chi) = \varepsilon(\chi) 2^s \pi^{s-1} q^{1/2-s} \sin(\frac{\pi}{2}(s+\kappa)) \Gamma(1-s) L(1-s,\overline{\chi})$

or equivalently

$\displaystyle L(1-s,\overline{\chi}) = \varepsilon(\overline{\chi}) 2^{1-s} \pi^{-s} q^{s-1/2} \sin(\frac{\pi}{2}(1-s+\kappa)) \Gamma(s) L(s,\chi)$

for all ${s}$, where ${\kappa}$ is equal to ${0}$ in the even case ${\chi(-1)=+1}$ and ${1}$ in the odd case ${\chi(-1)=-1}$, and

$\displaystyle \varepsilon(\chi) := \frac{\tau(\chi)}{i^\kappa \sqrt{q}} \ \ \ \ \ (10)$

where ${\tau(\chi)}$ is the Gauss sum

$\displaystyle \tau(\chi) := \sum_{n \in {\bf Z}/q{\bf Z}} \chi(n) e(n/q). \ \ \ \ \ (11)$

and ${e(x) := e^{2\pi ix}}$, with the convention that the ${q}$-periodic function ${n \mapsto e(n/q)}$ is also (by abuse of notation) applied to ${n}$ in the cyclic group ${{\bf Z}/q{\bf Z}}$.

From this functional equation and (2) we see that, as with the Riemann zeta function, the non-trivial zeroes of ${L(s,\chi)}$ (defined as the zeroes within the critical strip ${\{ s: 0 < \hbox{Re}(s) < 1 \}}$ are symmetric around the critical line (and, if ${\chi}$ is real, are also symmetric around the real axis). In addition, ${L(s,\chi)}$ acquires trivial zeroes at the negative even integers and at zero if ${\chi(-1)=1}$, and at the negative odd integers if ${\chi(-1)=-1}$. For imprimitive ${\chi}$, we see from (9) that ${L(s,\chi)}$ also acquires some additional trivial zeroes on the left edge of the critical strip.

There is also a symmetric version of this equation, analogous to Corollary 2:

Corollary 4 Let ${\chi,q,\varepsilon(\chi)}$ be as above, and set

$\displaystyle \xi(s,\chi) := (q/\pi)^{(s+\kappa)/2} \Gamma((s+\kappa)/2) L(s,\chi),$

then ${\xi(\cdot,\chi)}$ is entire with ${\xi(1-s,\chi) = \varepsilon(\chi) \xi(s,\chi)}$.

For further detail on the functional equation and its implications, I recommend the classic text of Titchmarsh or the text of Davenport.

The Riemann zeta function $\zeta(s)$, defined for $\hbox{Re}(s) > 1$ by the formula

$\displaystyle \zeta(s) := \sum_{n \in {\Bbb N}} \frac{1}{n^s}$ (1)

where ${\Bbb N} = \{1,2,\ldots\}$ are the natural numbers, and extended meromorphically to other values of s by analytic continuation, obeys the remarkable functional equation

$\displaystyle \Xi(s) = \Xi(1-s)$ (2)

where

$\displaystyle \Xi(s) := \Gamma_\infty(s) \zeta(s)$ (3)

is the Riemann Xi function,

$\displaystyle \Gamma_\infty(s) := \pi^{-s/2} \Gamma(s/2)$ (4)

is the Gamma factor at infinity, and the Gamma function $\Gamma(s)$ is defined for $\hbox{Re}(s) > 1$ by

$\displaystyle \Gamma(s) := \int_0^\infty e^{-t} t^s\ \frac{dt}{t}$ (5)

and extended meromorphically to other values of s by analytic continuation.

There are many proofs known of the functional equation (2).  One of them (dating back to Riemann himself) relies on the Poisson summation formula

$\displaystyle \sum_{a \in {\Bbb Z}} f_\infty(a t_\infty) = \frac{1}{|t|_\infty} \sum_{a \in {\Bbb Z}} \hat f_\infty(a/t_\infty)$ (6)

for the reals $k_\infty := {\Bbb R}$ and $t \in k_\infty^*$, where $f$ is a Schwartz function, $|t|_\infty := |t|$ is the usual Archimedean absolute value on $k_\infty$, and

$\displaystyle \hat f_\infty(\xi_\infty) := \int_{k_\infty} e_\infty(-x_\infty \xi_\infty) f_\infty(x_\infty)\ dx_\infty$ (7)

is the Fourier transform on $k_\infty$, with $e_\infty(x_\infty) := e^{2\pi i x_\infty}$ being the standard character $e_\infty: k_\infty \to S^1$ on $k_\infty$.  (The reason for this rather strange notation for the real line and its associated structures will be made clearer shortly.)  Applying this formula to the (Archimedean) Gaussian function

$\displaystyle g_\infty(x_\infty) := e^{-\pi |x_\infty|^2}$, (8)

which is its own (additive) Fourier transform, and then applying the multiplicative Fourier transform (i.e. the Mellin transform), one soon obtains (2).  (Riemann also had another proof of the functional equation relying primarily on contour integration, which I will not discuss here.)  One can “clean up” this proof a bit by replacing the Gaussian by a Dirac delta function, although one now has to work formally and “renormalise” by throwing away some infinite terms.  (One can use the theory of distributions to make this latter approach rigorous, but I will not discuss this here.)  Note how this proof combines the additive Fourier transform with the multiplicative Fourier transform.  [Continuing with this theme, the Gamma function (5) is an inner product between an additive character $e^{-t}$ and a multiplicative character $t^s$, and the zeta function (1) can be viewed both additively, as a sum over n, or multiplicatively, as an Euler product.]

In the famous thesis of Tate, the above argument was reinterpreted using the language of the adele ring ${\Bbb A}$, with the Poisson summation formula (4) on $k_\infty$ replaced by the Poisson summation formula

$\displaystyle \sum_{a \in k} f(a t) = \sum_{a \in k} \hat f(t/a)$ (9)

on ${\Bbb A}$, where $k = {\Bbb Q}$ is the rationals, $t \in {\Bbb A}$, and f is now a Schwartz-Bruhat function on ${\Bbb A}$.  Applying this formula to the adelic (or global) Gaussian function $g(x) := g_\infty(x_\infty) \prod_p 1_{{\mathbb Z}_p}(x_p)$, which is its own Fourier transform, and then using the adelic Mellin transform, one again obtains (2).  Again, the proof can be cleaned up by replacing the Gaussian with a Dirac mass, at the cost of making the computations formal (or requiring the theory of distributions).

In this post I will write down both Riemann’s proof and Tate’s proof together (but omitting some technical details), to emphasise the fact that they are, in some sense, the same proof.  However, Tate’s proof gives a high-level clarity to the situation (in particular, explaining more adequately why the Gamma factor at infinity (4) fits seamlessly with the Riemann zeta function (1) to form the Xi function (2)), and allows one to generalise the functional equation relatively painlessly to other zeta-functions and L-functions, such as Dedekind zeta functions and Hecke L-functions.

[Note: the material here is very standard in modern algebraic number theory; the post here is partially for my own benefit, as most treatments of this topic in the literature tend to operate in far higher levels of generality than I would prefer.]