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Actions of the group of homeomorphisms of the circle on surfaces

E. Militon 3 mars 2014

Abstract

In this article we describe all the group morphisms from the group of orientation preserving home- omorphisms of the circle to the group of homeomorphisms of the annulus or of the torus.

1 Introduction

For a compact manifold M, we denote by Homeo(M) the group of homeomorphisms of M and by Homeo0(M)the connected component of the identity of this group (for the compact-open topology). By a theorem by Fischer (see [6] and [3]), the groupHomeo0(M)is simple: the study of this group cannot be reduced to the study of other groups. One natural way to have a better understanding of this group is to look at its automorphism group. In this direction, Whittaker proved the following theorem.

Theorem. (Whittaker [15]) Given two compact manifolds M and N and for any group isomorphism ϕ: Homeo0(M)Homeo0(N), there exists a homeomorphismh:M N such that the morphism ϕis the map f 7→hfh−1.

This theorem was generalized by Filipkiewicz (see [5]) to groups of dieomorphisms by using a pow- erful theorem by Montgomery and Zippin which characterizes Lie groups among locally compact groups.

The idea of the proof of Whittaker's theorem is the following: we see the manifold M algebraically by considering the subgroupGx of the group of homeomorphism ofM consisting of homeomorphisms which x the point xin M. One proves that, for any pointxin M, there exists a unique point yx in N such that ϕ(Gx)is the group of homeomorphisms ofN which x the pointyx. Let us denehbyh(x) =yx. Then we check that h is a homeomorphism and that the homeomorphism h satises the conclusion of the theorem. However, Whittaker's proof uses crucially the fact that we have a group isomorphism and cannot be generalized easily a priori to the cases of group morphisms. Here is a conjecture in this case.

Conjecture 1.1. For a compact manifoldM, every group morphismHomeo0(M)Homeo0(M)is either trivial or induced by a conjugacy by a homeomorphism.

This conjecture is solved in [11] in the case of the circle. It is proved also in [8] in the case of groups of dieomorphisms of the circle. We can also be interested in morphisms from the groupHomeo0(M)to the group of homeomorphisms of another manifoldHomeo0(N). This kind of questions is adressed in [8] for dieomorphisms in the case whereN is a circle or the real line. The following conjecture looks attainable.

Conjecture 1.2. Denote byS−D a closed surfaceS with one open disc removed. Denote byHomeo0(S D)the identity component of the group of homeomorphismsSD with support contained in the interior of this surface. Every group morphism fromHomeo0(SD)toHomeo0(S)is induced by an inclusion of SD inS.

In this article, we investigate the case of group morphisms from the groupHomeo0(S1)of orientation- preserving homeomorphisms of the circle to the group Homeo(S) of homeomorphisms of a compact

supported by the Fondation Mathématique Jacques Hadamard

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orientable surface S. By simplicity of the group Homeo0(S1), such a morphism ϕ is either one-to- one or trivial. Moreover, as the quotient group Homeo(S)/Homeo0(S) is countable, any morphism Homeo0(S1) Homeo(S)/Homeo0(S) is trivial. Hence, the image of the morphism ϕ is contained in the group Homeo0(S). By a theorem by Rosendal and Solecki, any group morphism from the group of orientation-preserving homeomorphisms of the circle to a separable group is continuous (see [14] Theorem 4 and Proposition 2): the group morphisms under consideration are continuous. If the surfaceSis dier- ent from the sphere, the torus, the closed disc or the closed annulus, then any compact subgroup of the group Homeo0(S)is trivial by a theorem by Kerekjarto (see [2]). Therefore, the group Homeo0(S)does not contain a subgroup isomorphic to SO(2)whereas the groupHomeo0(S1)does and the morphismϕis necessarily trivial. We study in what follows the remaining cases.

In the second section, we state our classication theorem of actions of the groupHomeo0(S1)on the torus and on the annulus. Any action will be obtained by gluing actions which preserve a lamination by circles and actions which are transitive on open annuli. In the third section, we describe the continuous actions of the group of compactly-supported homeomorphisms of the real line on the real line or on the circle: this description is useful for the classication theorem and interesting in itself. The fourth and fth sections are devoted respectively to the proof of the classication theorem in the case of the closed annulus and in the case of the torus. Finally, we discuss the case of the sphere and of the closed disc in the last section.

2 Description of the actions

All the actions of the groupHomeo0(S1)will be obtained by gluing elementary actions of this group on the closed annulus. In this section, we will rst describe these elementary actions before describing some model actions to which any continuous action will be conjugate.

The easiest action of the groupHomeo0(S1)on the closed annulusA= [0,1]×S1preserves of a foliation by circles of this annulus:

p: Homeo0(S1) Homeo(A)

f 7→ ((r, θ)7→(r, f(θ))) .

The second elementary action we want to describe is a little more complex. Letπ:RR/Z=S1be the projection. For a point θ on the circleS1 =R/Z, we denote byθ˜a lift ofθ, i.e. a point of the real line which projects onθ. For a homeomorphismf of the circle, we denote byf˜a lift off, i.e. an element of the groupHomeoZ(R)of homeomorphisms of the real line which commute to integral translations such that πf˜=fπ. A second elementary action is given by:

a: Homeo0(S1) Homeo(A)

f 7→ ((r, θ)7→( ˜fθ)f˜θr), f(θ)) .

Notice that the numberf˜θ)f˜θr)does not depend on the lifts θ˜andf˜chosen and belongs to the interval[0,1]. An action analogous to this last one is given by:

a+: Homeo0(S1) Homeo(A)

f 7→ ((r, θ)7→( ˜fθ+r)f˜θ), f(θ))) .

Notice that the actionsa+andaare conjugate via the homeomorphism ofAgiven by(r, θ)7→(1r, θ), which is orientation-reversing, and via the orientation-preserving homeomorphism of Agiven by(r, θ)7→

(r, θ+r). We now describe another way to see the actiona (anda+). We see the torusT2as the product S1×S1. Let

aT2 : Homeo0(S1) Homeo(T2)

f 7→ ((x, y)7→(f(x), f(y))) . It is easily checked that this denes a morphism. This action leaves the diagonal

(x, x), xS1 invariant.

The action obtained by cutting along the diagonal is conjugate to a. More precisely, let us dene

h: A T2

(r, θ) 7→ (θ, θr) .

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Then, for any element f in the groupHomeo0(S1):

ha(f) =aT2(f)h.

LetGθ0 be the group of homeomorphisms of the circle which x a neighbourhood of the pointθ0. For a pointθ0of the circle, the image by the morphisma of the groupGθ0 leaves the sets{(r, θ0), r[0,1]}

and{(r, θ0+r), r[0,1]}globally invariant. On each of the connected components of the complement of the union of these two sets with the boundary of the annulus, the action ofGθ0 is transitive (this is more easily seen by using the actionaT2).

Let us describe now the model actions on the closed annulus which are obtained by gluing the above actions. Take a non-empty compact subset K [0,1] which contains the points 0 and 1 and a map λ: [0,1]K→ {−1,+1}which is constant on each connected component of[0,1]K. Let us dene now an actionϕK,λof the group Homeo0(S1)on the closed annulus. To a homeomorphismf in Homeo0(S1), we associate a homeomorphism ϕK,λ(f) which is dened as follows. If r K, we associate to a point (r, θ) Athe point (r, f(θ)). If r belongs to a connected component (r1, r2) of the complement of the compact setK and ifλ((r1, r2)) ={−1}, we associate to the point(r, θ)Athe point

((r2r1)( ˜f(θ)f˜ rr1 r2r1

)) +r1, f(θ))).

This last map is obtained by conjugating the homeomorphisma(f)with the map(r, θ)7→(ζ(r), θ)where ζ is the unique linear increasing homeomorphism[0,1][r1, r2]. Ifrbelongs to a connected component (r1, r2) of the complement of the compact set K and if λ((r1, r2)) = {+1}, we associate to the point (r, θ)Athe point

((r2r1)( ˜f+ rr1 r2r1

)f˜(θ)) +r1, f(θ))).

This last map is also obtained after renormalizinga+(f)on the interval(r1, r2). This denes a continuous morphism ϕK,λ : Homeo0(S1) Homeo(A). To construct an action on the torus, it suces to identify the point(0, θ)of the closed annulus with the point(1, θ). We denote byϕTK,λ2 the continuous action on the torus obtained this way. By shrinking one of the boundary components (respectively both boundary components) of the annulus to a point (respectively to points), one obtains an action on the closed disc (respectively on the sphere) that we denote by ϕDK,λ2 (respectivelyϕSK,λ2 ).

The main theorem of this article is the following:

Theorem 2.1. Any non-trivial action of the groupHomeo0(S1)on the closed annulus is conjugate to one of the actions ϕK,λ. Any non-trivial action of the groupHomeo0(S1) on the torus is conjugate to one of the actions ϕTK,λ2 .

In particular, any action of the groupHomeo0(S1)on the torus admits an invariant circle. By analogy with this theorem, one can be tempted to formulate the following conjecture:

Conjecture 2.2. Any non-trivial action of the groupHomeo0(S1)on the sphere (respectively on the closed disc) is conjugate to one of the actionsϕSK,λ2 (respectively to one of the actionsϕDK,λ2 ).

Notice that this theorem does not give directly a description of the conjugacy classes of such actions as two actions ϕK,λ and ϕK00 may be conjugate even though K 6=K0 or λ6=λ0. Now, let K [0,1]

andK0[0,1]be two compact sets which contain the nite set{0,1}. Letλ: [0,1]K→ {−1,+1}and λ0: [0,1]−K0→ {−1,+1}be two maps which are constant on each connected component of their domain of denition. The following theorem characterizes when the actionsϕK,λ andϕK00 are conjugate.

Proposition 2.3. The following statements are equivalent:

the actionsϕK,λ andϕK00 are conjugate;

either there exists an increasing homeomorphismh : [0,1] [0,1] such that h(K) =K0 and such that λ0 h = λ except on a nite number of connected component of [0,1]K or there exists a decreasing homeomorphismh: [0,1][0,1]such that h(K) =K0 and such that λ0h=−λexcept on a nite number of connected component of[0,1]K.

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Proof. Let us begin by proving that the second statement implies the rst one.

If there exists an increasing homeomorphism h which sends the compact subset K [0,1] to the compact subsetK0 [0,1], then the actionsϕK,λ andϕK0,λ◦h−1 are conjugate. Indeed, denote byˆhthe homeomorphism [0,1] [0,1] which coincides with h on K and which, on each connected component (r1, r2)of the complement of K, is the unique increasing linear homeomorphism (r1, r2) h((r1, r2)). Then the actions ϕK,λ andϕK0,λ◦h−1 are conjugate via the homeomorphism

A A

(r, θ) 7→ h(r), θ) .

Similarly, suppose thathis an orientation-reversing homeomorphism of the compact interval[0,1]which sends the compact subset K [0,1] to the compact subset K0 [0,1]. As above, we denote by ˆhthe homeomorphism obtained from h by sending linearly each connected component of the complement of K to each connected component of the complement of K0. Then the actions ϕK,λ and ϕK0,−λ◦h−1 are conjugate via the homeomorphism

A A

(r, θ) 7→ h(r), θ) .

It suces then to use the following lemma to complete the proof of the converse in the proposition.

Lemma 2.4. Let K [0,1] be a compact subset which contains the points 0 and 1. If λ : [0,1] K → {−1,+1} and λ0 : [0,1]K → {−1,+1} are continuous maps which are equal except on one connected component (r1, r2)of the complement of K where they dier, then the actionsϕK,λ andϕK,λ0

are conjugate.

Proof. This lemma comes from the fact that the actionsa+anda are conjugate via the homeomorphism of the annulus (r, θ) 7→ (r, θ+r). More precisely, suppose that λ((r1, r2)) = {+1}. Then the actions ϕK,λ and ϕK,λ0 are conjugate via the homeomorphism h dened as follows. The homeomorphism h is equal to the identity on the Cartesian product of the complement of(r1, r2)with the circle and is equal to(r, θ)7→(r, θ+rr−r1

2−r1)on the open set(r1, r2)×S1.

Let us establish now the other implication. Suppose that there exists a homeomorphism g which conjugates the actionsϕK,λandϕK00. Now, for any angleα, if we denote byRαthe rotation of angleα:

gϕK,λ(Rα) =ϕK00(Rα)g.

The homeomorphismϕK,λ(Rα)is the rotation of angleαof the annulus. This means that, for any point (r, θ)of the closed annulus and any angle αS1:

g((r, θ+α)) =g((r, θ)) + (0, α).

In particular, the homeomorphismg permutes the leaves of the foliation of the annulus by circles whose leaves are of the form {r} ×S1. Fix now a point θ0 on the circle. The homeomorphismg sends the set K× {θ0}of xed points ofϕK,λ(Gθ0)(the points which are xed by every element of this group) to the set K0× {θ0}of xed points ofϕK00(Gθ0). From this and what is above, we deduce that for anyrK and any angleθ,g(r, θ) = (h(r), θ), whereh:KK0 is a homeomorphism. Moreover, if the homeomorphism g is orientation-preserving, then the homeomorphism h is increasing and, if the homeomorphism g is orientation-reversing, then the homeomorphism h is decreasing. We can extend the homeomorphism h to a homeomorphism of [0,1]which sendsK to K0. Notice that, for a connected component (r1, r2) of the complement of K in [0,1], the homeomorphism g sends the open set(r1, r2)×S1 onto the open set (r01, r02)×S1, where(r10, r02) =h((r1, r2))is a connected component of the complement ofK0 in[0,1].

It suces now to establish that the condition on the mapsλandλ0is satised for the homeomorphism h. Suppose, to simplify the proof, that the homeomorphism g is orientation-preserving and hence the homeomorphism h is increasing: the case where the homeomorphism g is orientation reversing can be treated similarly. Suppose by contradiction that there exists a sequence ((r1,n, r2,n))n∈N of connected components of the open set [0,1]Ksuch that:

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λ((r1,n, r2,n)) = +1;

λ0((r01,n, r02,n)) =−1, where(r01,n, r02,n) =h((r1,n, r2,n));

the sequence(r1,n)n∈Nis monotonous and converges to a real numberr.

We will prove then that either the curve {(r, θ0), r > r} (if the sequence (r1,n)n∈N is decreasing) or the curve{(r, θ0), r < r} (if the sequence(r1,n)n∈Nis increasing) is sent by the homeomorphismg to a curve which accumulates on {r} ×S1, which is not possible. The hypothesis λ((r1,n, r2,n)) =−1 and λ((r1,n0 , r2,n0 )) = +1for anynwould lead to the same contradiction.

To achieve this, it suces to prove that, for any positive integern, the homeomorphism g sends the curve {(r, θ0), r1,n< r < r2,n} onto the curve n

(r, θ0+ r−r

0 1,n

r2,n0 −r1,n0 ), r01,n< r < r2,n0 o

. Fix a positive inte- ger n. Observe that the restriction of the group of homeomorphisms ϕK,λ(Gθ0)to (r1,n, r2,n)×S1 has two invariant simple curves {(r, θ0), r1,n< r < r2,n} and n

(r, θ0rr−r1,n

2,n−r1,n), r1,n< r < r2,n

o on which the action is transitive. The action of this group is transitive on the two connected components of the complement of these two curves, which are open sets. Likewise, the restriction of the group of homeomorphisms ϕK00(Gθ0) to (r1,n0 , r2,n0 ) has two invariant simple curves

(r, θ0), r01,n< r < r2,n0 and n

(r, θ0+ r−r

0 1,n

r02,n−r1,n0 ), r1,n0 < r < r02,no

on which the action is transitive and the action of this group is transitive on the two connected components of the complement of these two curves, which are open sets. Therefore, the homeomorphism g sends the curve {(r, θ0), r1,n< r < r2,n} to one of the curves

(r, θ0), r1,n0 < r < r02,n or n

(r, θ0+ r−r

0 1,n

r02,n−r1,n0 ), r1,n0 < r < r02,no

. Let us nd now which of them is the image of the curve {(r, θ0), r1,n< r < r2,n}. We x the orientation of the circle induced by the orientation of the real line R and the covering map R S1 = R/Z. This orientation gives rise to an order on S1 − {θ0}. Take a homeomorphism f in Gθ0 dierent from the identity such that, for any x 6= θ0, f(x) x. Then, for any r (r1,n, r2,n), p1 ϕK,λ(f)(r, θ0) r, where p1 : A = [0,1]×S1 [0,1] is the projection, and the restriction of the homeomorphism ϕK,λ(f) to the curve {(r, θ0), r1,n< r < r2,n} is dierent from the identity. Likewise, for any r (r1,n0 , r2,n0 ), p1ϕK00(f)(r, θ0)r and p1ϕK00(f)(r, θ0+ r−r

0 1,n

r02,n−r1,n0 )r and the restrictions of the homeomor- phismϕK00(f)to

(r, θ0), r1,n0 < r < r02,n and ton

(r, θ0+ r−r

0 1,n

r2,n0 −r01,n), r01,n< r < r2,n0 o

are dierent from the identity. Moreover, the map

(r1,n, r2,n) (r1,n0 , r2,n0 ) r 7→ p1g(r, θ0)

is strictly increasing as the homeomorphism g was supposed to be orientation-preserving. This implies what we wanted to prove.

3 Continuous actions of Homeoc(R) on the line

Let us denote byHomeoc(R)the group of compactly supported homeomorphisms of the real line R.

In this section, a proof of the following theorem is provided.

Theorem 3.1. Let ψ : Homeoc(R) Homeo(R)be a continuous group morphism whose image has no xed point. Then there exists a homeomorphism h of R such that, for any compactly supported homeo- morphism f of the real line:

ψ(f) =hfh−1.

Remark: This theorem is true without continuity hypothesis. However, we just need the above theorem in this article.

Remark: This theorem also holds in the case of groups of dieomorphisms, i.e. any continuous action of the group of compactly-supportedCrdieomorphisms on the real line is topologically conjugate to the inclusion. The proof in this case is the same.

This theorem enables us to describe any continuous action of the groupHomeoc(R)on the real line as

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it suces to consider the action on each connected component of the complement of the xed point set of the action.

Proof. We x a morphismψas in the statement of the theorem. During this proof, for a subsetAR, we will denote byGAthe group of compactly supported homeomorphisms which pointwise x a neighbourhood of A and by FA Rthe closed set of xed points of ψ(GA)(the set of points which are xed by every element of this group). Let us begin by giving a sketch of the proof of this theorem. We will rst prove that, for a compact interval I with non-empty interior, the set FI is compact and non-empty. As a consequence, for any real number x, the closed set Fx is non-empty. Then we will prove that the setsFx are single-point sets. Let {h(x)} =Fx. Then the map his a homeomorphism and satises the relation required by the theorem. Let us give details.

Notice that, as the groupHomeoc(R) is simple (see [6]), the image ofψ is contained in the group of increasing homeomorphisms ofR(otherwise there would exist a nontrivial group morphismHomeoc(R) Z/2Z) and the morphismψ is a one-to-one map.

Lemma 3.2. For a compact interval IRwith non-empty interior, the closed set FI is non-empty.

Proof. Fix a compact interval I with non-empty interior. Take a non-zero vector eld X : R R supported inI. The ow of this vector eld denes a morphism

R Homeoc(R)

t 7→ ϕt .

Let us assume for the moment that the setF of xed points of the subgroup{ψ(ϕt), tR}ofHomeo(R) is non-empty. Notice that this set is notRas the morphismψis one-to-one. As each homeomorphismϕt commutes with any element inGI, we obtain that, for any elementg in ψ(GI), g(F) =F. Moreover, as any element of the groupGI can be joined to the identity by a continuous path which is contained inGI

and as the morphism ψis continuous, any connected component C of F is invariant under ψ(GI). The upper bounds and the lower bounds of these intervals which lie in Rare then xed points of the group ψ(GI). This proves the lemma.

It remains to prove that the setF is non-empty. Suppose by contradiction that it is empty. Then, for any real numberx, the map

R R t 7→ ψ(ϕt)(x)

is a homeomorphism. Indeed, if it was not onto, the supremum or the inmum of the image would provide a xed point for(ψ(ϕt))t∈R. If it was not one-to-one, there would existt0 6= 0such that ψ(ϕt0)(x) =x. Then, for any positive integer n, ψ(ϕt0/2n)(x) = x and, by continuity of ψ, for any real number t, ψ(ϕt)(x) =xand the pointxwould be xed by(ψ(ϕt))t∈R.

Fix a real numberx0. LetTx0:GI Rbe the map dened by ψ(f)(x0) =ψ(ϕTx0(f))(x0).

The mapTx0 is a group morphism as, for any homeomorphismsf andg in GI, ψ(ϕTx0(f g))(x0) = ψ(f g)(x0)

= ψ(f)ψ(ϕTx0(g))(x0)

= ψ(ϕTx0(g))ψ(f)(x0)

= ψ(ϕTx0(g)+Tx0(f))(x0).

However, the group GI, which is isomorphic to the groupHomeoc(R)×Homeoc(R), is a perfect group:

any element of this group can be written as a product of commutators. Therefore, the morphismTx0 is trivial. As the pointx0 is any point inR, we deduce that the restriction ofψtoGI is trivial, which is not possible as the morphismψ is one-to-one.

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Remark: if ψ(Homeoc(R)) Homeoc(R), this lemma can be proved without continuity hypothesis.

Indeed, consider an elementf in Homeoc(R)supported inI. One of the connected components of the set of xed points ofψ(f)is of the form(−∞, a]for someainR. This interval is necessarily invariant by the group ψ(GI)which commutes withf. Hence, the pointais a xed point for the groupψ(GI).

During the proof, we will often use the following elementary result:

Lemma 3.3. Let I and J be disjoint compact non-empty intervals. For any homeomorphism g in Homeoc(R), there exist homeomorphismsg1GI,g2GJ andg3GI such that:

g=g1g2g3.

Proof. Let g be a homeomorphism in Homeoc(R). Let h1 be a homeomorphism in GI which sends the interval g(I) to an interval which is in the same connected component of RJ as the interval I. Let h2 be a homeomorphism inGJ which is equal tog−1h−11 on a neighbourhood of the intervalh1g(I). Then, the homeomorphism h2h1g belongs to GI. It suces then to take g1 =h−11 , g2 =h−12 and g3=h2h1gto conclude the proof of the lemma.

Before stating the next lemma, observe that, for compact intervals I with non-empty interiors, the sets FI are pairwise homeomorphic by an increasing homeomorphism. Indeed, let I and J be two such intervals. Then there exists a homeomorphismλinHomeoc(R)such thatλ(I) =J. ThenλGIλ−1=GJ. Taking the image by ψ, we obtain thatψ(λ)ψ(GI)ψ(λ)−1=ψ(GJ)and thereforeψ(λ)(FI) =FJ. Lemma 3.4. For a compact interval IRwith non-empty interior, the closed set FI is compact.

Proof. Fix a compact interval I with non-empty interior. Suppose by contradiction that there exists a sequence(ak)k∈Nof real numbers inFI which tends to+∞(if we suppose that it tends to−∞, we obtain of course an analogous contradiction). Let us choose a compact interval J which is disjoint from I. By the remark just before the lemma, there exists a sequence(bk)k∈Nof elements inFJ which tends to+∞. Take positive integersn1, n2 andn3 such thatan1 < bn2 < an3. Fixx0< an1. We notice then that for any homeomorphismsg1GI,g2GJ and g3GI, the following inequality is satised:

ψ(g1)ψ(g2)ψ(g3)(x0)< an3.

Lemma 3.3 implies then that

{ψ(g)(x0), gHomeoc(R)} ⊂(−∞, an3].

The greatest element of the left-hand set is a xed point of the image of ψ: this is not possible as this image was supposed to have no xed point.

Lemma 3.5. The closed sets Fx, where x is a point of the real line, are non-empty, compact, pairwise disjoint and have an empty interior.

Proof. Notice that, if an intervalJ is contained in an intervalI, thenGI GJ and the same inclusion is true if we take the images of these subsets of Homeoc(R)under the morphismψ. That is whyFJ FI. Now, for any nite family of intervals(In)n whose intersection has non-empty interior, the intersection of the closed setsFIn which contains the non-empty closed setFnIn, is not empty. Fix now a pointxinR.

Notice that

Fx=\

I

FI,

where the intersection is taken over the compact intervals I whose interior contains the point x. By compactness, this set is not empty and it is compact.

Take two pointsx6=yin Ret let us prove now that the setsFxandFy are disjoint. If they were not disjoint, the group generated by ψ(Gx)andψ(Gy)would have a xed pointp. However, by Lemma 3.3, the groupsGx and Gy generate the group Homeoc(R). Then, the pointpwould be a xed point of the group ψ(Homeoc(R)), a contradiction.

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