C OMPOSITIO M ATHEMATICA
R UTGER N OOT
Abelian varieties-Galois representation and properties of ordinary reduction
Compositio Mathematica, tome 97, n
o1-2 (1995), p. 161-171
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Abelian varieties-Galois representation and properties of ordinary reduction
Dedicated
to Frans Oort onthe
occasionof his 60th birthday
RUTGER
NOOT*
©
1995 Kluwer Academic Publishers. Printed in the Netherlands.Mathematisches Institut, Einsteinstrasse 62, 48149 Münster, Germany
Received 14
April
1993; accepted in final form 18 January 1994 IntroductionIn this paper we will look at abelian varieties over number fields. We will be interested in
particular
in the number ofplaces
where such an abelianvariety
hasordinary
reduction. Recall that if k is a field of characteristic p and ifXlk
is an abelianvariety,
then X is said to beordinary
ifX[p](k) ~ (Z/pf, where g
= dim X.If X is an abelian
variety
over any fieldk, then,
for eachprime
number1 ~ p =
char(k),
the Galois groupGal(ksep/k)
acts on the Tate moduleTX.
For our purposes, the case where the field k is finite will be of
particular importance.
It is well known that in this case the characteristicpolynomial
of the Frobenius element
FreGal(k/k) acting
onTX
has coefficients in Z and isindependent
of 1. This means that for each 1 ~ p, theeigenvalues
ofFr on
TX
are the samealgebraic integers.
Thevariety X
isordinary
if andonly
if for some, orequivalently
for any, valuation onQ extending
thep-adic
valuation onQ, precisely
half theseeigenvalues
have valuation 0.Suppose
that F is a number field and thatX/F
is an abelianvariety.
Atevery finite
place
v ofF,
the residue fieldF,
is a finite field. For all butfinitely
many of theseplaces,
the reductionXv IF v
of X is an abelianvariety.
One can ask for how many valuations v this reduction is
ordinary.
Fromwhat we have seen
above,
it follows that thequestion
whetherX v
isordinary
can be answeredby looking
at theeigenvalues
of a Frobeniuselement
Frv
EGal(F/F)
at vacting
onTlX ~ T,X v’
for any 1 withv(l)
= 0.Note that the fact that X has
good
reduction at vimplies
that theimage
in
End(TlX)
of such a Frobenius element is determined up toconjugation,
and hence that the
eigenvalues
of thisimage
are well defined.The
only thing
which seems to be known about thisquestion
in the*Current address: Institut Mathématique, Université de Rennes 1, Campus de Beaulieu, 35042 Rennes cedex, France.
general
case can be found in[Og, 2.7].
The result isthat,
afterreplacing
Fby
a finiteextension,
there is a set P ofplaces,
of Dirichletdensity 1,
such that for eachv ~ P,
at least twoeigenvalues
ofFrv
onTlX
are v-adic units.It follows that if the dimension of X is 1 or
2,
then there is a finite extension of the base field F such that the set ofplaces
where X hasordinary
reduction has
density
1. The existence of such an extension is also known for all abelian varieties ofCM-type.
In the second section of this paper we will prove a similar result for abelian varieties X with the property that the
image
of the 1-adic Galoisrepresentation
associated to X is of a veryparticular
form. To beprecise,
we will assume that the Lie
algebra
of theimage
ofGal(F/F)
inEnd(TlX)
is
geometrically isomorphic
tosp(2)2k + 1
xGa.
The exact statement isgiven
in Theorem 2.2. Theproof
of this theorem uses one of the main results of[Sel], namely
the factthat,
afterreplacing
Fby
a finiteextension,
the
image
ofFr,,
inEnd(TlX)
generates a maximal torus of theimage
ofthe Galois
representation,
for all v in a set ofplaces
with Dirichletdensity
1. It will be shown that the fact that the Frobenius element at v generates
a maximal torus of this
image is,
insufficiently
many cases, sufficient toensure that
Xv
isordinary.
Thisproof occupies
almost all of Section 2.In the first section it will be shown that there
actually
exist abelianvarieties
satisfying
ourassumption.
Theproof
of this fact rests on theobservation,
recorded in Theorem1.7,
that every group that occurs as aMumford-Tate group of an abelian
variety
over C also occurs as theimage
of the Galois
representation
associated to an abelianvariety
over a numberfield. This
fact,
which is also ofindependent interest,
is alluded toby
Serrein
[Sel].
1. The
image
of the Galoisrepresentation
1.1 The aim of this section is to prove Theorem
1.7,
which states that every group that occurs as the Mumford-Tate group of an abelianvariety
alsooccurs as the
image
of the Galoisrepresentation
associated to an abelianvariety.
To do so, we have to treat some results aboutspecialization
in afamily
of Galoisrepresentations
which are needed in thisproof.
We willshow in
Proposition
1.3 that if we have afamily
of abelian varieties over anumber
field,
then we canspecialize
in such a way that theimage
of theGalois
representation
at thespecial point
isequal
to that at thegeneric
point.
This result will beapplied
to afamily
of abelian varieties for which theimage
of the Galoisrepresentation
at thegeneric point
is the group we want. Thisfamily
will be the universalfamily
over a Shimuravariety,
the fundamental group of which is easy to compute.1.2 Let F be a field of finite type over
Q
and let S be anormal, absolutely
irreducible
variety
over F. We write K =F(S)
for the function field of S and 1:Spec(K) -
S for the inclusion of thegeneric point.
For everypoint
03C3 of S we will write
F(a)
for the residue field at u. We writeS
for the normalization of S inSpec(K),
and we choose closedpoints GE Sand Ü E S
such that à maps down to a. If we let
F
be thealgebraic
closure of F inK,
we have an identification
F(03C3)
=F.
Let
X/S
be an abelian scheme. We intend to show that we can find aclosed
point 03C3
of S such that theimage
of the Galoisrepresentation
associated to
Xa/F(G)
is the same as theimage
of the Galoisrepresentation
of
X~/K.
Because F has characteristic0,
the n-torsion schemeX[n]
is afinite étale S-scheme for each
integer
n. BecauseX[n]
is a finite cover ofS,
every
point
ofX~[n](K)
extendsuniquely
to apoint
ofX[n](S).
Thisgives
rise to a
bijection X~[n](K) ~ X[n](S).
The choice of thepoint à gives
amap
X[n](S) ~ X03C3[n](F)
and sinceX[n]
is étale over S this map is abijection. Composing
these two maps we get anisomorphism
of groupsClearly,
the maps sn arecompatible
forvarying
n.We denote the
decomposition
group of %by Da
ciGal(K/K).
We havemaps
For each n, the map s,, is
compatible
with the action ofD03C3
inducedby
theabove maps.
If 1 is a
prime
number and if we take theprojective
limit of the maps sl.,we get a
D6-equivariant isomorphism
s:TlX~ ~ TlX03C3.
We have a com-mutative
diagram
in which 03C1~ and 03C103C3 denote the Galois
representations
associated toX~
andX03C3 respectively.
Note that itdepends only
on J whether or notim(p~) = im(03C103C3),
not on the choice of apoint 03C3 lying
over it.1.3 PROPOSITION
(Serre). Suppose
F isa field, of finite
type overQ,
thatS is a normal and
absolutely
irreducibleF-variety,
and that X is an abelianscheme over S. Let q:
Spec(K) ~
S be the inclusionof
thegeneric point.
Thenthere is a closed
point
(Jof
S such thatif TlX~
andTlX03C3
areidentified
in the way described above.1.4
Proof.
Thisproposition
can be found in[Sel].
Afterreplacing
Sby
anon-empty open
subset,
as we may do without loss ofgenerality,
we canassume that S is smooth and afhne. Let
:F"
be the extension field of K thatcorresponds
toker(03C1n)
cGal(K/K)
and letSpec(F)
be the normalization of S inF~.
BecauseX[ln]
is étale over S for every n,Spec(F)
is an unramifiedcover of S.
By construction, Gal(F~/K)
is a compact 1-adic Lie group.Because S is smooth over
F,
there is a non-empty affine open subset U c S that admits an étale map to the affine space A’ =AF,
where d is the dimension of S. Wereplace S by
U and àFby
itspullback
to U. Let03B6: Spec(F(tl, ... , td))
~ Adbe the
generic point of Ad and
let F’ be the Galois closure ofF/F[t1,..., td].
The Galois group
Gal(F’~/F(t1,..., td))
is a compact l-adic Lie group becauseGal(F~/K)
is one.Here F’~
dénotes the fraction field of F’. For everypoint 03C4 ~ Ad(F)
we can form thefollowing diagram,
in which all squares are cartesianIf 6’ is a
point
ofSpec(F’),
thedecomposition
group of (1’ inGal(F’~ / F(t1,
... ,td))
will be denotedby D03C3’.
It follows from[Se2, 10.6],
and inparticular
fromExample
1 and the theorem on page149,
that there is a thin subset Q cAd(F)
suchthat,
for allr c- Ad(F)
outside Q we have thatF’03C4
is a field and thatwhere 03C3’ ~
Spec(F’)
is theunique
closedpoint lying
over T. The reader is referred to[Se2, 9.1]
for anexplanation
of the concept of thin sets. In allpoints
r outside Q weautomatically
have thatF03C4
is a field. Theequality
we claim holds for all J
lying
over these T.Since F is hilbertian
by [Se2, 9.6],
thecomplement
of a thin set isinfinite,
so we can in fact choose a r with these
properties. Proposition
1.3follows. D
1.5 COROLLARY.
Suppose
that we are in the situationof
theproposition,
and that Q E S is a closedpoint fulfilling
the statementof
theproposition.
Thenwe have
1.6
Proof. By assumption,
we have a finite extension L of F and apoint
o E
S(L)
such that theimages
of the mapsand
are
equal.
We write R =EndK(X~).
Let us seewhy EndL(X03C3)
= R as well.There is a finite extension K’ of K such that
EndK"(X~)
= R for everyfinite extension K" of K’.
By [FW, VI, 3]
we havefor every such K". The group
03C1-103C303C1~(Gal(K/K’))
is a closed normalsubgroup
ofGal(L/L)
of finite index. Let L’ be the extension of Lcorresponding
to thissubgroup.
For all finite extensions L" of L’ we have thatis of finite index and hence
EndGal(L/L")(TlX03C3)
= R QZ,
for all such L". It follows thatEndL(X03C3)
(DZ,
= R QZl.
BecauseEndg(X,,)
ceEndL(X6)
andbecause the
quotient
is torsionfree,
it follows thatEndL(X6)
= R. D1.7 THEOREM. Let G be the
Mumford-Tate
groupof
an abelianvariety X/C.
Fix aprime
number 1. There exist a numberfield
F and an abelianvariety Y/F
withMumford-Tate
groupG,
such that theimage of
the l-adicGalois
representation
is an open and Zariski dense
subgroup of G(Q,),
1.8
Proof.
Once we have foundY/F
such thatim( p 1)
is Zariski dense inG(QI),
the fact that it is open for the 1-adictopology
follows from[Bo].
Let G’ =
[G, G]
be the derived group and C =Z’
be the connectedcentre of G. Since X is
polarizable,
G is reductiveby [De2, 3.6],
soG = G’ · C and G’ n C is finite. As
usual,
S denotes the Weil restrictionRC/RGm.
TheHodge
structure on V =H1(X(C), Q)
determines and is determinedby
a grouphomomorphism h:S ~ GR ~ GL(VR).
LetK~
cG(R)
be the centralizer of h and letG(R)°
andK0~
be the connected components of the unit element inG(R)
andK~ respectively.
For anysufficiently
small arithmeticsubgroup
r cG’(Q),
we can form the connec-ted Shimura
variety
It is well known that
Mc(C)
is the set of C-valuedpoints
of aquasi- projective
C-schemeMc
and that it is a component of a moduli space for abelian varieties over C with certainproperties,
see forexample [Del, 1.7].
By choosing
rsufficiently small,
we can make sure that it is torsionfree,
that
Mc
issmooth,
and that there exists a universalpolarized
abelianscheme
Xc ~ Mc.
Thevariety
X isisomorphic
to a fibre of thisfamily
andthe Mumford-Tate group of the
generic
fibre isequal
to G.By [De 1, 5.9], Mc
admits aquasi-canonical
model M over a number fieldF. We can assume that F is so
large
that the abelian scheme9ic
descendsto an abelian scheme
XIM.
We will denote the function field of Mby
Kand the inclusion of the
generic point by
1. There is a Galoisrepresentation
We claim that the Zariski closure of the
image
of thisrepresentation
contains G. This claim will be
proved afterwards,
let us first show that itimplies
the theorem.Proposition
1.3 allows us to find a closedpoint y
of M such that theimage
of the Galoisrepresentation
03C1l,Y associated to Y =Xy/F(y)
isequal
to the
image
of pi.By construction,
the Mumford-Tate group of Y is contained inG,
and the claimimplies
that G is contained in the Zariski closure ofim(pi,y).
It follows from[De2, 2.9b, 2.11] that,
afterreplacing F(y) by
a finiteextension,
theimage
of pl,y is Zariski dense in the Mumford-Tate group of Y. The Mumford-Tate group of Y is therefore in factequal
to G. Afterreplacing F(y) by
this finiteextension, im(03C1l,y)
is aZariski dense
subgroup
ofG(Ql).
This concludes theproof
that the claimimplies
thetheorem,
so we nowonly
need to prove the claim.We will first show that the Zariski closure of
im(03C1l)
contains G’. To thisend,
it suffices to show that the Zariski closure of theimage
of therepresentation
of the
algebraic
fundamental group at ageometric generic point
ofMc
isequal
to G’. This
image
isindependent
of the choice of the basepoint,
so it sufficesto prove the assertion for the
representation
for any
point
p EMc(C). By [AGV, XI, 4.3(iii)],
the category of finitetopologi-
cal covers of
Mc(C)
isequivalent
to the category of finite étale covers ofMc.
It therefore suffices to show that the
image
of thetopological
fundamentalgroup 03C01(Mc(C), p) acting
on V is Zariski dense in G’. ButG(R)’IK’ 00
ishomeomorphic
to R" for some n and r actsfreely
on this space, so03C01(Mc(C), p)
= r. If H is an almostsimple
factor of G overQ,
the groupH(R)°
is not compact. It therefore follows from
[Ma, 1,3.2.11]
that the Zariski closureof r is
equal
to G’.To conclude the
proof
of theclaim,
we will show that the Zariski closure ofim(pj)
contains a group which maps ontoG/G’. Let y
be a closedpoint
of Mcorresponding
to an abelianvariety
Y ofCM-type.
To show that such apoint exists,
it suffices to show that there is aspecial point
of M which is defined overQ.
This follows because the existence of aspecial point
inM(C)
isguaranteed by [Del, 5.1]
and the fact that M is aquasi-canonical
model ofMc implies
that all
special points
are defined overQ.
The Mumford-Tate groupof Yc
isa torus T c G. The
Hodge
structure onH,(Y(C), Q) ~
V is determinedby
amap h’: S -
TR
which isconjugate
to h: S ~GR by
an element ofG(R). Hence,
thecomposite
is
equal
to thecomposite
Since T and G are the smallest
subgroups of GL(V)
defined overQ containing
the
images
of h’ and hrespectively,
it follows that T maps ontoG/G’.
It followsfrom
[Po,
Th.4] that,
afterreplacing F(y) by
a finiteextension,
theimage
ofthe 1-adic Galois
representation
associated to Y is Zariski dense inT(Q,),
soby
1.2 the Zariski closure ofim(pl)
contains the groupT,
which maps ontoG/G’.
Thiscompletes
theproof
of the claim and hence that of the theorem. D2.
Properties
ofordinary
reduction2.1 It is known
(see [Tan, 5.5]
or[Ad, 6.2]) that,
for every natural numberk,
there are abelian varieties such that the Liealgebra
of the Mum-ford-Tate group G is
isomorphic
overQ
tosp(2) 2k+l
xGa. By
Theorem1.7,
thisimplies
that there exist abelian varieties such that theimage
of theassociated 1-adic Galois
representation
is open in the groupG(QI)
ofQl-valued points
of such a group G.In this section we will
study
theproperties
ofordinary
reduction of anabelian
variety
X over a number field F for which theLie-algebra
of theimage
of the Galoisrepresentation
is a
Ql-form
ofSp(2)2k+ 1
xGa.
2.2 THEOREM.
Suppose
that X is an abelianvariety of
dimension 22k overa
number field
F. Assumethat for
someprime
numberl,
the Zariski closureG, of
theimage of
the l-adic Galoisrepresentation satisfies
where
Sp(2)2k+ 1
acts onTlX
QQl
via the(2k
+1)th
tensor powerof
thestandard
representation.
Then there are afinite
extension F’of
F and a setP
of places of F’, of
Dirichletdensity 1,
such that X hasgood
andordinary
reduction at every
place
v E P.2.3
Proof.
Without loss ofgenerality,
we can assume thatG,
is connected.Let us consider the
weights
of therepresentation
of(G,)Q,.
Theweights
ofthe
representation
ofSp(2)2k+l
are thevertices {± e1 ± ···
±e2k + 1} of a hypercube
in R 2k+1.
Theweights
of therepresentation
of(Gl)Ql
are thetranslates of these
weights
over the vector e2k + 2 ER2k + 2,
the last coordinatecorresponding
to the connected centreGm.
Suppose
that m is aninteger
such that 16"’ > 8k + 4 and let F’ be a finite extension of Fcontaining
the lmth rootsof unity
andenjoying
the property that all elements of03C1l(Gal(Q/F’))
are congruent to id modulo l m. Let P’ be the set ofplaces
v of F’ with theproperties
that(a)
v does not divide1,
(b) X
hasgood
reductionXv
at v, and(c) p,(Frv)
generates a maximal torus ofGl,
i.e. the Zariski closure of thesubgroup
ofGl(Ql) generated by p,(Frv)
is a maximal torus ofG j .
It follows from
[Ch, 3.8]
that P’ has Dirichletdensity
1. Let P be thelargest
subset of P’ such that
(d)
F’ is unramified at theplaces
contained inP,
and(e)
all v ~ P havedegree
1.The set P also has Dirichlet
density
1. We will show thatXv
isordinary
foreach v E P.
Let v e P and suppose that v has residue characteristic p. Because v has
degree 1, X,
is defined over theprime
fieldFp.
The condition thatp,(Frv)
should generate a maximal torus of
G,
isequivalent
to the condition that itseigenvalues À,1’ ... , 03BB2g
should not have any moremultiplicative
relationswith
integer
coefficients than theweights
of therepresentation
of(Gl)Ql
onTlX
QQl
have additive relations. This means that we can map thesubgroup
ofQ* generated by 03BB1,..., 03BB2g injectively
to R2k + 2by mapping each
to thecorresponding weight.
From now on, we willidentify
thissubgroup
ofQ*
with itsimage
A in R2k + 2 andthe 03BBi
with the vertices of thehypercube
described above. Thealgebraic
numbercorresponding
toQ E A
will be denotedby
aQ.Conversely,
we writeQ.
for the element ofA
corresponding
to CXE~03BB1,..., 03BB2g~
~Q*.
Note that 03B1Q + R = CXQCXR andQ.0 = Q. + QO.
By [Tat],
theA,
are the zeros of apolynomial
with coefficients inZ,
soGal(Q/Q)
acts on the set{03BB1,..., 03BB2g}.
TheÀ,i satisfy
the same relations asthe vertices of the
hypercube,
so this action factorsthrough
the auto-morphism
group of thishypercube.
Because03BBi03BBi
= p for everycomplex conjugation
a H ex onQ,
there is a well definedcomplex conjugation
on thesubgroup
ofQ* generated by
the03BBi.
Becausethe 03BBi correspond
to thevertices of the
hypercube,
thiscomplex conjugation
acts on these vertices and sinceÀ,ili
= p, this action isgiven by
inversion of thehypercube
in itscentre e2k + 2. In other
words,
the action ofcomplex conjugation
on A isinduced
by
the map on R2k + 2given by
We also see that p
corresponds
to the vector2e2k + 2.
Let w be a valuation of
Q lying
over p, normalizedby w(p) =
1. Itgives
a map from
Q*
toQ
and hence a map 039B ~Q.
On the set{03BB1,..., 03BB2g},
Wtakes values in the interval
[0, 1]
and to prove thatXv
isordinary,
we haveto show that the
only
values it assumes are 0 and 1. To do so, we suppose that it does take another value andproceed
to derive a contradiction.For each 1
j 2k
+ 1 we putQ+j - 2ej + 2e2k + 2 ~ 039B
andQ-j = -2ej
+2e2k + 2.
Thealgebraic numbers 03B1+j = 03B1Q+j
and 03B1-j =aQT
have abso- lute value p for every archimedian absolute value onQ,
because each of these numbers is theproduct
of twoeigenvalues
of03C1l(Frv).
We claim that ourassumption
thatw(03BBi) ~ {0,1}
for some iimplies
thatw(at)
> 0 andw(aj)
> 0 forall j.
To showthis,
notethat,
forany j,
the set ofeigenvalues
ofp,(Fr v)
isthe union of the set of the
eigenvalues corresponding
to a vertex for which thejth
coordinate ispositive
and the set of theeigenvalues
for which this coordinate isnegative.
Ourassumption
onw(03BBi) implies
that both these sets contain aneigenvalue
ofp,(Fr v)
withpositive valuation, namely Â,
for the oneand À;
for the other subset. Let us assumethat 03BBi
lies in the former of these sets.Then
03B1+j - 03BBi03BBi’
for some i’ and hencew(at)
> 0.Similarly
we see thatw(03B1-j)
> 0.Because the group
Gal(Q/Q)
acts on the set{03BB1,..., 03BB2g} through
theautomorphism
group of thehypercube,
it acts on the set{03B1+j, 03B1-j}
1 j 2k + 1. We will be interested in thealgebraic integer
It is invariant under the action
of Gal(Q/Q)
and thereforej8eZ.
We also knowthat
w(03B2)
>0,
whencep|03B2,
and thatIfil (4k
+2)p.
Because of the
assumptions
onF’,
we know that the numbersat
arecongruent to 1 modulo
l m, so P
--- 4k + 2(mod 16"’).
Because v hasdegree
1 inF’ and since F’ contains the luth roots of
unity,
wehave p *
1(mod lm).
Itfollows
that fl
~(4k
+2)p (mod plm).
Because 16"’ > 8k +4,
the facts thatand
imply that fi = (4k
+2)p
and it follows that alla;
areequal
to p,contradicting
the fact that the
eigenvalues
ofp,(Fr v)
do notsatisfy
more relations than theweights
of pi. This means that ourassumption
thatw({03BBi}2gi = 1)
=1={0, 1}
wasincorrect and hence that X has
ordinary
reduction at v. 0Acknowledgements
1 should like to express my
gratitude
to Prof. F. Oort for his supportduring
the time 1 have been
working
on my thesis under his direction. The presentarticle is based on a part of this thesis. 1 thank Bas Edixhoven for
remarking
that Theorem2.2,
which 1 hadoriginally only proved
in aparticular
case, is true in thegenerality
in which it is stated here.Finally,
1 should like to thank the referee for
pointing
out aninaccuracy
in anearlier version of this paper.
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