Chapter 11

Compact operators and Fredholm theory

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Problem 11.1

Prove that an operator A∈B(X,Y)A \in \mathcal{B}(X, Y) is compact if and only if the image of the unit ball in XX is a precompact set in YY.

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Problem 11.2

Prove that a finite linear combination of compact operators is a compact operator.

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Problem 11.3

Prove that the composition of a compact and a bounded operator (in either order) is a compact operator.

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Problem 11.4

Prove that if {An}1∞\left\{ A_{n}\right\}_{1}^{\infty } are compact operators and An⇉AA_{n} \rightrightarrows A, then AA is also a compact operator.

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Problem 11.5

(J. Calkin, 1941). Let H be a separable Hilbert space. Prove that the unique nontrivial proper closed two-sided ideal in B(H)\mathcal{B}(H) is K(H)\mathcal{K}(H).

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Problem 11.6

Let XX and YY be Banach spaces, A∈K(X,Y)A \in \mathcal{K}(X, Y). Prove that AA can have a right inverse operator only in the case dim⁡Y<∞\operatorname {dim} Y < \infty. Prove that AA can have a left inverse operator only in the case dim⁡X<∞\operatorname {dim} X < \infty.

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Problem 11.7

Give an example of a sequence of compact operators {An}1∞\left\{ A_{n}\right\}_{1}^{\infty } in a Banach space XX such that An→sA∈B(X)A_{n} \xrightarrow {s} A \in \mathcal{B}(X), but AA is not a compact operator.

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Problem 11.8

Let XX and YY be normed spaces, A∈B(X,Y)A \in \mathcal{B}(X, Y). Prove that if dim⁡(Im⁡A)<∞\operatorname {dim}(\operatorname {Im} A) < \infty, then AA is compact.

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Problem 11.9

Let XX be a Banach space, A∈K(X,Y)A \in \mathcal{K}(X, Y), and let Y0⊂Im⁡AY_{0} \subset \operatorname {Im} A be a closed subspace. Prove that dim⁡Y0<∞\operatorname {dim} Y_{0} < \infty.

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Problem 11.10

Give an example of Banach spaces XX and YY and a non-compact operator A∈B(X,Y)A \in \mathcal{B}(X, Y) such that Im⁡A\operatorname {Im} A contains no infinite-dimensional closed subspaces.

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Problem 11.11

Let A∈B(X)A \in \mathcal{B}(X), where XX is a Banach space, and Im⁡A=X\operatorname {Im} A = X. Can the operator AA be compact?

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Problem 11.12

Let XX and YY be Banach spaces, A∈K(X,Y),B∈B(X,Y)A \in \mathcal{K}(X, Y), B \in \mathcal{B}(X, Y) and Im⁡B⊂Im⁡A\operatorname {Im} B \subset \operatorname {Im} A. Prove that B∈K(X,Y)B \in \mathcal{K}(X, Y).

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Problem 11.13

Let XX and YY be normed spaces, the operator A∈K(X,Y)A \in \mathcal{K}(X, Y). Prove that the space (Im⁡A,∥⋅∥Y)(\operatorname {Im} A,\left\| \cdot \right\|_{Y}) is separable.

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Problem 11.14

Let XX be a Banach space. Prove that the identity operator on it is compact if and only if XX is finite-dimensional.

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Problem 11.15

Prove that a projection operator in a Banach space is compact if and only if it is finite-dimensional.

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Problem 11.16

Let XX be a reflexive Banach space, let X∗X^{*} be separable, and A∈K(X)A \in \mathcal{K}(X). Prove that the image of the closed unit ball A(Bˉ(0,1))A(\bar{B}(0,1)) is a compact set. 1

Theorem 14.4 (S. Banach, 1932; L. Alaoglu, 1940): Let XX be a linear normed space. The closed unit ball of XX is compact in the weak topology if and only if XX is reflexive.

Footnotes

  1. The statement of the problem remains valid even without the condition of separability of the dual space (for the proof one must use Theorem 14.4). ↩

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Problem 11.17

Let XX be a Banach space. Prove that if for every operator A∈K(X)A \in \mathcal{K}(X) the image of the closed unit ball A(Bˉ(0,1))A(\bar{B}(0,1)) is a compact set, then the space XX is reflexive.

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Problem 11.18

Is it true that if in an infinite-dimensional normed space A2=0A^{2} = 0, then the operator AA is compact?

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Problem 11.19

Let XX be an infinite-dimensional Banach space, the operator A∈K(X)A \in \mathcal{K}(X), and the polynomial P(z)=anzn+an−1zn−1+…+a0P(z) = a_{n} z^{n}+a_{n-1} z^{n-1}+\ldots +a_{0}. Prove that if a0≠0a_{0} \neq 0, then P(A)≠0P(A) \neq 0. For an arbitrary polynomial P(z)P(z) with coefficient a0=0a_{0} = 0, give an example of a compact operator AA for which P(A)=0P(A) = 0.

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Problem 11.20

Prove that similar operators (see Definition 9.4) are either both compact or both non-compact.

Definition 9.4: Let XX and YY be normed spaces, A∈B(X)A \in \mathcal{B}(X), B∈B(Y)B \in \mathcal{B}(Y). The operators AA and BB are called similar if there exists a bounded operator SS with bounded inverse (that is, S∈IB(Y,X)S \in \mathcal{I B}(Y, X)) such that AS=SBA S = S B (notation A∼BA \sim B).

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Problem 11.21

Prove that a compact operator carries every weakly convergent sequence into a sequence convergent in norm.

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Problem 11.22

Prove that an operator in a reflexive space carrying every weakly convergent sequence into a sequence convergent in norm is compact. Give an example of an operator in a nonreflexive space carrying every weakly convergent sequence into a sequence convergent in norm, but which is not compact.

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Problem 11.23

Let XX and YY be Banach spaces, A∈K(X,Y)A \in \mathcal{K}(X, Y), the sequence xn⇀xx_{n} \rightharpoonup x in XX, the sequence fn⇀∗ff_{n} \stackrel{*}{\rightharpoonup } f in Y∗Y^{*}. Prove that fn(Axn)→f(Ax)f_{n}\left(A x_{n}\right) \rightarrow f(A x).

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Problem 11.24

Let XX and YY be Banach spaces, with YY separable. Let A∈B(X,Y)A \in \mathcal{B}(X, Y), and let the operator A′A^{\prime } carry every ∗*-weakly convergent sequence in Y∗Y^{*} into a sequence convergent in norm in X∗X^{*}. Prove that AA is compact.

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Problem 11.25

Let a Banach space XX be reflexive, and let X∗X^{*} be separable. Prove that every compact operator A∈K(X)A \in \mathcal{K}(X) attains its norm on the closed unit ball 1. Give an example of a compact operator in a nonreflexive space that does not attain its norm on the closed unit ball.

Theorem 14.4 (S. Banach, 1932; L. Alaoglu, 1940): Let XX be a linear normed space. The closed unit ball of XX is compact in the weak topology if and only if XX is reflexive.

Footnotes

  1. The statement of the problem remains valid even without the condition of separability of the dual space (for the proof one must use Theorem 14.4). ↩

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Problem 11.26

Prove that Sp⁡(X,Y)\operatorname {Sp}(X, Y) is a (in general, non-closed) linear subspace of K(X,Y)\mathcal{K}(X, Y). Prove that dim⁡Sp⁡(X,Y)=∞\operatorname {dim} \operatorname {Sp}(X, Y) = \infty, if dim⁡X=∞\operatorname {dim} X = \infty or dim⁡Y=∞\operatorname {dim} Y = \infty.

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Problem 11.27

On the linear space Sp⁡(X,Y)\operatorname {Sp}(X, Y) introduce the norm

∥A∥Sp⁡(X,Y)=inf⁡∑k=1∞∥Ak∥, \left\| A\right\| _{\operatorname {Sp}(X, Y)} = \inf \sum _{k = 1}^{\infty }\left\| A_{k}\right\| ,

where the infimum is taken over all representations of the operator AA as the sum of an absolutely convergent series A=∑k=1∞AkA = \sum_{k = 1}^{\infty } A_{k} of one-dimensional operators. Prove that this function satisfies the axioms of a norm. Prove the estimate ∥A∥B(X,Y)⩽∥A∥Sp(X,Y)\left\| A\right\|_{\mathcal{B}(X, Y)} \leqslant \left\| A\right\|_{\mathrm{Sp}(X, Y)}. Prove that the space Sp⁡(X,Y)\operatorname {Sp}(X, Y) is Banach with respect to the introduced norm.

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Problem 11.28

Prove that any Banach space in which there is a countable Schauder basis has the approximation property. Prove that any (not necessarily separable) Hilbert space has the approximation property.

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Problem 11.29

Suppose that a Schauder basis exists in a Banach space XX. Prove that the closure of the subspace of finite-dimensional operators in the sense of strong operator convergence in B(X)\mathcal{B}(X) coincides with B(X)\mathcal{B}(X).

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Problem 11.30

For which λ∈l∞\lambda \in l_{\infty } is the operator Ax=(λ1x1,…,λnxn,…)A x = \left(\lambda_{1} x_{1}, \ldots , \lambda_{n} x_{n}, \ldots \right) a compact operator in lp(1⩽p<∞)l_{p}(1 \leqslant p < \infty )? Under what conditions on the sequence λ\lambda is this operator nuclear?

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Problem 11.31

For which a∈L∞[a,b]a \in L_{\infty }[a, b] is the operator (Ax)(t)=a(t)x(t)(A x)(t) = a(t) x(t) a compact operator in Lp[0,1],p∈[1,∞]L_{p}[0,1], p \in [1, \infty ]? For which a∈C[0,1]a \in C[0,1] is the operator (Ax)(t)=a(t)x(t)(A x)(t) = a(t) x(t) compact in C[0,1]C[0,1]?

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Problem 11.32

Prove that any bounded operator acting from a reflexive space into the space l1l_{1} is compact. In particular, if A∈B(lp,l1),1<p<∞A \in \mathcal{B}\left(l_{p}, l_{1}\right), 1 < p < \infty, then A∈K(lp,l1)A \in \mathcal{K}\left(l_{p}, l_{1}\right).

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Problem 11.33

Prove that any bounded operator acting from the space c0c_{0} into a reflexive space is compact.

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Problem 11.34

Let A∈B(L2[0,1])A \in \mathcal{B}\left(L_{2}[0,1]\right) and Im⁡A⊂C[0,1]\operatorname {Im} A \subset C[0,1]. Prove that A∈K(L2[0,1])A \in \mathcal{K}\left(L_{2}[0,1]\right) (cf. problem 9.18).

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Problem 11.35

Prove that the operators of right and left shift in any of the spaces lp,p∈[1,∞],cl_{p}, p \in [1, \infty ], c or c0c_{0} are not compact.

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Problem 11.36

Prove that if K∈C([a,b]2)K \in C\left([a, b]^{2}\right), then the integral operator A:Lp[a,b]→Lr[a,b],(Ax)(t)=∫abK(t,s)x(s)dsA: L_{p}[a, b] \rightarrow L_{r}[a, b],(A x)(t) = \int_{a}^{b} K(t, s) x(s) d s, is compact for any p,r∈[1,∞)p, r \in [1, \infty ).

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Problem 11.37

Prove that if K∈Lq([a,b]2)K \in L_{q}\left([a, b]^{2}\right), then the integral operator A:Lp[a,b]→Lq[a,b],1p+1q=1,q<∞,(Ax)(t)=∫abK(t,s)x(s)dsA: L_{p}[a, b] \rightarrow L_{q}[a, b], \frac{1}{p}+\frac{1}{q} = 1, q < \infty ,(A x)(t) = \int_{a}^{b} K(t, s) x(s) d s, is compact.

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Problem 11.38

Prove that if the function K(t,s)K(t, s) is continuous on the square [a,b]2[a, b]^{2} except for a finite number of continuous curves of the form s=sk(t),k=1,…,n,t∈[a,b]s = s_{k}(t), k = 1, \ldots , n, t \in [a, b], then the integral operator A:C[a,b]→C[a,b],(Ax)(t)=∫abK(t,s)x(s)dsA: C[a, b] \rightarrow C[a, b],(A x)(t) = \int_{a}^{b} K(t, s) x(s) d s, is compact.

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Problem 11.39

Prove that the differentiation operator Ax=x′A x = x^{\prime } is not compact when acting:

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(a)

from C1[0,1]C^{1}[0,1] into C[0,1]C[0,1];

(b)

from W21[0,1]W_{2}^{1}[0,1] into L2[0,1]L_{2}[0,1].

Problem 11.40

Prove that the shift operator (Ax)(t)=x(t−a)(A x)(t) = x(t-a) is not compact in the spaces:

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(a)

Lp(R),p∈[1,∞]L_{p}(\mathbb {R}), p \in [1, \infty ];

(b)

C0(R)C_{0}(\mathbb {R});

(c)

BC(R)B C(\mathbb {R}).

Problem 11.41

Using problem 11.21, prove that the Hardy operator

(Ax)(t)=1t∫0tx(s)ds (A x)(t) = \frac{1}{t} \int _{0}^{t} x(s) d s

in the space Lp[0,1],p∈(1,∞)L_{p}[0,1], p \in (1, \infty ), is not compact.

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Problem 11.42
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(a)

Prove that any integral operator (Tx)(t)=∫01K(t,s)x(s)ds(T x)(t) = \int_{0}^{1} K(t, s) x(s) d s in the space L1[0,1]L_{1}[0,1] with measurable kernel satisfying the condition sup⁡s∈[0,1]∫01∣K(t,s)∣dt<∞\sup_{s \in [0,1]} \int_{0}^{1}\left|K(t, s)\right| d t < \infty is compact.

(b)
  • Prove that every compact operator TT in the space L1[0,1]L_{1}[0,1] can be written in this form.
Problem 11.43

Give an example of a non-compact bounded operator AA in the space Lp[0,1],p∈(1,∞)L_{p}[0,1], p \in (1, \infty ), and a sequence {xn}1∞⊂Lp[0,1]\left\{ x_{n}\right\}_{1}^{\infty } \subset L_{p}[0,1] with the properties

  1. xn⇀0x_{n} \rightharpoonup 0;

  2. ∥xn∥Lp=1\left\| x_{n}\right\|_{L_{p}} = 1 for all n∈Nn \in \mathbb {N};

  3. ∥Axn∥Lp→0\left\| A x_{n}\right\|_{L_{p}} \rightarrow 0 (cf. problem 11.22).

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Problem 11.44

Let XX be one of the spaces: lp,p∈(1,∞)l_{p}, p \in (1, \infty ), cc or c0c_{0}. Let A∈K(X)A \in \mathcal{K}(X), and {en=(0,0,…,0,1n,0,0,…)}n=1∞\left\{ e_{n} = (0,0, \ldots , 0,\underset {n}{1},0,0, \ldots )\right\}_{n = 1}^{\infty }. Prove that Aen→0A e_{n} \rightarrow 0. Give an example of a compact operator AA in the space l1l_{1} such that Aen↛0A e_{n} \nrightarrow 0.

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Problem 11.45

Prove that the operator AA of the form

Ax=(x1,x1+x22,x1+x2+x33,…) A x = \left(x_{1}, \frac{x_{1}+x_{2}}{2}, \frac{x_{1}+x_{2}+x_{3}}{3}, \ldots \right)

in the spaces lp,p∈(1,∞)l_{p}, p \in (1, \infty ), cc, and c0c_0, is bounded, not compact, but ∥Aen∥→0\left\| A e_{n}\right\| \rightarrow 0.

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Problem 11.46

Is the operator (Ax)(t)=12(x(t)+x(−t))(A x)(t) = \frac{1}{2}(x(t)+x(-t)) compact in the space C[−1,1]C[-1,1]?

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Problem 11.47

Let φ(t)\varphi (t) be a continuous map of the segment [0,1][0,1] into itself. Prove that the composition operator A∈B(C[0,1]),(Ax)(t)=x(φ(t))A \in \mathcal{B}(C[0,1]),(A x)(t) = x(\varphi (t)), is compact in C[0,1]C[0,1] if and only if φ(t)≡\varphi (t) \equiv const.

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Problem 11.48

(Theorem of I. K. Daugavet, 1963). Prove that for every compact operator AA in C[0,1]C[0,1] the equality ∥A+λI∥=∥A∥+∣λ∣(λ∈C)\left\| A+\lambda I\right\| = \left\| A\right\| +\left|\lambda \right|(\lambda \in \mathbb {C}) holds.

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Problem 11.49

Let, in a Hilbert space HH, the operator A∗AA^{*} A be compact. Prove that the operator AA is compact.

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Problem 11.50

Prove that in a Hilbert space the operator AA is compact if and only if A∗A^{*} is compact.

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Problem 11.51

Let AA be a self-adjoint nonnegative operator in a Hilbert space HH. Prove that AA is compact if and only if A\sqrt{A} is compact.

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Problem 11.52

Let A,BA, B and CC be self-adjoint operators in a Hilbert space, B⩽A⩽CB \leqslant A \leqslant C, where BB and CC are compact. Prove that AA is also compact.

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Problem 11.53

For which values of the parameter rr is the Hardy operator

A:L2[0,1]→L2[0,1],(Ax)(t)=tr−1∫0tx(s)srds A: L_{2}[0,1] \rightarrow L_{2}[0,1], \quad (A x)(t) = t^{r-1} \int _{0}^{t} \frac{x(s)}{s^{r}} d s

(see problem 6.33), compact?

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Problem 11.54

Prove that if A∈K(H)A \in \mathcal{K}(H), and {en}n=1∞\left\{ e_{n}\right\}_{n = 1}^{\infty } is an orthonormal basis of the space HH, then ∥Aen∥→0\left\| A e_{n}\right\| \rightarrow 0.

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Problem 11.55

Prove the compactness of the operator A:l2→l2A: l_{2} \rightarrow l_{2},

(Ax)k=∑n=1+∞aknxn, where ∑k=1+∞∑n=1+∞∣akn∣2<∞. (A x)_{k} = \sum _{n = 1}^{+\infty } a_{k n} x_{n}, \quad \text{ where } \quad \sum _{k = 1}^{+\infty } \sum _{n = 1}^{+\infty }\left|a_{k n}\right|^{2} < \infty .

Is the operator AA compact in l2l_{2} under the condition lim⁡i→∞∑j=1+∞∣aij∣2=0\lim_{i \rightarrow \infty } \sum_{j = 1}^{+\infty }\left|a_{i j}\right|^{2} = 0?

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Problem 11.56

Is the Hilbert operator (see problem 6.72), defined by the matrix {aij}i,j=1∞\left\{ a_{i j}\right\}_{i, j = 1}^{\infty }, where aij=1i+ja_{i j} = \frac{1}{i+j}, compact in the space l2l_{2}?

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Problem 11.57

Give an example of a compact operator AA in the space l2l_{2} whose matrix entries in the standard basis satisfy the relation ∑k=1∞∑n=1∞∣akn∣2=∞\sum_{k = 1}^{\infty } \sum_{n = 1}^{\infty }\left|a_{k n}\right|^{2} = \infty.

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Problem 11.58

Let Tr:(x1,x2,…)↦(0,x1,x2,…)T_{r}:\left(x_{1}, x_{2}, \ldots \right) \mapsto \left(0, x_{1}, x_{2}, \ldots \right) be the right shift operator in the space l2l_{2}. Prove that if a compact operator KK commutes with TrT_{r}, then K=0K = 0.

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Problem 11.59

Prove that the operator (Ax)(t)=∫−∞+∞e−∣t−s∣x(s)ds(A x)(t) = \int_{-\infty }^{+\infty } e^{-\left|t-s\right|} x(s) d s is not compact in the space L2(R)L_{2}(\mathbb {R}).

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Problem 11.60

Prove the compactness in the space L2[a,b]L_{2}[a, b] of the integral operator (Ax)(t)=∫abK(t,s)x(s)ds(A x)(t) = \int_{a}^{b} K(t, s) x(s) d s with kernel K∈L2([a,b]2)K \in L_{2}\left([a, b]^{2}\right).

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Problem 11.61

For which α∈(0,1)\alpha \in (0,1) is the operator

A:L2[0,1]→L2[0,1],(Ax)(t)=∫01x(s)∣t−s∣αds A: L_{2}[0,1] \rightarrow L_{2}[0,1], \quad (A x)(t) = \int _{0}^{1} \frac{x(s)}{|t-s|^{\alpha }} d s

compact?

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Problem 11.62

Prove the compactness of the operator A:L2[0,1]→L2[0,1]A: L_{2}[0,1] \rightarrow L_{2}[0,1], (Ax)(t)=∫011t−sln⁡1+t1+sx(s)ds(A x)(t) = \int_{0}^{1} \frac{1}{t-s} \ln \frac{1+t}{1+s} x(s) d s.

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Problem 11.63

Let HH be a Hilbert space, A∈K(H)A \in \mathcal{K}(H). Prove that there exists a vector x∈H,∥x∥=1x \in H,\left\| x\right\| = 1, such that ∥Ax∥=∥A∥\left\| A x\right\| = \left\| A\right\| (cf. problem 11.25).

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Problem 11.64

Let HH be a Hilbert space, A∈K(H)A \in \mathcal{K}(H), a vector x∈H,∥x∥=1x \in H,\left\| x\right\| = 1, and ∥Ax∥=∥A∥\left\| A x\right\| = \left\| A\right\|. Prove that the operator AA carries {x}⊥\left\{ x\right\}^{\perp } into {Ax}⊥\left\{ A x\right\}^{\perp }.

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Problem 11.65

Prove that similar operators in Banach spaces are either both Fredholm with equal indices, or both not Fredholm.

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Problem 11.66

Prove that every invertible operator in a Banach space is Fredholm.

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Problem 11.67

Let XX and YY be Banach spaces, A∈K(X,Y)A \in \mathcal{K}(X, Y). Prove that A∈F(X,Y)A \in \mathcal{F}(X, Y) if and only if both spaces XX and YY are finite-dimensional.

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Problem 11.68

Let XX be a Banach space and let AA be a Fredholm operator in XX. Prove that then the operator A′A^{\prime } is also Fredholm and α(A′)=β(A),β(A′)=α(A)\alpha \left(A^{\prime }\right) = \beta (A), \beta \left(A^{\prime }\right) = \alpha (A).

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Problem 11.69

Prove Theorems 11.5-11.8 for the case of a Hilbert space HH and a finite-dimensional operator A∈B(H)A \in \mathcal{B}(H).

Notation: for an operator A∈K(X)A \in \mathcal{K}(X) on a Banach space XX and the adjoint operator A′∈K(X∗)A^{\prime } \in \mathcal{K}\left(X^{*}\right) one considers four equations: (1) (I−A)x=y(I-A) x = y; (2) (I−A′)f=g\left(I-A^{\prime }\right) f = g; (3) (I−A)x=0(I-A) x = 0; (4) (I−A′)f=0\left(I-A^{\prime }\right) f = 0. Let M=Ker⁡(I−A)M = \operatorname {Ker}(I-A) (the solutions of equation (3)) and N=Ker⁡(I−A′)N = \operatorname {Ker}\left(I-A^{\prime }\right) (the solutions of equation (4)). For a pair x∈Xx \in X, f∈X∗f \in X^{*} one writes x⊥fx \perp f if f(x)=0f(x) = 0.

Theorem 11.5 (F. Riesz, 1918): If A∈K(X)A \in \mathcal{K}(X), then the operator I−AI-A is Fredholm.

Theorem 11.6 (first Fredholm theorem): Equation (1) (respectively, equation (2)) has a solution if and only if y⊥Ny \perp N (respectively, f⊥Mf \perp M).

Theorem 11.7 (second Fredholm theorem, or the Fredholm alternative): Either equation (1) (respectively, equation (2)) has a solution for every right-hand side, or equation (3) (respectively, equation (4)) has a nonzero solution.

Theorem 11.8 (third Fredholm theorem): dim⁡M=dim⁡N<∞\dim M = \dim N < \infty.

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Problem 11.70

Prove the first Fredholm theorem 11.6 for the case of a Hilbert space.

Theorem 11.6 (first Fredholm theorem): Let A∈K(X)A \in \mathcal{K}(X), A′A^{\prime } the adjoint operator, M=Ker⁡(I−A)M = \operatorname {Ker}(I-A), N=Ker⁡(I−A′)N = \operatorname {Ker}\left(I-A^{\prime }\right). The equation (I−A)x=y(I-A) x = y (respectively, the equation (I−A′)f=g\left(I-A^{\prime }\right) f = g) has a solution if and only if y⊥Ny \perp N (respectively, f⊥Mf \perp M). Here for a pair x∈Xx \in X, f∈X∗f \in X^{*} one writes x⊥fx \perp f if f(x)=0f(x) = 0.

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Remark.
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In an arbitrary Banach space the method used in the previous problem to prove the Fredholm theorems is not applicable, since the space may fail to have the approximation property (see Theorem 11.2).

Theorem 11.2 (P. Enflo, 1972): There exist separable Banach spaces without the approximation property. These spaces have no Schauder basis. Here (Definition 11.3) a space XX is said to have the approximation property if for every Banach space YY and every compact operator A∈K(Y,X)A \in \mathcal{K}(Y, X) there is a sequence of finite-dimensional operators {An}1∞\left\{ A_{n}\right\}_{1}^{\infty } converging to AA in the norm of B(Y,X)\mathcal{B}(Y, X).

Problem 11.71

The statements of problems 11.71-11.75 contain theorems from the beginning of Section 11.4; this problem must be solved without using Theorems 11.3-11.8 (their statements are given in problems 11.69, 11.74 and 11.79).

Let XX be a Banach space, A∈K(X)A \in \mathcal{K}(X) and T=I−AT = I-A. Prove that α(T)<∞\alpha (T) < \infty.

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Problem 11.72

The statements of problems 11.71-11.75 contain theorems from the beginning of Section 11.4; this problem must be solved without using Theorems 11.3-11.8 (their statements are given in problems 11.69, 11.74 and 11.79).

Let XX be a Banach space, A∈K(X)A \in \mathcal{K}(X) and T=I−AT = I-A. Prove that the subspace Im⁡T\operatorname {Im} T is closed in XX.

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Problem 11.73

The statements of problems 11.71-11.75 contain theorems from the beginning of Section 11.4; this problem must be solved without using Theorems 11.3-11.8 (their statements are given in problems 11.69, 11.74 and 11.79).

Let XX be a Banach space, A∈K(X)A \in \mathcal{K}(X) and T=I−AT = I-A. Prove that β(T)<∞\beta (T) < \infty.

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Problem 11.74

The statements of problems 11.71-11.75 contain theorems from the beginning of Section 11.4; this problem must be solved without using Theorems 11.3-11.8 (their statements are given in problems 11.69, 11.74 and 11.79).

Prove Theorem 11.3.

Theorem 11.3: If XX and YY are Banach spaces and A∈F(X,Y)A \in \mathcal{F}(X, Y) (that is, A∈B(X,Y)A \in \mathcal{B}(X, Y) is a Fredholm operator: the numbers α(A)=dim⁡Ker⁡A\alpha (A) = \dim \operatorname {Ker} A and β(A)=codim⁡Im⁡A\beta (A) = \operatorname {codim} \operatorname {Im} A are finite), then Im⁡A\operatorname {Im} A is closed (see problem 9.15).

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Problem 11.75

The statements of problems 11.71-11.75 contain theorems from the beginning of Section 11.4; this problem must be solved without using Theorems 11.3-11.8 (their statements are given in problems 11.69, 11.74 and 11.79).

Let XX be a Banach space, A∈K(X)A \in \mathcal{K}(X) and T=I−AT = I-A. Prove that:

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(a)

TT has finite ascent and equal finite descent mm;

(b)

for all natural kk the kernels Ker⁡(Tk)\operatorname {Ker}\left(T^{k}\right) are finite-dimensional, and the images Im⁡(Tk)\operatorname {Im}\left(T^{k}\right) are closed (see problems 6.54 and 6.56).

Problem 11.76

Let X,YX, Y and ZZ be Banach spaces, A∈F(Y,Z)A \in \mathcal{F}(Y, Z), B∈F(X,Y)B \in \mathcal{F}(X, Y). Prove that AB∈F(X,Z)A B \in \mathcal{F}(X, Z) and ind (AB)=(A B) = ind A+A+ ind BB.

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Problem 11.77

Let XX and YY be Banach spaces, A∈IB(X,Y)A \in \mathcal{I B}(X, Y) an invertible operator, T∈K(X,Y)T \in \mathcal{K}(X, Y). Prove that A+T∈F(X,Y)A+T \in \mathcal{F}(X, Y) and

ind⁡(A+T)=0 \operatorname {ind}(A+T) = 0
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Problem 11.78

Let XX and YY be Banach spaces, A∈F(X,Y)A \in \mathcal{F}(X, Y) and ind A=0A = 0. Without using Theorem 11.4, prove F. Riesz's decomposition theorem: there exists an invertible operator R∈IB(X,Y)R \in \mathcal{I B}(X, Y) and a finite-dimensional operator SS such that A=R+SA = R+S.

Theorem 11.4 (S. M. Nikol'skii, 1943): Let X,YX, Y be Banach spaces. An operator A∈B(X,Y)A \in \mathcal{B}(X, Y) is Fredholm if and only if it is almost invertible, that is, there exist operators R,L∈B(Y,X)R, L \in \mathcal{B}(Y, X) such that LA=IX+K1L A = I_{X}+K_{1}, AR=IY+K2A R = I_{Y}+K_{2}, where K1∈K(X)K_{1} \in \mathcal{K}(X), K2∈K(Y)K_{2} \in \mathcal{K}(Y). Moreover, the operators RR and LL can be chosen equal and such that K1K_{1} and K2K_{2} are finite-rank (finite-dimensional) operators.

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Problem 11.79

Prove Theorem 11.4.

Definition 11.5: Let X,YX, Y be Banach spaces. An operator A∈B(X,Y)A \in \mathcal{B}(X, Y) is called almost invertible if there exist operators R∈B(Y,X)R \in \mathcal{B}(Y, X), L∈B(Y,X)L \in \mathcal{B}(Y, X) such that LA=IX+K1L A = I_{X} + K_{1}, AR=IY+K2A R = I_{Y} + K_{2}, where K1∈K(X)K_{1} \in \mathcal{K}(X), K2∈K(Y)K_{2} \in \mathcal{K}(Y).

Theorem 11.4 (S. M. Nikol'skii, 1943): Let X,YX, Y be Banach spaces. An operator A∈B(X,Y)A \in \mathcal{B}(X, Y) is Fredholm (that is, dim⁡Ker⁡A<∞\dim \operatorname {Ker} A < \infty and codim⁡Im⁡A<∞\operatorname {codim} \operatorname {Im} A < \infty) if and only if it is almost invertible. Moreover, the operators RR and LL can be chosen equal and such that K1K_{1} and K2K_{2} are finite-rank (finite-dimensional) operators.

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Problem 11.80

(First index stability theorem). Let XX and YY be Banach spaces, S∈F(X,Y),T∈K(X,Y)S \in \mathcal{F}(X, Y), T \in \mathcal{K}(X, Y). Prove that S+T∈F(X,Y)S+T \in \mathcal{F}(X, Y) and

ind⁡(S+T)=ind⁡S \operatorname {ind}(S+T) = \operatorname {ind} S
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Problem 11.81

(Second index stability theorem). Let XX and YY be Banach spaces, S∈F(X,Y)S \in \mathcal{F}(X, Y). Prove that there exists ε>0\varepsilon > 0 such that for every operator T∈B(X,Y)T \in \mathcal{B}(X, Y) with ∥T∥<ε\left\| T\right\| < \varepsilon the inclusion S+T∈F(X,Y)S+T \in \mathcal{F}(X, Y) holds together with the equality ind⁡(S+T)=ind⁡S\operatorname {ind}(S+T) = \operatorname {ind} S.

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Problem 11.82

Let X⊂YX \subset Y be Banach spaces. Prove that the embedding operator J:X→YJ: X \rightarrow Y is Fredholm if and only if the codimension of the linear space XX in YY is finite.

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Problem 11.83

Prove that a projection operator in a Banach space is Fredholm if and only if its image has finite codimension.

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Problem 11.84

Prove that the following operators are Fredholm:

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(a)

(Ax)(t)=x′(t);A:C1[0,1]→C[0,1](A x)(t) = x^{\prime }(t) ; A: C^{1}[0,1] \rightarrow C[0,1];

(b)

(Ax)(t)=∫0tx(s)ds;A:C[0,1]→C1[0,1](A x)(t) = \int_{0}^{t} x(s) d s ; A: C[0,1] \rightarrow C^{1}[0,1].

Find the numbers α(A),β(A)\alpha (A), \beta (A) and ind⁡A\operatorname {ind} A.

Problem 11.85

Under what conditions on the sequence {λn}1∞∈l∞\left\{ \lambda_{n}\right\}_{1}^{\infty } \in l_{\infty } is the operator Ax=(λ1x1,λ2x2,…,λnxn,…)A x = \left(\lambda_{1} x_{1}, \lambda_{2} x_{2}, \ldots , \lambda_{n} x_{n}, \ldots \right) in lpl_{p}, where 1⩽p<∞1 \leqslant p < \infty, a Fredholm operator? In those cases where the operator is Fredholm, compute α(A),β(A)\alpha (A), \beta (A) and ind AA.

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Problem 11.86

Under what conditions on the function aa is the operator (Ax)(t)=a(t)x(t)(A x)(t) = a(t) x(t) Fredholm:

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(a)

in L2[0,1](a∈L∞[0,1])L_{2}[0,1]\left(a \in L_{\infty }[0,1]\right);

(b)

in C[0,1](a∈C[0,1])C[0,1](a \in C[0,1])?

In those cases where the operator is Fredholm, compute α(A),β(A)\alpha (A), \beta (A) and ind AA.

Problem 11.87

Prove that the operators of right and left shift in any of the spaces lp,p∈[1,∞]l_{p}, p \in [1, \infty ], cc or c0c_{0} are Fredholm. Compute the deficiency numbers and index for these operators.

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Problem 11.88

Prove that the operator (Ax)(t)=x(t+a)(A x)(t) = x(t+a) is Fredholm in any of the spaces Lp(R),p∈[1,∞],BC(R)L_{p}(\mathbb {R}), p \in [1, \infty ], B C(\mathbb {R}). Compute α(A)\alpha (A), β(A)\beta (A) and ind⁡A\operatorname {ind} A for this operator in each of the indicated spaces.

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Problem 11.89

Let {en}1∞\left\{ e_{n}\right\}_{1}^{\infty } be an orthonormal basis in a Hilbert space HH, and let the system {xn}1∞\left\{ x_{n}\right\}_{1}^{\infty } be quadratically close to it, i.e., ∑n=1∞∥xn−en∥2<∞\sum_{n = 1}^{\infty }\left\| x_{n}-e_{n}\right\|^{2} < \infty. Prove that under these conditions the following statements are equivalent:

  1. the system {xn}1∞\left\{ x_{n}\right\}_{1}^{\infty } is complete;

  2. the system {xn}1∞\left\{ x_{n}\right\}_{1}^{\infty } is minimal;

  3. the system {xn}1∞\left\{ x_{n}\right\}_{1}^{\infty } is a Riesz basis. 1

Footnotes

  1. Compare with problems 3.68 and 10.64. ↩

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Problem 11.90

Prove that the general solution of the equation

x(t)−∫ab(∑i=1npi(t)qi(s))x(s)ds=y(t) x(t)-\int _{a}^{b}\left(\sum _{i = 1}^{n} p_{i}(t) q_{i}(s)\right) x(s) d s = y(t)

(with respect to the function xx, with yy known) has the form

x(t)=∑i=1ncipi(t)+y(t) x(t) = \sum _{i = 1}^{n} c_{i} p_{i}(t)+y(t)

here ci∈C,1⩽i⩽nc_{i} \in \mathbb {C}, 1 \leqslant i \leqslant n, are solutions of the system of equations

∑j=1naijcj=bi,i=1,…,n \sum _{j = 1}^{n} a_{i j} c_{j} = b_{i}, \quad i = 1, \ldots , n

where the coefficients aija_{i j} and bib_{i} depend on y,piy, p_{i} and qiq_{i}. State the Fredholm alternative in terms of the matrix aija_{i j} and the right-hand side bib_{i}. Assume the functions pip_{i} to be linearly independent.

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Problem 11.91

In the space C[0,1]C[0,1], find the solution of the following integral equations for all values of the complex parameters λ,α,β\lambda , \alpha , \beta and γ\gamma:

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(a)

x(t)−λ∫01tsx(s)ds=α+βt+γt2x(t)-\lambda \int_{0}^{1} t s x(s) d s = \alpha +\beta t+\gamma t^{2};

(b)

x(t)−λ∫01(ts+t2s2)x(s)ds=αtx(t)-\lambda \int_{0}^{1}\left(t s+t^{2} s^{2}\right) x(s) d s = \alpha t.

Problem 11.92

In the space C[0,π]C[0, \pi ], find the solution of the following integral equations for all values of the complex parameters λ,α\lambda , \alpha and β\beta:

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(a)

x(t)−λ∫0πcos⁡(t−s)x(s)ds=αsin⁡t+βcos⁡t;x(t)-\lambda \int_{0}^{\pi } \cos (t-s) x(s) d s = \alpha \sin t+\beta \cos t ;

(b)

x(t)−λ∫0πcos⁡(t+s)x(s)ds=αsin⁡t+βcos⁡tx(t)-\lambda \int_{0}^{\pi } \cos (t+s) x(s) d s = \alpha \sin t+\beta \cos t.

Problem 11.93

Under what conditions on the function y∈L2[0,π]y \in L_{2}[0, \pi ] and the parameter λ∈C\lambda \in \mathbb {C} does the equation

x(t)+λ∫0πsin⁡(t−s)x(s)ds=y(t) x(t)+\lambda \int _{0}^{\pi } \sin (t-s) x(s) d s = y(t)

have a unique solution in the space L2[0,π]L_{2}[0, \pi ]?

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Problem 11.94

Find all β∈R\beta \in \mathbb {R} for which the equation

x(t)+∫01(1+αts)x(s)ds=β+t2 x(t)+\int _{0}^{1}(1+\alpha t s) x(s) d s = \beta +t^{2}

is solvable in L2[0,1]L_{2}[0,1] for every α∈R\alpha \in \mathbb {R}.

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Problem 11.95

In the space L2[0,1]L_{2}[0,1], find the solution of the following integral equations for all values of the complex parameters λ,a\lambda , a and bb:

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(a)

x(t)−λ∫013tsx(s)ds=at+4t2x(t)-\lambda \int_{0}^{1} 3 t s x(s) d s = a t+4 t^{2};

(b)

x(t)−λ∫015t2s2x(s)ds=4t+bt2x(t)-\lambda \int_{0}^{1} 5 t^{2} s^{2} x(s) d s = 4 t+b t^{2}.

Problem 11.96

In the space L2[0,1]L_{2}[0,1], find the solution of the following integral equations for all values λ∈C\lambda \in \mathbb {C}:

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(a)

x(t)−λ∫01min⁡(t,s)x(s)ds=0x(t)-\lambda \int_{0}^{1} \min (t, s) x(s) d s = 0;

(b)

x(t)+λ∫01max⁡(t,s)x(s)ds=0x(t)+\lambda \int_{0}^{1} \max (t, s) x(s) d s = 0.

Problem 11.97

In the space L2[0,1]L_{2}[0,1], find the solution of the integral equation for all values λ∈C\lambda \in \mathbb {C}:

x(t)+λ∫01(ts−min⁡(t,s))x(s)ds=y(t) x(t)+\lambda \int _{0}^{1}(t s-\min (t, s)) x(s) d s = y(t)

if

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(a)

y(t)=ty(t) = t;

(b)

y(t)=sin⁡2πty(t) = \sin 2 \pi t.

Problem 11.98

In the space L2[0,1]L_{2}[0,1], find the solution of the integral equation for all values λ∈C\lambda \in \mathbb {C}:

x(t)+λ∫01(12−∣t−s∣)x(s)ds=y(t) x(t)+\lambda \int _{0}^{1}\left(\frac{1}{2}-\left|t-s\right|\right) x(s) d s = y(t)

if

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(a)

y(t)=cos⁡πty(t) = \cos \pi t;

(b)

y(t)=cos⁡2πty(t) = \cos 2 \pi t.

Problem 11.99

In the space L2[0,1]L_{2}[0,1], find the solution of the integral equation for all values λ∈C\lambda \in \mathbb {C}:

x(t)+λ∫01(ts+max⁡(t,s))x(s)ds=y(t) x(t)+\lambda \int _{0}^{1}(t s+\max (t, s)) x(s) d s = y(t)

if

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(a)

y(t)=cos⁡πty(t) = \cos \pi t;

(b)

y(t)=cos⁡2πty(t) = \cos 2 \pi t.

Problem 11.100

Is the Fredholm equation of the first kind

∫0t(t−s)x(s)ds=y(t) \int _{0}^{t}(t-s) x(s) d s = y(t)

solvable where

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(a)

y(t)=sin⁡ty(t) = \sin t;

(b)

y(t)=cos⁡ty(t) = \cos t;

(c)

y(t)=sin⁡2ty(t) = \sin^{2} t in the spaces C[0,π];Lp[0,π],p∈[1,∞]C[0, \pi ] ; L_{p}[0, \pi ], p \in [1, \infty ]?