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Question: What are the (in characteristic 0 if needed) principal ideal domains that have finitely many units?

Can such rings be classified?

(This is a more specialised version of the question in Integral domains with finitely many units and got split off of this thread)

The well known examples are the imaginary quadratic integer rings of $\mathbb{Q} (\sqrt{d})$ for $d \in \{−1, −2, −3, −7, −11, −19, −43, −67, −163 \}$.

Is there a nice infinite family in characteristic 0?

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    $\begingroup$ Quite obvious, but $F[t]$ for $F$ finite field are examples (not of char. 0 of course). $\endgroup$
    – YCor
    Commented Apr 1, 2021 at 17:26
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    $\begingroup$ If one looks at the ring of integers in a number field, the unit group has rank $r+c-1$ where $r+2c=d$ is the degree of the extension. You want $r+c-1=0$ so $r+c=1$ which means $(r,c,d)$ is either $(0,1,2)$ or $(1,0,1)$. So the usual integers and your given list is the the only list. Note also that dimension considerations would seem to imply that this is only list for finitely generated rings over $\mathbb{Z}$. $\endgroup$
    – Kapil
    Commented Apr 2, 2021 at 6:05
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    $\begingroup$ Any finite subgroup of a domain is cyclic. If $R$ is a domain and $R^\times$ contains $C_n$ then it contains a root of the cyclotomic polynomial $\varphi_n(t)$ and so is an algebra over $R_0=\mathbb{Z}[e^{2\pi i/n}]$. If $R$ has characteristic zero then the map $R_0\to R$ will be injective, so $R^\times$ contains $R_0^\times$. But $R_0^\times$ is usually infinite, by @Kapil's comment. I think that the only exceptions are $n\in\{1,2,3,4,6\}$. $\endgroup$ Commented Apr 2, 2021 at 14:02
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    $\begingroup$ A trivial comment: any PID is Noetherian, so asking for the latter in your question is superfluous. $\endgroup$
    – Wojowu
    Commented Apr 2, 2021 at 14:16
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    $\begingroup$ With only the weaker assumption that any two elements have a gcd, which doesn't imply Noetherian-ness, there are more examples, such as the nonstandard integers (arising from an ultrafilter on the natural numbers). This shows that arguments that are "too local" can't work to classify these rings. $\endgroup$
    – Will Sawin
    Commented Apr 3, 2021 at 16:45

1 Answer 1

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There is not likely to be a good answer to this question, because of a very annoying Theorem due to Heinzer and Roitman:

If $D$ is any UFD, then there is a PID $R$ containing $D$ which has the same unit group as $D$ and such that every prime of $D$ remains prime in $R$.

Since UFD's with finite unit group are common, this will give lots of examples.

Here is a sketch of the proof of Heinzer and Roitman's result: If $D$ is a UFD, and $a$ and $b$ are relatively prime elements of $D$, set $D_{a,b} = D[x,y]/(ax+by-1)$. One can check that $D_{a,b}$ is a UFD and that the ideals $(a)$ and $(b)$ are comaximal in $D_{a,b}$; one can also check that $D^{\times} = D^{\times}_{a,b}$ and that prime elements of $D$ stay prime in $D_{a,b}$.

Using the $D_{a,b}$ construction and a transfinite induction procedure, we embed $D$ into a ring $R$ such that $R$ is a UFD and any two relatively prime elements of $R$ generate comaximal ideals. Such a UFD is necessarily a PID. One also has $R^{\times} = D^{\times}$, and every prime of $D$ stays prime in $R$. See Section 4 of Heinzer, William; Roitman, Moshe, Principal ideal domains and Euclidean domains having 1 as the only unit, Commun. Algebra 29, No. 11, 5197-5208 (2001). ZBL1094.13532. for the details.


As observed in the comments, if such a ring $A$ is finitely generated over $\mathbb{Z}$, it must be either be an order in the ring of integers in a number field, or else it must be the coordinate ring of an affine curve over $\mathbb{F}_q$.

In the first case, by Dirichlet's unit theorem, the number field $K$ must be an imaginary complkex field. Since PID's are integrally closed, $A$ must be the full ring of integers. The imaginary quadratic number fields with class number $1$ are well known, they are $\mathbb{Z}[\sqrt{-1}]$, $\mathbb{Z}[\sqrt{-2}]$ and $\mathbb{Z}[\tfrac{1+\sqrt{-D}}{2}]$ for $D \in \{ 3, 7, 11, 19, 43, 67, 163 \}$.


In the second case, let $A$ be the coordinate ring of an affine curve $U$ over $\mathbb{F}_q$, and let $X$ be the smooth projective curve completing $U$. By Dirichlet's unit theorem for function fields, $U \setminus X$ is a single closed point $x$; let that point $x$ have residue field $q^f$. Then $\mathrm{Pic}(U) = \mathrm{Pic}(X)/[x]$. We have a short exact sequence $$0 \to \mathrm{Pic}^0(X) \to \mathrm{Pic}(X) \to \mathbb{Z} \to 0$$ and the image of $[x]$ in $\mathbb{Z}$ is $f$ times the generator, so $\mathrm{Pic}(U)$ has a $\mathbb{Z}/f \mathbb{Z}$ quotient.

Our assumption that $A$ is a PID means that $\mathrm{Pic}(U)$ is trivial, so we deduce that $f=1$ and $x$ is an $\mathbb{F}_q$ point. In that case, we have $\mathrm{Pic}(U) = \mathrm{Pic}^0(X)$, so we must additionally have $\mathrm{Pic}^0(X)$ trivial. In other words, if $J$ is the Jacobian of $X$, we must have $J(\mathbb{F}_q)$ trivial.

Let's assume from now on that $X$ has genus $>0$, since genus $0$ gives us the case $\mathbb{F}_q[x]$, which we already know. Note that, with this assumption, requiring that $J(\mathbb{F}_q)$ be trivial imposes in particular that $X(\mathbb{F}_q)$ has at most one point.

Let $\lambda_1$, $\lambda_2$, ..., $\lambda_{2g}$ be the eigenvalues of $q$-power Frobenius on $X$. Then the size of $J(\mathbb{F}_q)$ is $\prod (\lambda_i-1)$. Each $\lambda_i$ is a complex number of norm $\sqrt{q}$, so $\lambda_i$ is a complex number of norm at least $\sqrt{q}-1$. Thus, all examples have $\sqrt{q}-1 \leq 1$, so $q \in \{ 2,3,4 \}$.

Heinzer and Roitman look at the $q=2$ case and give the examples of $y^2+y = x^3+x^2+1$ (genus one) and $y^2+y = x^5+x^3+1$ (genus two). For $q=3$, I noticed $y^2 = x^3-x+1$ (genus one) and for $q=4$ I noticed $y^2+y = x^3+\omega$ (genus one), where $\omega$ is a root of $\omega^2+\omega+1=0$ in $\mathbb{F}_4$. The eigenvalues of Frobenius in the genus $1$ cases are $\sqrt{2} e^{\pm(2 \pi i)/8} =1\pm i$, $\sqrt{3} e^{\pm(2 \pi i)/12} = \tfrac{3}{2} \pm \tfrac{\sqrt{-3}}{2}$ and $2$ (with multiplicity two). The eigenvalues of Frobenius in the genus $2$ case are $\sqrt{2} e^{\pm(2 \pi i)/24}$ and $\sqrt{2} e^{\pm 7(2 \pi i)/24}$, also known as $(1\pm i)\left( \tfrac{1\pm \sqrt{-3}}{2} \right)$.

I attempted to prove that the curves above were the only examples, but my proof had a gap. Fortunately, pregunton discovered a paper of Mercuri and Stirpe which lists all curves with $J(\mathbb{F}_q)$ trivial (both with $X(\mathbb{F}_q)$ singleton, like we want, and with $X(\mathbb{F}_q)$ empty). The curves listed above are cases (i), (ii), (vi) and (vii) on their list; I believe all the other curves on their list have $X(\mathbb{F}_q)$ empty.


Here is what I can salvage from my computation, which I still like:

There are no examples with $q=4$ and genus $>1$. If there were, then we would have $\lambda_1 = \lambda_2 = \cdots = \lambda_{2g}=2$. But then the number of points in $X(\mathbb{F}_4)$ would be $4-\sum \lambda_i + 1 = 5-4g<0$, a contradiction.

Now let $q$ be $2$ or $3$. We observe that $\sqrt{q}$ must have even multiplicity as an eigenvalue of Frobenius. Proof: We have $\#J(\mathbb{F}_q) = \prod (1-\lambda_j)$. Group together the terms with complex conjguate eigenvalues; then every factor except the one coming from $1-\sqrt{q}$ is a positive real, so $(1-\sqrt{q})$ must be raised to an even power as well. Using $\#J(\mathbb{F}_q) = \prod (\lambda_j-1)$, we see that $-\sqrt{q}$ likewise has even multiplicity.

Therefore, we can write the eigenvalues of Frobenius as $\sqrt{q} e^{\pm i \theta_j}$ for $1\leq \theta_j \leq g$, remembering to take both signs in the exponent even when $\theta_j$ is $0$ or $\pi$. Let $c_j = \cos \theta_j$.

The equation $X(\mathbb{F}_q)=1$ translates to $$q-2 \sqrt{q} \sum \cos \theta_j +1 =1 \ \implies \ \sum c_j = \tfrac{\sqrt{q}}{2} \quad (\ast)$$ The equation $J(\mathbb{F}_q)=1$ translates to $$\prod (q+1-2 \sqrt{q} c_j) = 1 \quad (\dagger).$$ We note that $(\ast)$ is a convex polytope whose vertices are $(1,1,\ldots,1, -1, -1, \ldots, -1, \tfrac{\sqrt{q}}{2})$ for $g$ odd and $(1,1,\ldots,1, -1, -1, \ldots, -1, \tfrac{\sqrt{q}}{2}-1)$ for $g$ even.

We will try to show that $\prod (q+1-2 \sqrt{q} c_j) \geq 1$ everywhere on this polytope. Note that $\log \prod (q+1-2 \sqrt{q} c_j)$ is concave, so it is enough to check the inequality at the vertices.

We compute that the value at the vertices is $$\begin{array}{c|cc} & g=2k+1 & g=2k+2 \\ \hline q=2 & 1 & (3-2 \sqrt{2}) (3 - 2 \sqrt{2} (\tfrac{\sqrt{2}}{2}-1)) \approx 0.657 \\ q=3 & 4^k & 4^k (4-2 \sqrt{3}) (4 - 2 \sqrt{3} (\tfrac{\sqrt{3}}{2}-1)) \approx 2.39 \times 4^k \\ \end{array}.$$

We see that the only solution with $q=3$ is $g=1$ with $c_1 = \tfrac{\sqrt{3}}{2}$.

If $q=2$ and $g=2k+1$, then $(\dagger)$ only occurs at the vertices of the polytope, corresponding to the eigenvalue sequence $\sqrt{2}$ (multiplicity $2k$), $-\sqrt{2}$ (multiplicity $2k$) and $1 \pm i$. However, this would lead to a curve with $1-4k$ points over $\mathbb{F}_4$, so this can only happen for $k=0$ (and thus $g=1$.)

However, I am unclear as to how to deal with the case of $q=2$, $g$ even. When $g=2$, the polytope is just a line segment and $(\dagger)$ occurs at two symmetrically placed points of the line segment, corresponding to $(c_1, c_2) = ( \tfrac{1 \pm \sqrt{3}}{\sqrt{2}}, \tfrac{1 \mp \sqrt{3}}{\sqrt{2}})$. However, for larger $k$, $(\dagger)$ occurs on a little $2k$-dimensional manifold in the corners of the polytope, and it isn't clear to me how to rule out more solutions here.


A fun fact is to note that none of these affine curve examples (except genus zero) will be Euclidean. This is due to the following nice exercise: If $A$ is a Euclidean domain and not a field, then there is some prime $\mathfrak{p}$ of $A$ such that $A^{\times} \to (A/\mathfrak{p})^{\times}$ is surjective. (Hint: Take a non-unit of minimal norm.) Since $U$ has no $\mathbb{F}_q$ points in any of these examples, all of the residue fields $A/\mathfrak{p}$ are proper extensions of $\mathbb{F}_q$, whereas $U^{\times} = \mathbb{F}_q^{\times}$.

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  • $\begingroup$ Remarks: I did go back and check that the curves are unique; they are. $\endgroup$ Commented Apr 9, 2021 at 12:47
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    $\begingroup$ I just found this paper which lists eight cases of function field with class number 1, including the four in your answer. $\endgroup$
    – pregunton
    Commented Apr 9, 2021 at 13:24
  • $\begingroup$ Huh, this paper takes a totally different approach. I used to like my approach better, but now I have discovered I miscomputed a term in the $q=2$, $g$ even case and my solution doesn't work. I'll go see how they handle it. $\endgroup$ Commented Apr 9, 2021 at 16:10
  • $\begingroup$ Oh, this is nice too! They get the same reduction to $q=2$ or $3$ that I do. Then they look at $\# X(\mathbb{F}_{q^a}$ in two ways. By Weil, this is $\geq q^a - 2 g q^{a/2} +1$. $\endgroup$ Commented Apr 9, 2021 at 18:02
  • $\begingroup$ But also, given any $\mathbb{F}_{q^a}$ point of $X$, summing up its $\mathrm{Gal}(\mathbb{F}_{q^a}/\mathbb{F}_q)$ conjugates gives a degree $a$ divisor defined over $\mathbb{F}_q$, which must be equivalent to $a x_{\infty}$ by the class number one hypothesis. Once $a$ is large enough for Riemann-Roch to kick in, the number of effective divisors equivalent to $a x^{\infty}$ is $\tfrac{q^{a-g+1}-1}{q-1}$. $\endgroup$ Commented Apr 9, 2021 at 18:03

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