I. J. Math. M. Sei. Vol. 4 No. 2 (1981) 321-335 321 ABSOLUTE CONTINUITY AND HYPONORMAL OPERATORS C.R. PUTNAM Department of Mathematics Purdue University West Lafayette, Indiana 47907 (Received July 18, 1980) Let T representation T ABSTRACT. eigenvalue of unitary. T* be a completely hyponormal operator, with the rectangular A + iB, on a separable Hilbert space. then T It is known that also has a polar factorization A, B and U If T 0 is not an UP, with U are all absolutely continuous operators. Conversely, given an arbitrary absolutely continuous selfadjoint or unitary U, it is shown that there exists a corresponding completely hyponormal operator as above. A It is then shown that these ideas can be used to establish certain known absolute continuity properties of various unitary operators by an appeal to a lemma in which, in one interpretation, a given unitary operator is regarded as a polar factor of some completely hyponormal The unitary operators in question are chosen from a number of sources: operator. the F. and M. Riesz theorem, dissipative and certain mixing transformations in ergodic theory, unitary dilation theory, and minimal normal extensions of subnormal contractions." KEY WORDS AND PHRASES. Szlfadjoint operators, uLtary op6rors, hyponormal operators, zrgodi theory, uitary dilations, subnormal opors. 1980 MATHEMATICS SUBJECT CLASSIFICATION CODES: 26A46, 28AI0, 47A35, 47A55, 47B47. Primary: 47B15, 47B20; Seaonday: i. INTRODUCTION. Let T be a bounded operator, with the rectangular decomposition 322 C.R. PUTNAM A + iB, T on a complex, separable Hilbert space u (T) and point spectrum by u (T) P and hyponormal if T*T TT* and completely hyponormal if, in addition, there is no nontrivial reducing space of T T -D -iC (C BA u(A) u(B) and completely hyponormal then then llEtxll 2 (1.1) Re (T), A (For a is hyponormal T If onto the u(T) are just the real projections of absolutely continuous, that is, if A 0), on which it is normal. see Putnam [2], p. 46. real and imaginary axes; is said to be has no normal part, that is, if recent survey of hyponormal operators, see Clancey [i]. then the sets T Then respectively. D -> 0, equivalently, AB _ H, and denote its spectrum It is known that if as well as Im (T) B T is Re (-iT), is has the spectral resolution A I tdEt (1.2) is an absolutely continuous function of t for every x in H; see [2], p. 42. Since (i.i) holds if T- zI, it is clear is replaced by its translate T (T) C U (T*), that if T is hyponormal then that if T is completely hyponormal then U P P and it is not hard to show up (T) is empty. is T Also, if completely hyponormal then it has a (unique) polar factorization UP, T if and only if T U unitary % (T*); 0 ence P (T’T) 1/2), (1.3) see the discussion in Putnam [3], pp. 419-420. is completely hyponormal with the factorization (1.3) then see [2], p. 21 and Lemma 4 of [4]. absolutely continuous; U If is also Thus, if U has the spectral resolution itdGt U 0 then IIGtxll 2 (1.4) 0 0 is an absolutely continuous function of t for every x in H. CONTINUITY AND HYPONORMAL OPERATORS 323 A converse of the above assertions concerning absolute continuity also holds, namely: (*) Every bounded absolutely continuous operator selfadoint A i__s th__e real part of some completely hyponormal operator. (**) Every absolutely continuous unitary operator U is the unitary factor in the polar factorization (1.3) of some completely hyponormal operator. That there exists some nonnormal hyponormal operator Re (T) A was shown by Kato [5], and that T for which can even be constructed so that T it is completely hyponormal can be deduced from Kato’s results. A direct proof of (*) will be given below however. Let T A O + iB0 0 (B0x) (t) n x where, for =-(i) [_ -I 2 (s-t)-ix(s)ds (A0x) A0B0 -iC B0A0 2 and T O -1 CoX where 0 (x,1)1 {A nl }, Since the vectors L (E). 2 0,1,2,..., span L (E), it is clear that 2 L (E) tx(t) (t) the integral being a Cauchy principal denotes the identity function on 1 having positive measure and let (-=,=) L (E), in It is easily verified that value. and be any bounded subset of E 0 is completely hyponormal on see, e.g., Clancey and Putnam [6], p. 452. It is now easy to prove (*). According to spectral multiplicity theory applied to absolutely continuous operators, is unitarily equivalent to, and A here will simply be assumed to be equal to, the following canonical representation. There exist disjoint Borel sets a nonempty subset of and H E n nee Z and H n (n E u) (AnXn) (t) H n then where each tXn(t) T n A 0 }, of for n Xn A is the direct sum of in Hn. T T Since each A O T n 0 E u n + iB0 on H An u and is has positive measure n Z A is a direct sum H n copies of Re(T), where En and where each The operator is a bQunded set. the direct sum, space {1,2,..., {En} on the real line, when A n on L2(En copies of is the real part of on the corresponding H n is completely hyponormal is a consequence of the properties of (n T O E u). on That 2 L (En) T 324 C.R. PUTNAM as described earlier, and so (*) is proved. T,T Although the selfcommutator of the above operator D TT* not be of trace class, it is clear that such a T need T could be constructed. This n could as well be replaced by is apparent from the fact that T n k=l (n 6 where the k l,...,n) are any positive constants whose total sum [ (A0+itnkB0), , tnk is finite. In order to prove (**), first choose operator on the Hilbert space U 0 H S {l }, n 0, i, n 2,..., sequence of numbers satisfying, say, 2 S 0 0 O U0P 0 Izl where i. lim An 1 lim A n n+ and 2. If H (bij) be doubly infinite matrices defined by aij ijlj and bij ijAj_l. Then WBW* where W is the unitary bilateral shift x (...,X_l (x0),Xl,...) + (...,x0, (Xl),X2,...), the parentheses referring to the 0 position. If is the x O be any bounded, strictly increasing n+- A S with a polar factorization is unitary with simple multiplicity on the entire unit circle For example, let the to be any completely hyponormal O bilateral sequence Hilbert space,’let UoA1/2 Op(D), (S 0). of [3]. U where S O W* 0 then Also, is completely hyponormal. (S In fact, In addition, U 0 {z: 1 0) A S0*S 0 SoS0* Izl S D B any Borel set O G (8)U 0 U 0 has the desired properties. have the spectral resolution 8 c [0,2] (See also section 3 below.) O G (8)H. S0(B) [7], pp. 326-327. e 0 O G (S) (Note that see also (3.2) below.) then a simple calculation shows that addition U it dG 0 t and, for 0 of positive measure, consider the unitary operator on the Hilbert space has positive measure; and, since see, e.g., Th. 1 and Th. 9 2 Next, let 0 B is nonsingular, that is, O / }; and (aij) A S0(8) is completely hyponormal on If S (8) 0 M 0 S =G0(B)U0[G 0(8) S0*S0G0(8)] % is hyponormal on O G (8)H; if and only if o G (8)H. In see Lemma 8 of Putnam From here on, the proof of (**) is essentially identical to that of (*) but where unitary operators now play the role formerly played by CONTINUITY AND HYPONORMAL OPERATORS selfadjoint ones. 325 Also, corresponding to a similar argument above, the completely hyponormal operator of (**) can be chosen so that T T*T TT* is of trace class. Absolutely continuous selfadjoint and unitary operators occur in various connections. The results of (*) and (**) indicate that the study of such operators can be reduced, at least in principle, to the study of the real part, or of the unitary factor in the polar factorization, of an appropriate completely hyponormal operator. In the sections below this (somewhat tendentious) point of view will be exploited to investigate certain unitary operators arising bilateral shifts and their role in the in the following situations: F. ad M. Riesz theorem and in dissipative and certain mixing transformations in ergodic theory; unitary dilations of contractions; minimal normal extensions of subnormal contractions. 2. A LEMMA. The following lemma (I) asserts some absolute continuity properties of operators effecting the unitary equivalence of two selfadjoint operators having a positive difference. As will be noted below, it concerns the unitary operators of polar factorizations of certain corresponding completely hyponormal operators. It will play a key role in later applications. LEMMA (I) space H and Le__t J and D b_e bounded, selfado.int operators on D ->_ 0 suppose that an__d 0. Le__t U b_e unitary a Hilbert with the spectral resolution (1.4) and suppose that J (i) UJU* If H is the least space reducing both containing the range of then U (2.1) D is absolutely continuous. D, J and U and (2.2) 326 C.R. PUTNAM (ii) l__f 8 is any Borel subset o__f [0,2] G (8) for which (and I whether or not (2.2) is satisfied) then 2IIDII lSl <- d(J) Here, max (J) (J) 181 and % (D), 0 that IIDII <-d (J) IIDII > 0 (I) denote the maximum and minimum points of J => k const > 0. so that T (The proof of a slightly is given in Putnam [8] under the added hypothesis or even if there exists a sequence D D 1 8 Note for which and a J2 Jl is any Borel subset of J J limllDnl d(Jn) for which 2 In order to prove (i), note that real constant 8. and that, in (ii), if there exists a whenever 0 (2.3) rain s(J) in which case, condition (2.2) is automatically assured.) corresponding sequence 181 max (J) denotes linear Lebesgue measure of that then (J) rain and different formulation of d(J) d(J) where [0,2] > 0 for which J can be replaced by kI (finite), G(8) 0. for any and hence there is no loss of generality in supposing that Then, in particular, is hyponormal. T That T UJ satisfies (I.i) by virtue of (2.1), is completely hyponormal is a consequence of (2.2) and, as noted in section 1 above, U is absolutely continuous. The proof of (ii) essentially has been given in [8]. An alternate proof can be obtained from an inequality concerning hyponormal operators derived in [4]. In fact, if T and if, for 0 et is any completely hyponormal operator with factorization (1.3) t < 2 (T) N {z: arg z then, for any Borel set 8 of t} and M(t) I et (2.4) rdr [0,2), IIG(8)DG(8)II -<_ [ (2.5) M(t)dt See Theorem 1 of [4], where the additional hypothesis that hyponormal is imposed. T is normal, D 0 T be completely This restriction is not necessary, however. and (2.5) becomes trivial. If T In fact, if is not normal, then one 327 CONTINUITY AND HYPONORMAL OPERATORS need only split off its normal part and then apply the result in [4] to the remaining completely hyponormal part of _ to a reducing subspace is a subset of the spectrum of T restriction of (Note that the spectrum of the T. the entire space.) UJ T If 1/2 as defined above, then clearly nax (J))1/2. M(t) Consequently, 1/2ax (J) on is a 1/2 in (J)) subset of the annulus centered at the origin with inner radius and outer radius (T) T min (J)) and (2.3) follows from (2.5). 3. BILATERAL SHIFTS Let U be unitary on K I Then space U UnK for and let H n be a subspace of 0 of (constant) multiplicity H (A dim K. has the spectral resolution (1.4) then it is known that U for any Borel subset 8 of [0,2], 181 0. This fact can be derived from ) as follows. Let {l }, n n be any bounded, nondecreasing sequence of real numbers. For any G(8) if and only if 0 J on be defined by H and so .i) holds with Z(A Dx strictly increasing, then An J and D satisfy 0 and d (J) AnXn. An-i )xn x (3.2) UnK. n 6 Clearly, D Next, if the l n IIDII 1 for 1 {A n n 0, +/-I, +/-2 x in one H Let the selfadjoint It is seen that and hence (2.2) holds. D), 0 for n 0 E Jx n (3.2) now follows from (i) of (I). that, say, E xn where x has the (unique) representation operators (3.1) satisfying the first part of (3.1) is called a wandering subspace of U.) If a bilateral shift operator for which H UnK I H and +2 +i is a bilateral shift on K K 0. UJU*x If now Z An_iXn {A } n The first half of sequence is chosen so i, then the corresponding and so the second part of (3.2) follows from (ii) of (I). The F. and M. Riesz theorem ] furnishes an interesting instance of how is C.R. PUTNAM 328 bilateral shifts can arise. Let A be normalized linear Lebesgue measure and any nonzero, finite, complex Borel measure on the unit circle C: Izl i. The F. and M. Riesz theorem is the assertion that znd for 0 (3.3) 1,2,..., n C implies (3.4) I[ that is, and 2 operator on L2(II) L A (II) spanned by are equivalent measures on z of multiplication by C. is the subspace of M and if is the unitary U If {z,z 2 ,...} then [ UnK M (3.5) n=0 where is the one-dimensional wandering subspace K I UnK. M UM and L2 (I I) See Sarason [10], pp. 14-18, Sarason [11], and Putnk [8]. It turns out ([81) that (3.4) is simply an interpretation of (3.2). It may be noted that the representation (3.5) is a form of what is usually called the Wold decomposition for isometries. (See Sz. Nagy and Foias [12], pp. for a statement of the theorem and some of its history. 3, 51 Perhaps it should be referred to as the von Neumann-Wold-Halmos decomposition. _ Another instance where the bilateral shift occurs comes from ergodic theory. Here, one has a system x (X,S,m,#) and a measure, m, defined on some -algebra, S, of subsets of 0 < re(X) (R). In addiion, preserving transformation of Let consisting of a measure space, X, of points U X, where is here assumed to be an invertible measure onto itself. X (See e.g., Brown [13], Halmos [14].) be the unitary operator defined by U: f(x) In case there exists a set / f((x)) A c S on 2 L (X,dm). for which m (A) > 0 (3.6) and the images CONTINUITY AND HYPONORMAL OPERATORS n(A) A n (n 0, _+i, +_2,...) generating set of X p. 11, Hopf [15], p. 46. In case In fact, if m(X) < In case 2 L (A,dm) K in this case it may happen that 2 L (X,dm) eigenvalue I. e R, where U X called a K-automorphism. see Halmos [14], K m(X) U of (3.6) has U 1 in its point being an eigenvector. However, even is a bilateral shift on the orthogonal R denotes the eigenspace corresponding to the (X,S,m,) is a Kolmogorov is a special type of mixing transformation For the definitions of these concepts, see Arnold and 2 L (X,dm) and the space 2 L (X,dm) R Then is the admits a R decomposition of the form (3.1) for some wandering subspace in this case, U and is a wandering Arez [16], pp. 32-35, 153-157, Brown [13], p. 39, problem 25. space of constants in is a 2 This happens, for instance, if (or K-) system, in which case then A then L (X,dm). H the unitary operatory spectrum, the characteristic function of complement A n is dissipative, then U, so that (3.1) holds with subspace of -0 X is said to be dissipative; and is a bilateral shift. are disjoint and 329 Incidentally, K. may be a bilateral shift of infinite multiplicity; cf. [16] pp. 156-157. 4. UNITARY DILATIONS Let T be a contraction (IITII =< i) on the Hilbert space known result of B. Sz.-Nagy that there exists a Hilbert space unitary operator U on K n T where P n pUn lH T. and a n (4.1) 0,i,2,..., P:K + H. Such a unitary T (It is easily verified that also *n U is called PU *n H for The minimal unitary dilation, which is known to be unique, is 1,2, then obtained by restricting and contains K D H with the property that is the orthogonal projection a unitary dilation of It is a well- H. H. U to the least subspace of K which reduces U (A brief discussion of unitary dilation theory, its history, applications, and references, can be found in Halmos I17]. For an extensive C.R. PUTNAM 330 treatment of the subject see Sz.-Nagy and Foias [12] and the more recent survey article of Douglas [18] Suppose now that the contraction T is completely nonunitary (c.n.u.), so that there is no nontrivial reducing space of Thus, either unitary. TT* # I. or T*T # I T on which its restriction is If the minimal unitary dilation, U, of such a contraction has the spectral resolution (1.4) then it is an important property of U that it satisfies (3.2), a result first established by B. Sz.-Nagy and C. Foias [19]. U In general, however, is itself not a bilateral shift, although (3.2) does imply that it always contains such a shift. precisely, there is a subspace of bilateral shift. K U which reduces More and on which it is a This is clear if one notes that (3.2) implies that spectral multiplicity of at least 1 at every point of the unit circle U has a zl i. It will be shown below how the assertion (3.2) for the minimal unitary dilation of a c.n.u, contraction can be deduced from the lemma (I) of section 2. First, a few preliminaries will be discussed. For the given contraction, the so-called defect operators are defined by D DT, TT*) (I 1/2, TD T (I T’T) T, 1/2 and and it is fairly easy to show that DT,T T see, e.g., [18], p. 165. T*DT, and DTT* (4.2) Let (4.3) where the parentheses refer to the 0 position. If one defines the operator matrix "I 0 D U 1 T (T) 0 -T* (4.4) DT, I CONTINUITY AND HYPONORMAL OPERATORS (0,0) refers to the (T) where on the space T unitary dilation of U element, then is readily verified to be a 1 of (4.3). K 1 331 This explicit construction In order to obtain the of a unitary dilation is due to J. J. Schaffer [20]. U minimal unitary dilation one need only restrict That even {G U which reduces K 1 t} U 1 and contains to the least subspace of 1 H. is absolutely continuous (that is, the "if" part of (3.2) if 1 U refers now to the spectral family of application of (i) of (I) of section 2. Let will be obtained as an I) {l }, n 0, +/-i, +/-2,..., n be a real sequence satisfying 10 i 2 -i -2 and const < n and define the selfadjoint diagonal operator matrix (4.5) of (4.3) by on J (4.6) 0 Ii A straightforward calculation using (4.2) and the (crucial) equality of (4.5) shows that UJU* J (l_l- 10)I D Also, in view of (4.5), D n clear from (4.7) that if and J is c.n.u., then T and since with the M I0 i H D M then M that is, 0 occurring there now replaced by absolutely continuous. In_ 1 and In > +/- c H. M n for M i, it is which reduces both is the least subspace of and contains the range of U (4.7) (I 12)I 0. I’s so that By choosing the (0) Since K I. and so M Thus, U 1 +/- reduces U (2.2) holds of (4.4) is This implies, of course, that its restriction to any nontrivial reducing subspace, and, in particular, the minimal unitary dilation, must also be absolutely continuous. Moreover, corresponding to a similar argument in section 3, one may choose n 1 if k 1 and 1 n 0 if n 2. Then (4.5) holds and if the 332 C.R. PUTNAM IIDII. d(J) 1 G(8) is defined by (4.6), with J corresponding 0, 8 family of U given by (4.7), then clearly D II It follows from (ii) of the lamina (I) that [0,27] being a Borel subset of whenever being the spectral However, the corresponding assertion for the minimal of (4.4). 1 {G t} and 0 unitary dilation does not immediately follow. of U 1 {Gt} (3.2) has been established when Thus, so far, is the spectral family {G t} but only the "if" part of (3.2) has been proved when (T U spectral family of the minimal unitary dilation being a c.n.u, contractior. x 0 of is in H DT,H for and n ->_ I. Then U [12], pp. 17-18.) for definiteness, that Note that similar. -I and T D is c.n.u., either 0. for 0 n (If D M T 0. + where 1 DT, 0, then clearly [0,27] 1 n I. Suppose, for Hence, by (ii) and if the minimal has the spectral resolution (1.4), then This establishes (See is nc restricted J IIDII d(J) 0. T. and 0, the treatment is invariant and K U reducing K or 0 be and in the closure -i DT, and 0 T is any Borel subset of UIIK U unitary dilation G(8) 8 n I is the minimal unitary dilation of K 1 of (4.6) leaves J of the lemma (I), if whenever D n for + x 0) If one chooses the sequence of (4.5) so that to this space. n T Since (x is the least subspace of K U X_l + DTH is in the closure of Xn H, so that containing + x of those vectors K In fact, let It is not hard to establish the "only if" part too however. the subspace of is the 181 0 (3.2) where the minimal unitary dilation has the spectral resolution (1.4). Incidentally, it can be shown that if dilation of a c.n.u. ontraction and L* closure of (U*- T*)H U*2L * K See [12], p. 57. restriction U U’L* 1 K is the minimal unitary K closure of CO-T)H L then U are wandering subspaces of L* H L UL The argument applied above to U on H (c K) on T U and U2L U 1 can now be applied directly to (4.8) and then to its on U on K of (4.8) in CONTINUITY AND HYPONORMAL OPERATORS order to establish, again, the relation (3.2) for 5. U. SUBNORMAL CONTRACTIONS Let T be subnormal on and a normal operator N a normal extension of T. extension, and T 333 N K’ on K’ so that there exists a Hilbert space H NH c H such that NIH. T and D H Then N is It is known that there is a unique minimal normal will henceforth be assumed to be of this type. is said to be completely subnormal if A subnormal It may be noted, has no normal part. T incidentally, that the subnormal operators constitute a proper subset of the set of hyponormal operators. (Concerning the basic properties of subnormal operators, A more elaborate treatment of subnormal operator theory can be found see [17]. in the recent tract of Conway and Olin [21]. Suppose now that T minimal normal extension of (The space K. H is a completely subnormal contraction on N K’ on and with the minimal unitary dilation is regarded as a subspace of and P denote the orthogonal projections P’ :K’ and U have the spectral resolutions I U zdG C has zl Tnx < 1 (C z {z: z Nnx punx 1}). and and continuous on zl N i! P:K / H, and let zdEz) Let P | hdG x z in n and H Hence, if x H, in x in H 8 be any closed subset of the unit circle continuous function on C such that (Clearly, such functions exist. # 1 N and r one 1,2,..., f is analytic on f(z)dE x z f(z)dG x and P’ f(z)dE x f(z)dG x. Consequently, if h P z z z C C then z <- 1 z < 1 and continuous on (real) function harmonic in hdEz x P’ Let is any P P U z -I then, for 1 K’. and of and H pu*nx. P’N*nx <= / K ZdEz(= x Then, for T*nx with the H on C 8 and _ (5.1) and let 0 < I # be a real on C 8. Then it is well-known that there exists an as described above (which can be given explicitly by the Poisson integral) for h C.R. PUTNAM 334 0 on h which In view of (5.1), one has C. "Iz I I I P’ hdE + z 0dEz )x fr x (5.2) H in C C <i 0dG zx P From basic max-rain properties of harmonic functions it is clear that 1 h 0 zl in and so, on forming inner products of the vectors in < 1 dllEzXll 2 -<_ x, one obtains (5.2) with C of functions 8 On 0 (n 1,2,...) 0dllGzXll C 2 On choosing a sequence converging to the characteristic function of one obtains IIE(8)xII IIG(8)xll -<_ x in (5.3) H. Since (5.3) holds for an arbitrary closed set also for any Borel set on C. on 8 C. 181 In particular, if Let 181 C 8 on it clearly holds denote Lebesgue arc length measure 0, then, in view of the absolute continuity of the minimal unitary dilation of a c.n.u, contraction (cf. section 4 above), G(8) for 0 (on K), and so n Since 0,1,2, spanned by the vectors Thus, if E(8) O. E(8)P’ 8 N {N*Nx: x 0 (on K’). Hence 0 is the minimal normal extension of H, n is any Borel subset of 0,i,2,... C }, for which E(8)N*np N*nE(8)P E(8) and so 181 K’ T is 0. then also 0 In other words, the min:kl normal extension of a completely subnoal contraction is absolutely continuous on the unit circle Izl 1. Other proofs of this last assertion can be found in Conway and Olin [21], p. 35, Olin [22], and Putnam [23]. ACknOWLEDGMENT. This work was supported by a National Science Foundation research grant. REFERENCES 74__2, I. CLANCEY, K. Seminormal operators, Lecture notes in mathematics, Springer-Verlag, 1979. 2. 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Soc., iO, No. 184, May, 1977. 22. OLIN, R. F. Functional relationships between a subnormal operator and its minimal normal extension, Thesis, Indiana Univ., 1975. 23. PUTNAM, C. R. Smooth operators and commutators, Studia Math., 31 (1968), 535-546. The F. and M. Riesz theorem revisited, Integral Equations and Operator Theory (to appear). Lectures on ergodic theory, Chelsea PUb. Co., 1956. Ergodentheorie, Chelsea PUb. Co., 1948. 388-394. A Hilbert space problem book, Van Nostrand Co., Inc., 1967. Peak sets and subnormal operators, Ill. Jour. Math., 21 (1977),