format: text

text:
# Theorem 1

Real Polynomial Diffeomorphisms with Maximal Entropy:

Tangencies

Eric Bedford\* and John Smillie**Research supported in part by the NSF.

§0. Introduction

This paper deals with some questions about the dynamics of diffeomorphisms of $`𝐑^2`$. A “model family” which has played a significant historical role in dynamical systems and served as a focus for a great deal of research is the family introduced by Hénon, which may be written as

$$f_{a,b}(x,y)=(abyx^2,x)b0.$$

When $`b0`$, $`f_{a,b}`$ is a diffeomorphism. When $`b=0`$ these maps are essentially one dimensional, and the study of dynamics of $`f_{a,0}`$ reduces to the study of the dynamics of quadratic maps

$$f_a(x)=ax^2.$$

Like the Hénon diffeomorphisms of $`𝐑^2`$, the quadratic maps of $`𝐑`$, have also played a central role in the field of dynamical systems.

These two families of dynamical systems fit together naturally, which raises the question of the extent to which the dynamics is similar. One difference is that our knowledge of these quadratic maps is much more thorough than our knowledge of these quadratic diffeomorphisms. Substantial progress in the theory of quadratic maps has led to a rather complete theoretical picture of their dynamics and an understanding of how the dynamics varies with the parameter. Despite significant recent progress in the theory of Hénon diffeomorphisms, due to Benedicks and Carleson and many others, there are still many phenomena that are not nearly so well understood in this two dimensional setting as they are for quadratic maps.

One phenomenon which illustrates the difference in the extent of our knowledge in dimensions one and two is the dependence of the complexity of the system on parameters. In one dimension the nature of this dependence is understood, and the answer is summarized by the principle of monotonicity. Loosely stated, this is the assertion that the complexity of $`f_a`$ does not decrease as the parameter $`a`$ increases. The notion of complexity used here can be made precise either in terms of counting periodic points or in terms of entropy. The paper \[KKH\] shows that monotonicity is a much more complicated phenomenon for diffeomorphisms. In this paper we will focus on one end of the complexity spectrum, the diffeomorphisms of maximal entropy, and we will show to what extent the dynamics in the two dimensional case are similar to the dynamics in the one dimensional case. In the case of quadratic maps complex techniques proved to be an important tool for developing the theory. In this paper we apply complex techniques to study quadratic (and higher degree) diffeomorphisms.

Topological entropy is a measure of dynamical complexity that can be defined either for maps or diffeomorphisms. By Friedland and Milnor \[FM\] the topological entropy of Hénon diffeomorphisms satisfies: $`0h_{top}(f_{a,b})\mathrm{log}2`$. We will say that $`f`$ has maximal entropy if the topological entropy is equal to $`\mathrm{log}2`$. The notion of maximal entropy makes sense for polynomial maps of $`𝐑`$ as well as polynomial diffeomorphisms of $`𝐑^2`$ of degree greater than two. In either of these cases we say that $`f`$ has maximal entropy if $`h_{top}(f)=\mathrm{log}(d)`$ where $`d`$ is the algebraic degree of $`f`$ and $`d2`$. We will see that this condition is equivalent to the assumption that $`f^n`$ has $`d^n`$ (real) fixed points for all $`n`$.

The quadratic maps $`f_a`$ of maximal entropy are those with $`a2`$. These maps are hyperbolic (that is to say expanding) for $`a>2`$, whereas the map $`f_2`$, the example of Ulam and von Neumann, is not hyperbolic. Examples of maps of maximal entropy in the Hénon family were given by Devaney and Nitecki \[DN\] (see also \[HO\] and \[O\]), who showed that for certain parameter values $`f_{a,b}`$ is hyperbolic and a model of the Smale horseshoe. Examples of maximal entropy polynomial diffeomorphisms of degree $`d2`$ are given by the $`d`$-fold horseshoe mappings of Friedland and Milnor (see \[FM, Lemma 5.1\]).

We will see that all polynomial diffeomorphisms of maximal entropy (whether or not they are hyperbolic) exhibit a certain form of expansion. Hyperbolic diffeomorphisms have uniform expansion and contraction which implies uniform expansion and contraction for periodic orbits. To be precise, let $`p`$ be a point of period $`n`$ for a diffeomorphism $`f`$. We say that $`p`$ is a saddle point if $`Df^n(p)`$ has eigenvalues $`\lambda ^{s/u}`$ with $`|\lambda ^s|<1<|\lambda ^u|`$. If $`f`$ is hyperbolic then for some $`\kappa >1`$ independent of $`p`$ we have $`|\lambda ^u|\kappa ^n`$ and $`|\lambda ^s|\kappa ^n`$. On the other hand it is not true that uniform expansion/contraction for periodic points implies hyperbolicity. A one dimensional example of a map with expansion at periodic points which is not hyperbolic is given by the Ulam-von Neumann map. This map is not expanding because the critical point, $`0`$, is contained in the non-wandering set, $`[2,2]`$ (which is also equal to $`K`$). The map satisfies the above inequalities with $`\kappa =2`$. In fact for every periodic point of period $`n`$ except the fixed point $`p=2`$ we have $`|Df^n(p)|=2^n`$. At $`p=2`$ we have $`n=1`$ yet $`|Df^n(p)|=4`$.

###### Theorem 1

If $`f`$ is a maximal entropy polynomial diffeomorphism, then

(1) Every periodic point is a saddle point.

(2) Let $`p`$ be a periodic point of period $`n`$. Then $`|\lambda ^s(p)|<1/d^n`$, and $`|\lambda ^u(p)|>d^n`$.

(3) The set of fixed points of $`f^n`$ has exactly $`d^n`$ elements.

Let $`K`$ be the set of points in $`𝐑^2`$ with bounded orbits. In Theorem 5.2 (below) we show that $`K`$ is a Cantor set for every maximal entropy diffeomorphism. By \[BS8, Proposition 4.7\] this yields the strictness of the inequalities in (2). Note that the situation for maps of maximal entropy in one variable is different. In the case of the Ulam-von Neuman map $`K`$ is a connected interval and the strict inequalities do not hold.

We note that by \[BLS\], condition (3) implies that $`f`$ has maximal entropy. Thus we see that condition (3) provides a way to characterize the class of maximal entropy diffeomorphisms which makes no explicit reference to entropy. As was noted above, we can define the set of maximal entropy diffeomorphisms using either notion of complexity: they are the polynomial diffeomorphisms for which entropy is as large as possible, or equivalently those having as many periodic points as possible.

For the Ulam-von Neumann map the fixed point $`p=2`$ which is the left-hand endpoint of $`K`$ is distinguished as was noted above. This distinction has an analog in dimension two. Let $`p`$ be a saddle point. Let $`W^{s/u}(p)`$ denote the stable and unstable manifolds of $`p`$. These sets are analytic curves. We say a periodic point $`p`$ is $`s/u`$ one-sided if only one component of $`W^{s/u}\{p\}`$ meets $`K`$. For one-sided periodic points the estimates of Theorem 1 (2) can be improved. If $`p`$ is $`s`$ one-sided, then $`|\lambda ^s(p)|<1/d^{2n}`$; and if $`p`$ is $`u`$ one-sided, then $`|\lambda ^u(p)|>d^{2n}`$.

The set of parameter values corresponding to diffeomorphisms of maximal entropy is closed, while the set of parameter values corresponding to hyperbolic diffeomorphisms is open. It follows that not all maximal entropy diffeomorphisms are hyperbolic. We now address the question: which properties of hyperbolicity fail in these cases.

###### Theorem 2

If $`f`$ has maximal entropy, but $`K`$ is not a hyperbolic set for $`f`$, then

(1) There are periodic points $`p`$ and $`q`$ in $`K`$ (not necessarily distinct) so that $`W^u(p)`$ intersects $`W^s(q)`$ tangentially with order 2 contact.

(2) $`p`$ is $`s`$ one-sided, and $`q`$ is $`u`$ one-sided.

(3) The restriction of $`f`$ to $`K`$ is not expansive.

Condition (1) is incompatible with $`K`$ being a hyperbolic set. Thus this theorem describes a specific way in which hyperbolicity fails. Condition (3), which is proved in \[BS8, Corollary 8.6\], asserts that for any $`ϵ>0`$ there are points $`x`$ and $`y`$ in $`K`$ such that for all $`n𝐙`$, $`d(f^n(x),f^n(y))ϵ`$. Condition (3) is a topological property which is not compatible with hyperbolicity. We conclude that when $`f`$ is not hyperbolic it is not even topologically conjugate to any hyperbolic diffeomorphism.

The proofs of the stated theorems owe much to the theory of quasi-hyperbolicity developed in \[BS8\]. In \[BS8\] we show that maximal entropy diffeomorphisms are quasi-hyperbolic. We also define a singular set $`𝒞`$ for any quasi-hyperbolic diffeomorphism. Much of the work of this paper is devoted to showing that in the maximal entropy case $`𝒞`$ is finite and consists of one-sided periodic points. Further analysis allows us to show that they these periodic points have period either 1 or 2. In the case of quadratic mappings we can say exactly which points are one-sided.

We say that a saddle point is non-flipping if $`\lambda ^u`$ and $`\lambda ^s`$ are both positive.

###### Theorem 3

Let $`f_{a,b}`$ be a quadratic mapping with maximal entropy. If $`f_{a,b}`$ preserves orientation, then the unique non-flipping fixed point of $`f`$ is doubly one-sided. If $`f`$ reverses orientation, then one of its fixed points is stably one-sided, and the other is unstably one-sided. There are no other one-sided points in either case.

We can use our results to describe how hyperbolicity is lost on the boundary of the horseshoe region for Hénon diffeomorphisms. We focus on the orientation preserving case here, but our results allow us to treat the orientation preserving case as well. The parameter space for orientation preserving Hénon diffeomorphisms is the set $`\{(a,b):b>0\}`$. Let us define the horseshoe region to be the largest connected open set containing the Devaney-Nitecki horseshoes and consisting of hyperbolic diffeomorphisms. Let $`f=f_{a_0,b_0}`$ be a point on the boundary of the horeshoe region. It follows from the continuity of entropy that $`f`$ has maximal entropy. Theorem 1 tells us that $`f`$ has the same number of periodic points as the horseshoes and that they are all saddles. In particular no bifurcations of periodic points occur at $`a_0,b_0`$. Let $`p_0`$ be the unique non-flipping fixed point for $`f`$. It follows from Theorem 2 that the stable and unstable manifolds of $`p_0`$ have a quadratic homoclinic tangency.

Figure 0.1

Figure 0.1 shows computer-generated pictures of mappings $`f_{a,b}`$ with $`a=6.0`$, $`b=0.8`$ on the left and $`a=4.64339843`$, $`b=0.8`$ on the right.**We thank Vladimir Veselov for using a computer program that he wrote to generate this second set of parameter values for us. The curves pictured are the stable/unstable manifolds of the non-flipping saddle point $`p_0`$, which is the point marked by a disk in each picture at the lower leftmost point of intersection of the stable and unstable manifolds. The manifolds themselves are connected; the apparent disconnectedness is a result of clipping the picture to a viewbox. There are no tangential intersections evident on the left, while there appears to be a tangency on the right. This is consistent with the analysis above.

§1. Background

Despite the fact that we study real polynomial diffeomorphisms, the proofs of the results of this paper depend on the theory of complex polynomial diffeomorphisms. In particular the theory of quasi-hyperbolicity which lies at the heart of much of what we do is a theory of complex polynomial diffeomorphisms. The notation we use in the paper is chosen to simplify the discussion of complex polynomial diffeomorphisms. A polynomial diffeomorphisms of $`𝐂^2`$ will be denoted by $`f_𝐂`$, or simply $`f`$, when no confusion will result. Let $`\tau (x,y)=(\overline{x},\overline{y})`$ denote complex conjugation in $`𝐂^2`$. The fixed point set of complex conjugation in $`𝐂^2`$ is exactly $`𝐑^2`$. We say that $`f`$ is real when $`f:𝐂^2𝐂^2`$ has real coefficients, or equivalently, when $`f`$ commutes with $`\tau `$. When $`f`$ is real we write $`f_𝐑`$ for the restriction of $`f`$ to $`𝐑^2`$.

Let us consider mappings of the form $`f=f_1\mathrm{}f_m`$, where

$$f_j(x,y)=(y,p_j(y)a_jx),$$
$`(1.1)`$
$`p_j`$ is a polynomial of degree $`d_j`$. If we set $`d=d_1\mathrm{}d_m`$, then it is easily seen that if $`f`$ has the form 1.1 then the degree of $`f`$ is $`d`$. The degree of $`f^1`$ is also $`d`$ and, since $`h(f_𝐑)=h(f_𝐑^1)`$ it follows that $`f`$ has maximal entropy if and only if $`f^1`$ does.

###### Proposition 1.1

If a real polynomial diffeomorphism $`f`$ has maximal entropy, then it is conjugate via a real polynomial diffeomorphism to a real polynomial diffeomorphism of the same degree in the form (1.1).

Proof. According to \[FM\] a polynomial diffeomorphism $`f_𝐑`$ of $`𝐑^2`$ is conjugate via a polynomial diffeomorphism, $`g`$, to an elementary diffeomorphism or a diffeomorphism in form (1.1). Since $`f_𝐑`$ has positive entropy it is not conjugate to an elementary diffeomorphism. In \[FM\] it is also show that a diffeomorphism in the form (1.1) has minimal entropy among all elements in its conjugacy class so $`deg(g_𝐑)deg(f_𝐑)`$. Since entropy is a conjugacy invariant we have:

$$\mathrm{log}deg(g_𝐑)\mathrm{log}deg(f_𝐑)=h(f_𝐑)=h(g_𝐑).$$

Again by \[FM\], $`h(g_𝐑)\mathrm{log}deg(g_𝐑)`$ so we conclude that the inequalities are equalities and that $`deg(g_𝐑)=deg(f_𝐑)`$.

Thus we may assume that we are dealing with maximal entropy polynomial diffeomorphisms written in form (1.1). The mapping $`f_{a,b}`$ in the Introduction is not in the form (1.1), but the linear map $`L(x,y)=(y,x)`$ conjugates $`f_{a,b}`$ to

$$(x,y)(y,y^2abx).$$

In Sections 1 through 4, we are dealing with polynomial diffeomorphisms of all degrees, and we will assume that the are given in the form (1.1).

We recall some standard notation for general polynomial diffeomorphisms of $`𝐂^2`$. The set of points in $`𝐂^2`$ with bounded forward orbits is denoted by $`K^+`$. The set of points with bounded backward orbits is denoted by $`K^{}`$. The sets $`J^\pm `$ are defined to be the boundaries of $`K^\pm `$. The set $`J`$ is $`J^+J^{}`$ and the set $`K`$ is $`K^+K^{}`$. Let $`𝒮`$ denote the set of saddle points of $`f`$. For a general polynomial diffeomorphism of $`𝐂^2`$ the closure of $`𝒮`$ is denoted by $`J^{}`$. For real polynomial diffeomorphism of $`𝐂^2`$ each of these $`f`$-invariant sets is also invariant under $`\tau `$. For a real maximal entropy mapping it is proved in \[BLS\] that $`J^{}=J=K`$ and furthermore that this set is real; that is $`K𝐑^2`$.

For $`p𝒮`$, there is a holomorphic immersion $`\psi _p^u:𝐂𝐂^2`$ such that $`\psi _p^u(0)=p`$ and $`\psi _p^u(𝐂)=W^u(p)`$. The immersion $`\psi _p^u`$ is well defined up to multiplication by a non-zero complex scalar. By using a certain potential function we can choose distinguished parametrizations. Define $`G^+`$ by the formula

$$G^+(x,y)=\underset{n\mathrm{}}{lim}\frac{1}{d^n}\mathrm{log}^+|f^n(x,y)|.$$

Changing parameter in the domain via a change of coordinates $`\zeta ^{}=\alpha \zeta `$, $`\alpha 0`$, we may assume that $`\psi _p^u`$ satisfies

$$\underset{|\zeta |1}{\mathrm{max}}G^+\psi _p^u(\zeta )=1.$$

With this normalization, $`\psi _p^u`$ is uniquely determined modulo rotation; that is, all such mappings are of the form $`\zeta \psi _p^u(e^{i\theta }\zeta )`$.

When the diffeomorphism $`f`$ is real and $`p𝐑^2`$ we may choose the parametrization of $`W_p^u`$ so that it is real, which is to say that $`\psi =\psi _p^u`$ satisfies $`\psi (\overline{\zeta })=\tau \psi (\zeta )`$. In this case the set $`\psi ^1(K)=\psi ^1(K^+)`$ is symmetric with respect to the real axis in $`𝐂`$ and the parametrization is well defined up to multiplication by $`\pm 1`$. In the real case $`\psi (𝐑)𝐑^2`$, and the set $`\psi (𝐑)`$ is equal to the unstable manifold of $`p`$ with respect to the map $`f_𝐑`$.

When $`f`$ is real and has maximal entropy more is true. In this case every periodic point is contained in $`𝐑^2`$. Let $`\psi `$ be a real parametrization. Since $`\psi `$ is injective, the inverse image of the fixed point set in $`𝐂^2`$ is contained in the fixed point set in $`𝐂`$. Thus $`\psi ^1(𝐑^2)=𝐑`$, and $`\psi ^1(K)𝐑`$. If $`p`$ is a $`u`$ one-sided periodic point then $`K`$ meets only one component of $`W^u(p,𝐑)`$ so $`\psi ^1(K)`$ is contained in one of the rays $`\{\zeta 𝐑:\zeta 0\}`$ or $`\{\zeta 𝐑:\zeta 0\}`$.

We define the set of all such unstable parametrizations as $`\psi _𝒮^u:=\{\psi _p^u:p𝒮\}`$. For $`\psi \psi _p^u`$ there exist $`\lambda =\lambda _p^u𝐑`$ and $`\stackrel{~}{f}\psi \psi _{fp}^u`$ such that

$$(\stackrel{~}{f}\psi )(\zeta )=f(\psi (\lambda ^1\zeta ))$$
$`(1.2)`$
for $`\zeta 𝐂`$.

A consequence of the fact that $`\psi ^1(K)𝐑`$ \[BS8, Theorem 3.6\] is that

$$|\lambda _p|d.$$
$`(1.3)`$
Furthermore if $`p`$ is u one-sided then

$$|\lambda _p|d^2.$$

The condition that $`|\lambda _p|`$ is bounded below by a constant greater than one is one of several equivalent conditions that can serve as definitions of the property of quasi-expansion defined in \[BS8\]. Thus, as in \[BS8\], we see that $`f`$ and $`f^1`$ are quasi-expanding. A consequence of quasi-expansion is that $`\psi _𝒮^u`$ is a normal family (see \[BS8, Theorem 1.4\]). In this case we define $`\mathrm{\Psi }^u`$ to be the set of normal (uniform on compact subsets of $`𝐂`$) limits of elements of $`\psi _𝒮^u`$. Let $`\mathrm{\Psi }_p^u:=\{\psi \mathrm{\Psi }^u:\psi (0)=p\}`$. It is a further consequence of quasi-expansion that $`\mathrm{\Psi }^u`$ contains no constant mappings.

For $`pJ`$, the mappings in $`\mathrm{\Psi }_p^u`$ have a common image which we denote by $`V^u(p)`$ (\[BS8, Lemma 2.6\]). Let $`W^u(p)`$ denote the “stable set” of $`p`$. This consists of $`q`$ such that

$$\underset{n+\mathrm{}}{lim}dist(f^np,f^nq)=0.$$

It is proved in \[BS8, Proposition 1.4\] that $`V^u(p)W^u(p)`$. It follows that $`V^u(p)K^{}`$. In many cases the stable set is actually one dimensional complex manifold. When this is the case it follows that $`V^u(p)=W^u(p)`$.

Let $`V_ϵ^u(p)`$ denote the component of $`V^u(p)B(p,ϵ)`$ which contains $`p`$. For $`ϵ`$ sufficiently small $`V_ϵ^u(p)`$ is a properly embedded variety in $`B(p,ϵ)`$. Let $`E_p^u`$ denote the tangent space to this variety at $`p`$. It may be that the variety $`V_ϵ^u(p)`$ is singular at $`p`$. In this case we define the tangent cone to be the set of limits of secants.

For $`\psi \mathrm{\Psi }^u`$ we say that $`\mathrm{Ord}(\psi )=1`$ if $`\psi ^{}(0)0`$; and if $`k>1`$, we say $`\mathrm{Ord}(\psi )=k`$ if $`\psi ^{}(0)=\mathrm{}=\psi ^{(k1)}(0)=0`$, $`\psi ^{(k)}(0)0`$. Since $`\mathrm{\Psi }^u`$ contains no constant mappings, $`\mathrm{Ord}(\psi )`$ is finite for each $`\psi `$. If $`\psi \mathrm{\Psi }^{s/u}`$, and if $`\mathrm{Ord}(\psi )=k`$, then there are $`a_j𝐂^2`$ for $`kj<\mathrm{}`$ such that

$$\psi (\zeta )=p+a_k\zeta ^k+a_{k+1}\zeta ^{k+1}+\mathrm{}$$

It is easy to show that the tangent cone $`E_p^u`$ to the variety $`V_ϵ^u(p)`$ is actually the complex subspace of the tangent space $`T_p𝐂^2`$ spanned by $`a_k`$. One consequence of this is that the span of the $`a_k`$ term depends only on $`p`$ and not on the particular mapping in $`\mathrm{\Psi }_p^u`$. (It is possible however that different parametrizations give different values for $`k`$.) A second consequence is that even when the variety $`V_ϵ^u(p)`$ is singular the tangent cone is actually a complex line and, in what follows, we will refer to $`E_p^u`$ as the tangent space. The mapping $`\psi \mathrm{Ord}(\psi )`$ is an upper semicontinuous function on $`\mathrm{\Psi }^u`$. For $`pJ`$, we set $`\tau ^u(p)=\mathrm{max}\{\mathrm{Ord}(\psi ):\psi \mathrm{\Psi }_p^u\}`$. The reality of $`\psi `$ is equivalent to the condition that $`a_j𝐑^2`$.

Since $`f^1`$ is also quasi-expanding, we may repeat the definitions above with $`f`$ replaced by $`f^1`$ and unstable manifolds replaced by stable manifolds; and in this case we replace the superscript $`u`$ by $`s`$. We set

$$J_{j,k}=\{pJ:\tau ^s(p)=j,\tau ^u(p)=k\}.$$

We define

$$\lambda ^{s/u}(p,n)=\lambda _p^{s/u}\mathrm{}\lambda _{f^{n1}p}^{s/u}.$$

Iterating the mapping $`\stackrel{~}{f}`$ defined above, we have mappings $`\stackrel{~}{f}^n:\mathrm{\Psi }_p^{s/u}\mathrm{\Psi }_{f^np}^{s/u}`$ defined by

$$\stackrel{~}{f}^n(\psi ^{s/u}(\zeta ))=f^n\psi ^{s/u}(\lambda ^{s/u}(p,n)^1\zeta ).$$
$`(1.5)`$
By (1.3),

$$|\lambda ^s(p,n)|d^n,|\lambda ^u(p,n)|d^n.$$
$`(1.6)`$
We will give here the proof of Theorem 3. Since $`f`$ and $`f^1`$ are quasi-expanding it follows that every periodic point in $`J^{}`$ is a saddle. Since every periodic point is contained in $`K`$ and $`K=J^{}`$ it follows that every periodic point is a saddle. According to \[FM\] the number of fixed points of $`f_𝐂^n`$ counted with multiplicity is $`d^n`$. Since all periodic points are saddles they all have multiplicity one (multiplicity is computed with respect to $`𝐂^2`$ rather than $`𝐑^2`$). Thus the set of fixed points of $`f^n`$ has cardinality $`d^n`$. Since $`K𝐑^2`$ all of these points are real.

§2. The Maximal Entropy Condition and its Consequences

Let us return to our discussion of the maximal entropy condition. The argument that $`\psi ^1(𝐑^2)=𝐑`$ depended on the injectivity of $`\psi `$. Even though elements of $`\mathrm{\Psi }^u`$ are obtained by taking limits of elements of $`\psi _𝒮^u`$ it does not follow that $`\psi \mathrm{\Psi }^u`$ is injective. In fact it need not be the case that $`\psi ^1(𝐑^2)𝐑`$, but the following Proposition shows that a related condition still holds.

###### Proposition 2.1

For $`\psi \mathrm{\Psi }^u`$, $`\psi ^1(K)𝐑`$.

Proof. The image of $`\psi `$ is contained in $`K^{}`$, it follows that $`\psi ^1(K^+)=\psi ^1(K)`$ for $`\psi \psi _𝒮^u`$. Since $`G^+`$ is harmonic on $`𝐂^2K^+`$, it follows that $`G^+\psi `$ is harmonic on $`𝐂𝐑𝐂\psi ^1K`$. By Harnack’s principle, $`G^+\psi `$ is harmonic on $`𝐂𝐑`$ for any limit function $`\psi \mathrm{\Psi }^u`$. If $`G^+\psi `$ is zero at some point $`\zeta 𝐂𝐑`$ with, say, $`\mathrm{}(\zeta )>0`$, then it is zero on the upper half plane by the minimum principle. By the invariance under complex conjugation, it is zero everywhere. But this means that $`\psi (𝐂)\{G^+=0\}=K^+`$. By (1.4), this means that $`\psi (𝐂)K𝐑^2`$. Since $`K`$ is bounded, $`\psi `$ must be constant. But this is a contradiction because $`\mathrm{\Psi }^u`$ contains no constant mappings.

Our next objective is to find a bound on $`\mathrm{Ord}(\psi )`$ for $`\psi \mathrm{\Psi }^u`$. Set $`m^u=\mathrm{max}_J\tau ^u`$ and consider the maximal index $`j`$ so that $`J_{j,m^u}`$ is non-empty. Thus $`J_{j,m^u}`$ is a maximal index pair in the language of \[BS8\]. By \[BS8, Proposition 5.2\], $`J_{j,m^u}`$ is a hyperbolic set with stable/unstable subspaces given by $`E_p^{s/u}`$.

The notion of a homogeneous parametrization was defined in \[BS8, §6\]. A homogeneous parametrization of order $`m`$, $`\psi :𝐂𝐂^2`$, is one that can be written as $`\psi (\zeta )=\varphi (a\zeta ^m)`$ for some $`a𝐂\{0\}`$ and some non-singular $`\varphi :𝐂𝐂^2`$. It follows from \[BS8, Lemma 6.5\] that for every $`p`$ in a maximal index pair such as $`J_{j,m^u}`$ there is homogeneous parametrization in $`\mathrm{\Psi }_p^u`$ with order $`m^u`$.

###### Proposition 2.2

Suppose that $`\psi \mathrm{\Psi }^u`$, is a homogeneous parametrization of order $`m`$. Then it follows that $`m2.`$

Proof. By Proposition 2.1, $`\psi ^1(J)𝐑`$. And from the condition $`\psi (\zeta )=\varphi (\zeta ^m)`$ it follows that $`\psi ^1(J)`$ is invariant under rotation by $`m`$-th roots of unity. Now $`\psi ^1(J)`$ is non-empty (containing 0) and a non-polar subset of $`𝐂`$, since it is the zero set of the continuous, subharmonic function $`G^+\psi `$. Since a polar set contains no isolated points it follows that $`\psi ^1(J)`$ contains a point $`\zeta _00`$. Since the rotations of $`\zeta _0`$ by the $`m`$-th roots of unity must lie in $`𝐑`$, it follows that $`m2`$.

###### Corollary 2.4

$`J=J_{1,1}J_{2,1}J_{1,2}J_{2,2}.`$

There are three possibilities to consider.

(1) $`J_{2,1}J_{1,2}J_{2,2}`$ is empty. In this case it follows from \[BS8\] that $`f`$ is hyperbolic.

(2) $`J_{2,2}`$ is empty and $`J_{2,1}J_{1,2}`$ is non-empty. In this case $`J_{2,1}`$ and $`J_{1,2}`$ are maximal index pairs and are both hyperbolic sets.

(3) $`J_{2,2}`$ is non-empty but $`J_{2,1}J_{1,2}`$ is empty. In this case $`J_{2,2}`$ is a maximal set and is hyperbolic.

(4) $`J_{2,2}`$ is non-empty and $`J_{2,1}J_{1,2}`$ is non-empty. This is the only case in which we do not know a priori that points in $`J_{2,1}J_{1,2}`$ are regular.

###### Proposition 2.5

For $`pJ`$, let $`\psi \mathrm{\Psi }_p^{s/u}`$ be given. Then $`\zeta \psi (\zeta )`$ is at most two-to-one. If $`\psi `$ is two-to-one, then it has one critical point, which must be real.

Proof. This follows from Proposition 2.2 and \[BS8, Lemma 4.6\].

###### Proposition 2.6

Let $`p`$ be in $`J_{,2}`$, and let $`V_ϵ^u(p)`$ be regular. If $`\psi \mathrm{\Psi }_p^u`$ has order 2, there is an embedding $`\varphi :𝐂𝐂^2`$ such that $`\psi (\zeta )=\varphi (\zeta ^2)`$.

Proof. By Proposition 2.5, $`\psi `$ has at most one critical point, which must be $`\zeta =0`$. Thus all points of $`\psi (𝐂)\{p\}`$ are regular. Since $`V_ϵ^u(p)`$ is regular, it follows that $`\psi (𝐂)`$ is regular, so there is an embedding $`\varphi :𝐂𝐂^2`$ with $`\varphi (𝐂)=\psi (𝐂)`$. By Proposition 2.3 $`\tau ^u2`$, so $`J_{,2}`$, being a set of maximal order, is compact. Thus $`\alpha (p)J_{,2}`$, so the result follows from \[BS8, Proposition 4.4\].

If $`\psi \mathrm{\Psi }_p^u`$ is one-to-one, then $`\psi (𝐂)𝐑^2=\psi (𝐑)`$. (For if there is a point $`\zeta 𝐂𝐑`$ with $`\psi (\zeta )𝐑^2`$, then we would also have $`\psi (\overline{\zeta })𝐑^2`$. But $`\zeta \overline{\zeta }`$, contradicting the assumption that $`\psi `$ is one-to-one.) If $`\psi `$ is 2-to-1, then $`\psi `$ has a critical point $`t_0𝐑`$. Let us suppose that $`\psi `$ has a quadratic singularity at $`\zeta =0`$, i.e. $`\psi (\zeta )=p+a_2\zeta ^2+O(|\zeta |^3)`$. If $`\psi (𝐂)𝐑^2`$ is a smooth curve, then $`p`$ divides this curve into two pieces: in Figure 2.1 the image of $`𝐑`$ under $`\psi `$ is drawn dark, and the image of $`i𝐑`$ is shaded. By Proposition 2.1, the shaded region is disjoint from $`J`$.

Figure 2.1

Recall that the tangent space to $`V_ϵ^{s/u}(p)`$ at $`p`$ is $`E_p^{s/u}`$. We say that $`V_ϵ^u(p)`$ and $`V_ϵ^s(p)`$ intersect tangentially at $`p`$ if $`E_p^s=E_p^u`$. We recall that $`\alpha (p)`$, the $`\alpha `$-limit set of $`p`$, is the set of limit points of $`\{f^np:n0\}`$, and the $`\omega `$-limit set, $`\omega (p)`$, is the set of limit points of $`\{f^np:n0\}`$. Compactness of $`J`$ implies that $`\alpha (p)`$ and $`\omega (p)`$ are non-empty. The following are consequences of Theorem 7.3 of \[BS8\].

###### Theorem 2.7

Suppose the varieties $`V_ϵ^u(p)`$ and $`V_ϵ^s(p)`$ intersect tangentially at $`pJ`$ (i.e. suppose $`E_p^s=E_p^u`$). Then the $`\alpha `$\- and $`\omega `$-limit sets satisfy $`\alpha (p)J_{2,}`$ and $`\omega (p)J_{,2}`$. Further, $`p`$ belongs to $`J_{1,1}`$, and the varieties of $`V_p^{s/u}`$ are regular at $`p`$.

###### Theorem 2.8

If $`V_ϵ^s(p)`$ and $`V_ϵ^u(p)`$ are tangent at $`pJ`$, then the tangency is at most second order, i.e. $`V_ϵ^s(p)`$ and $`V_ϵ^u(p)`$ have different curvatures at $`p`$.

§3. Finiteness of Singular Points

Let us consider a point $`pJ`$ where the varieties $`V_ϵ^s(p)`$ and $`V_ϵ^u(p)`$ are nonsingular and intersect transversally. We may perform a real, affine change of coordinates so that in the new coordinate $`(x,y)`$ we have $`p=(0,0)`$, $`V_ϵ^u(p)`$ is tangent to the $`x`$-axis at $`p`$, and $`V_ϵ^s(p)`$ is tangent to the $`y`$-axis at $`p`$. let $`\pi _s(x,y)=y`$ and $`\pi _u(x,y)=x`$. For $`ϵ>0`$ let $`\mathrm{\Delta }(ϵ)=\{\zeta 𝐂:|\zeta |<ϵ\}`$. For $`q\mathrm{\Delta }^2(ϵ)J`$ let $`V^{s/u}(q,ϵ)`$ denote the connected component of $`V_q^{s/u}\pi _{s/u}^1\mathrm{\Delta }(ϵ)`$ containing $`q`$. For $`ϵ>0`$ small we have

$$\pi _s:V^u(p,ϵ)\mathrm{\Delta }(ϵ/2),\pi _u:V^s(p,ϵ)\mathrm{\Delta }(ϵ/2),$$
$`(3.1)`$
and

$$\pi _{s/u}:V^{s/u}(p,ϵ)\mathrm{\Delta }(ϵ)\mathrm{are}\mathrm{proper}\mathrm{maps}\mathrm{of}\mathrm{degree}1.$$
$`(3.2)`$
By \[BS8, Lemmas 2.1 and 2.2\] the varieties $`V_ϵ^{s/u}(q)`$ depend continuously on $`q`$. Thus for $`\delta >0`$ small, (3.1) will hold for the varieties at $`q`$ if $`q\mathrm{\Delta }^2(\delta )J`$, and the projections $`\pi _{s/u}:V^{s/u}(q,ϵ)\mathrm{\Delta }(ϵ)`$ will be proper.

By a regular box  $``$ we will refer to the ensemble of affine coordinate system, projections $`\pi _{s/u}`$, and sets $`\mathrm{\Delta }^2(ϵ)`$, $`\mathrm{\Delta }^2(\delta )`$. To begin with, we require that $`ϵ`$ and $`\delta `$ are small enough that (3.1) and (3.2) hold. Then we will shrink $`ϵ`$ and $`\delta `$ progressively so that the subsequent results from Lemmas 3.1 through 3.5 hold. Let us define $`𝒱^s()`$ as the set of varieties $`V^s(q,ϵ)`$ for $`q\overline{\mathrm{\Delta }}^2(\delta )J`$. Further, we define $`𝒱_j^s`$ as the set of varieties $`V^s𝒱^s()`$ such that the projection $`\pi _s|_{V^s}:V^s\mathrm{\Delta }(ϵ)`$ has mapping degree $`j`$. In a similar way, we define $`𝒱^u()`$ and $`𝒱_j^u()`$. It is evident that elements of $`𝒱_1^{s/u}()`$ are represented as graphs of analytic functions, and so $`𝒱_1^{s/u}()`$ is a compact family of varieties.

###### Lemma 3.1

If $`V^s𝒱_j^s`$, $`V^u𝒱_k^u`$, then the intersection $`V^sV^u`$ consists of $`jk`$ points (counted with “intersection” multiplicity). If $`ϵ`$ and $`\delta `$ are sufficiently small, then $`𝒱^s=𝒱_1^s𝒱_2^s`$.

Proof. If $`V^s`$ is a $`j`$-fold branched cover over $`\mathrm{\Delta }(ϵ)`$, then it is homologous to $`j`$ times the class of $`\{0\}\times \mathrm{\Delta }(ϵ)`$ in $`H_2(\mathrm{\Delta }^2(ϵ),\mathrm{\Delta }(ϵ)\times \mathrm{\Delta }(ϵ))`$. Similarly, $`V^u`$ is homologous to $`k`$ times the class of $`\mathrm{\Delta }(ϵ)\times \{0\}`$ in $`H_2(\mathrm{\Delta }^2(ϵ),\mathrm{\Delta }(ϵ)\times \mathrm{\Delta }(ϵ))`$. Thus the intersection number of the classes $`[V^s]`$ and $`[V^u]`$ is $`jk`$ times the intersection number of $`\{0\}\times \mathrm{\Delta }(ϵ)`$ and $`\mathrm{\Delta }(ϵ)\times \{0\}`$, which is 1.

For $`qJ\mathrm{\Delta }^2(\delta )`$, we let $`j=j_q`$ denote the branching degree of $`\pi _u:V^u(q,ϵ)\mathrm{\Delta }(ϵ)`$. Let us take a sequence $`q_kp`$ such that $`j=j_{q_k}`$ is constant and $`\psi _{q_k}^u\psi ^u\mathrm{\Psi }_p^u`$. Let $`\omega _k𝐂`$ denote the connected component of $`\psi _{q_k}^1(V^u(q_k,ϵ))`$ containing $`0`$. For each $`x_0\mathrm{\Delta }(ϵ)`$ and each $`k`$ we have $`\mathrm{\#}\{\zeta \omega _k:\pi _u\psi _{q_k}^u(\zeta )=x_0\}=j`$. By \[BS8, Lemma 2.1\] there exists $`r>0`$ such that $`\omega _k\{|\zeta |<r\}`$ for all $`k`$. It follows that $`\mathrm{\#}\{|\zeta |r:\pi _u\psi ^u(\zeta )=x_0\}j`$. By (3.2) we have a holomorphic map $`\pi _u^1:\mathrm{\Delta }(ϵ)V^u(p,ϵ)`$, so we conclude that $`\pi _u^1\pi _u\psi _p=\psi _p`$ is at least $`j`$-to-1. It follows from Proposition 2.3 that $`j2`$.

The sets $`S:=\mathrm{\Delta }^2(ϵ)𝐑^2`$ and $`S_0:=\mathrm{\Delta }^2(\delta )𝐑^2`$ are squares in $`𝐑^2`$. We define the vertical boundary  $`_vS`$ (resp. the horizontal boundary  $`_hS`$) as the portion of (the square) $`S`$ which is vertical (resp. horizontal). For $`qJS_0`$, we define $`\gamma _q^s`$ as the intersection $`V^s(q,ϵ)𝐑^2`$. Thus $`\gamma _q^s=\gamma _q^s()`$ is determined by $``$. We define $`\mathrm{\Gamma }^s=\mathrm{\Gamma }^s()`$ to be the set of curves $`\gamma _q^s`$ with $`qS_0=S_0()`$. We define $`\mathrm{\Gamma }_j^s=\mathrm{\Gamma }_j^s()`$ as the set of curves $`\gamma ^sV^s`$ with $`V^s𝒱_j^s`$. The layout of this configuration is illustrated in Figure 3.1: $`\gamma _p^s\mathrm{\Gamma }_1^s()`$, and $`\gamma _q^s,\gamma _r^s\mathrm{\Gamma }_2^s()`$. By the reality condition, $`\gamma _p^{s/u}\mathrm{\Gamma }^{s/u}`$ is a one-dimensional set, so $`\gamma _p^{s/u}`$ is regular if and only if $`V_ϵ^{s/u}(p)`$ is regular.

Figure 3.1

###### Corollary 3.2

If $`\gamma ^s\mathrm{\Gamma }_j^s`$ and $`\gamma ^u\mathrm{\Gamma }_k^u`$, then the number of points of $`\gamma ^s\gamma ^u`$ counted with multiplicity, is equal to $`jk`$.

Proof. This is a direct consequence of Lemma 3.1 and the fact that $`V^sV^u𝐑^2`$.

If $`\psi \mathrm{\Psi }_p^u`$ has order 2, and if $`\gamma _p^u`$ is regular, then by Proposition 2.6 there is an embedding $`\varphi `$ such that $`\psi (\zeta )=\varphi (\zeta ^2)`$. It follows that $`\psi (𝐂)𝐑^2=\psi (𝐑)\psi (i𝐑)`$. Working inside a box $``$, we write $`(\gamma _p^u)^r:=\psi (𝐑)\gamma _p^u`$ and $`(\gamma _p^u)^i:=\psi (i𝐑)\gamma _p^u`$. The phantom gray region $`(\gamma _p^u)^i`$, as in Figure 2.1, is disjoint from $`J`$. We state this observation as follows.

###### Lemma 3.3

If $`pJ_{,2}`$ and $`\gamma _p^u`$ is regular, then $`p`$ is $`u`$ one-sided; if $`pJ_{2,}`$ and $`\gamma _p^s`$ is regular, then $`p`$ is $`s`$ one-sided.

Let $`q`$ be a point of $`J`$ for which $`V_q^s`$ is regular For $`\psi \mathrm{\Psi }_q^s`$, we define the set $`\omega _\psi `$ as the connected component of $`\psi ^1V^s(q,ϵ)`$ containing the origin. Since $`\pi _u\psi `$ is an entire function, $`\omega _f`$ is simply connected. By the reality condition on $`\psi `$, $`\omega _\psi `$ is invariant under complex conjugation. Thus $`\omega _\psi 𝐑`$ is a (connected) interval $`(a,b)`$. It follows that $`\gamma _q^s`$ is connected submanifold of $`S`$. We refer to $`\psi (a)`$ and $`\psi (b)`$ as the endpoints of $`\gamma _1^s`$. Since $`V^s(q,ϵ)\mathrm{\Delta }(ϵ)\times \mathrm{\Delta }(ϵ)`$, it follows that the endpoints of $`\gamma _q^s`$ lie in $`_hS`$.

###### Lemma 3.4

If $`\gamma \mathrm{\Gamma }^s`$, then $`\gamma \mathrm{\Gamma }_1^s`$ if the endpoints of $`\gamma `$ lie in different components of $`_hS`$. Otherwise (if the endpoints lie in the same component of $`_hS`$), $`\gamma \mathrm{\Gamma }_2^s`$.

Proof. The horizontal boundary $`_vS`$ consists of fibers of the projection $`\pi _s`$ intersected with $`𝐑^2`$. By Lemma 3.1, the multiplicity of the projection is no greater than 2. If $`\gamma ^s`$ intersects one of the fibers in two points, then the multiplicity is in fact equal to 2.

Now we prove the first assertion of the Lemma. Suppose that $`\gamma ^s`$ has one endpoint in each component of $`_hS`$. Then for each point $`t\mathrm{\Delta }(ϵ)𝐑`$, there is a point $`s(a,b)`$ such that $`\psi (s)=t`$. Now there cannot be a point $`\zeta 𝐂𝐑`$ with $`\psi (\zeta )=t`$, for by the reality condition we would have $`\psi (\overline{\zeta })=t`$, which would give 3 solutions. Finally, we cannot have the situation where $`\pi _s^1(t)\gamma ^s`$ consists of exactly two points. For, in this case, we may assume that $`\pi _s(\psi (a))=ϵ`$ and $`\pi _s(\psi (b))=ϵ`$. Then, arguing as in Calculus, there must be a nearby $`t^{}(ϵ,ϵ)`$ for which $`\pi _s^1(t^{})`$ consists of 3 points.

###### Lemma 3.5

Let $``$ be a regular box. After possibly shrinking $`\delta `$, it follows that if $`qJ_{2,}S_0`$ and if $`\gamma _q^s`$ is regular, it follows that $`\gamma _q^s\mathrm{\Gamma }_1^s`$. Similarly, if $`qJ_{,2}S_0`$, and if $`\gamma _q^u`$ is regular, then $`\gamma _q^u\mathrm{\Gamma }_1^u`$.

Proof. It follows from Lemma 3.1 and Corollary 3.2 that $`\gamma _q^s`$ belongs to $`\mathrm{\Gamma }_1^s`$ or $`\mathrm{\Gamma }_2^s`$. If there is no $`\delta `$ satisfying the conclusion of the Lemma, then there is a sequence $`q_j0`$, $`q_jJ_{2,}`$, $`\gamma _{q_j}^s`$ regular, and $`\gamma _{q_j}^s\mathrm{\Gamma }_2^s`$. Since $`\gamma _{q_j}^s`$ is regular, there exists $`\psi _j^s\mathrm{\Psi }_{q_j}^s`$ and a holomorphic embedding $`\varphi _j`$ such that $`\psi _j^s(\zeta )=\varphi _j(\zeta ^2)`$. We may extract a subsequence such that there is a limit $`\psi _j^s\psi \mathrm{\Psi }_p^s`$.

Now since $`\psi _{q_j}^s\mathrm{\Gamma }_2^s`$ it follows that for $`x_0\mathrm{\Delta }(ϵ)`$, $`\pi _s^1(x_0)V_{p_j}^s`$ consists of two points. Thus

$$\mathrm{\#}(\pi _s\psi _j^s)^1(x_0)=\mathrm{\#}\{\zeta 𝐂:\pi _s\varphi (\zeta ^2)=x_0\}4.$$

By \[BS8, Lemma 2.1\] this set is contained in a disk $`\{|\zeta |<r\}`$, independent of $`j`$. Letting $`j\mathrm{}`$ we obtain $`\mathrm{\#}(\pi _x\psi )^1(x_0)4`$. By (3.2), there exists $`a_0V_p^s`$ such that $`V_p^s\pi _s^1(x_0)=\{a_0\}`$ is a single point so $`\mathrm{\#}(\pi _s\psi )^1(x_0)=\mathrm{\#}\psi ^1(a_0)4`$, which contradicts Lemma 2.3.

Figure 3.2

Let $``$ be a regular box, and let $`qS_0J_{,2}`$ be a point with $`\gamma _q^s\mathrm{\Gamma }_1^s`$. Then $`S\gamma _q^s`$ consists of two components, which we may label $`S^r`$ and $`S^i`$, as in Figure 3.2. That is, $`S^r`$ contains the variety of $`\psi (𝐑)`$ at $`q`$, and $`S^i`$ contains the local variety of the phantom region $`\psi (i𝐑)`$ at $`q`$.

###### Lemma 3.6

For $`pJ_{2,2}`$, we may construct a regular box $``$ about $`p`$. For $`qS_0J_{2,2}`$, $`\gamma _q^s`$ belongs to $`\mathrm{\Gamma }_1^s`$. If we split $`S\gamma _q^s=S^rS^i`$ as above, then $`S_0S^iJ=\mathrm{}`$. (And the corresponding statement holds for $`S\gamma _q^u`$.)

Proof. By hypothesis, $`J_{2,2}\mathrm{}`$. Thus $`2=\mathrm{max}\tau ^u=\mathrm{max}\tau ^s`$, so by \[BS8, Proposition 5.2\] $`J_{2,2}`$ is a hyperbolic set. It follows that $`\gamma _q^{s/u}`$ are nonsingular and transversal. In particular, for $`q=p`$, we may construct a regular box $``$ about $`p`$. If $``$ is sufficiently small, then it follows by hyperbolicity that $`\gamma ^{s/u}\mathrm{\Gamma }_1^{s/u}`$ for all $`qS_0J_{2,2}`$.

To complete the proof, we must show that $`S_0S^iJ=\mathrm{}`$. For otherwise, if there exists $`rS_0S^iJ`$, then by Corollary 3.2 $`\gamma _r^s\gamma _q^u\mathrm{}`$. Since $`\gamma _r^s`$ cannot intersect $`\gamma _q^s`$, it follows that $`\gamma _r^s\gamma _q^u`$ must lie inside the phantom region of $`\gamma _q^u`$, which is forbidden.

###### Theorem 3.7

$`J_{2,2}`$ is finite.

Proof. By Lemma 3.6 we may construct a regular box $``$ about any $`pJ_{2,2}`$. Let us select a finite family of boxes $``$ such that the corresponding sets $`S_0`$ cover $`J_{2,2}`$. Let us fix one of these sets $`S_0`$. If $`qJ_{2,2}S_0`$, then $`q`$ corresponds to one of the four types of doubly one-sided point pictured on the left hand side of Figure 3.3. For each of these four cases, it follows from Lemma 3.6 that the set $`JS`$ must lie in the quadrant bounded by the solid lines.

Figure 3.3

Now we consider the possibility that $`S_0J_{2,2}`$ might consist of more than one point. Let us start by supposing that a pair of points $`p_1,p_2J`$ belong to the same box $`S_0`$. The only way that two types of box can both occupy the same set $`S`$ is if they are of type 1 and 3 or type 2 and 4. The situation where points of type 2 and 4 occupy the same box $`S`$ is pictured on the right hand side of Figure 3.3, and by Lemma 3.6 $`JS_0`$ is contained in the shaded region. It follows that $`JS_0`$ cannot contain a third point $`r`$. If there were, it would lie in the shaded portion; but as $`r`$ is one-sided, then the phantom (gray prong) region would necessarily intersect the sides of the shaded region.

Since we have covered $`J_{2,2}`$ by finitely many sets $`S_0`$ and $`\mathrm{\#}(J_{2,2}S)2`$, it follows that $`J_{2,2}`$ is finite.

###### Theorem 3.8

If $`pJ_{2,1}J_{1,2}`$, then $`V_p^{s/u}`$ is regular at $`p`$.

Proof. Without loss of generality we may assume that $`pJ_{1,2}`$. If $`\alpha (p)J_{1,2}\mathrm{}`$ it follows from \[BS8, Theorem 5.5\] that $`V_ϵ^u(p)`$ is regular. The other possibility is that $`\alpha (p)J_{2,2}`$ by Corollary 2.4. Since $`J_{2,2}`$ is hyperbolic and finite, it is an isolated hyperbolic set. By \[R, p. 380\] there exists $`qJ_{2,2}`$ such that $`pW^u(q)`$. By (1.4) it follows that $`V_p^uW^u(q)`$, and so $`V_ϵ^u(p)`$ is regular.

For $`pJ_{1,2}`$ it follows from Theorem 3.8 that $`\gamma _p^u`$ is regular. By Theorem 2.7, $`\gamma _p^s`$ is regular and transverse to $`\gamma _p^u`$. If $`pJ_{2,2}`$, then we saw in the proof of Theorem 3.7 that $`\gamma _p^s`$ and $`\gamma _p^u`$ are regular and transverse at $`p`$. Thus if $`pJ_{,2}`$ we may construct a regular box $``$ centered at $`p`$. The following result will involve shrinking this box $``$. Before giving the proof, we make an observation concerning the relationship between shrinking and the multiplicities of varieties. Let $`\pi _s`$ and $`\pi _u`$ be the projections associated with $``$. If $`V𝒱_m^u`$, then the projection $`\pi _u:V\mathrm{\Delta }(ϵ)`$ has mapping degree $`m`$. This is equivalent to the statement that the total multiplicities of the critical points of $`\pi _u`$ is $`m1`$. It follows that if we shrink the box $``$ to $`^{}:=\{q:\pi _u(q)\mathrm{\Delta }(ϵ_1^{}),\pi _s(q)\mathrm{\Delta }(ϵ_2^{})\}`$ for some $`ϵ^{}<ϵ`$, then each component of $`V^{}`$ belongs to $`𝒱_j^u(^{})`$ for $`jm`$. It follows that if $`S^{}=𝐑^2^{}`$ is a regular box obtained by shrinking $``$ in this way, then for each $`\gamma \mathrm{\Gamma }_1^u(S)`$, $`\gamma S^{}\mathrm{\Gamma }_1^u(S^{})`$. And for each $`\gamma \mathrm{\Gamma }_2^u(S)`$, we have that either $`\gamma S^{}`$ is connected and belongs to $`\mathrm{\Gamma }_2^u`$; or $`\gamma S^{}`$ consists of two components, each of which belongs to $`\mathrm{\Gamma }_1^u(S^{})`$. In this sense, $`\mathrm{\Gamma }_1^{s/u}(S)`$ is preserved under shrinking.

###### Lemma 3.9

For $`pJ_{,2}`$ there is a regular box $``$ centered at $`p`$ with the properties:

1. For all $`\gamma \mathrm{\Gamma }_2^u`$, $`\overline{\gamma }_vS\overline{S}^r`$.

2. For all $`\gamma \mathrm{\Gamma }_2^u`$, $`\gamma S^r`$ consists of two components $`\gamma _1`$ and $`\gamma _2`$, as in Figure 3.4.

3. For all $`\eta \mathrm{\Gamma }_2^s`$, $`\mathrm{\#}(\gamma _1\eta )=\mathrm{\#}(\gamma _2\eta )=2`$.

Proof. As we noted in the previous paragraph, we may construct a regular box $``$ centered at $`p`$. Now we show that we may shrink $`S_0`$ and $`S`$ so that 1, 2, and 3 hold. Since $`pJ_{,2}`$, $`\gamma _p^u`$ will have a phantom region, which we may assume extends to the right hand side, as in Figure 3.4. In order to establish 1, we must show that for $`\gamma \mathrm{\Gamma }_2^u`$, the endpoints of $`\gamma `$ lie in the left hand side of the vertical boundary of $`S`$. Let $`\gamma ^{}\mathrm{\Gamma }_2^u`$ denote any unstable arc whose endpoints lie in the right hand side of $`_vS`$. For $`rS_0J`$, $`\gamma _r^s\gamma `$ consists of two points, which means that any $`\gamma ^{}`$ must loop around to the left of $`\gamma _r^s`$. If we shrink $`S`$ in the unstable direction, i.e., replace it with $`S\pi ^1\mathrm{\Delta }(ϵ^{})`$ with $`ϵ^{}>0`$ small enough that there exists $`rS_0J`$ with $`\gamma _r^sS^{}=\mathrm{}`$, then all $`\gamma ^{}`$ become simple in $`S^{}`$. That is, $`\gamma ^{}S^{}\mathrm{\Gamma }_1^u(S^{})`$.

Assertion 2 follows from assertion 1, as is illustrated in the left hand side of Figure 3.4.

Figure 3.4

To prove assertion 3, we consider first the case where there is an $`\eta \mathrm{\Gamma }_1^u`$ lying below $`\gamma _p^u`$, as in the central picture in Figure 3.4. (The case where there $`\eta `$ lies above $`\gamma _p^u`$ is analogous.) We may shrink $`S_0`$ so that for all $`rJS_0`$, $`\gamma _r^u`$ lies between $`\eta `$ and $`\gamma _p^u`$. In this case we consider $`\gamma \mathrm{\Gamma }_2^u`$ lying between $`\eta `$ and $`\gamma _p^u`$ and $`\sigma \mathrm{\Gamma }_2^s`$. The case drawn in the central picture in Figure 3.4 shows the endpoints of $`\sigma `$ in the top of the boundary $`_hS`$. (The other case, where the endpoints are in the bottom portion of $`_hS`$ is analogous.) As is pictured, $`\eta `$ cuts off two pieces $`\sigma _1`$ and $`\sigma _2`$, and each of these intersects $`\gamma _j`$, $`j=1,2`$. Thus $`\mathrm{\#}(\sigma \gamma _j)=2`$. This proves assertion 3 in this case.

The alternative to this case is that $`\eta \mathrm{\Gamma }_2^u`$ for all curves $`\eta \mathrm{\Gamma }^u`$ lying below $`\gamma _p^u`$. If this happens, we consider $`G(\eta )`$, which is the set of all $`\gamma _r^u`$ such that $`\gamma _r^u\mathrm{\Gamma }_2^u`$, and $`\gamma _r^u`$ separates $`\eta `$ from $`p`$. We claim that we may shrink $`S_0`$ such that for $`rS_0`$ below $`\gamma _p^u`$, $`\gamma _r^u`$ lies between $`G(\eta )`$ and $`\gamma _p^u`$. If this happens, then we see that any $`\sigma \mathrm{\Gamma }_2^s`$ has two components $`\sigma _1`$ and $`\sigma _2`$ as in the right hand side of Figure 3.4. These components intersect $`\gamma `$ as desired. The alternative is that there are points $`r_jS_0J`$, lying below $`\gamma _p^u`$, and such that $`r_jp`$. But then we have that $`\gamma _{r_j}^u\gamma _p^u`$ in the topology of the Hausdorff metric. In this case, we let $`S^{}`$ denote an arbitrarily small shrinking of $`S`$, and it follows that $`\gamma _{r_j}^uS^{}`$ is ultimately disconnected. Thus a component of $`\gamma _{r_j}^u`$ serves as the curve $`\eta `$ as we considered at first.

###### Theorem 3.10

$`J_{2,1}J_{1,2}`$ is finite.

Proof. It suffices to show that $`J_{1,2}`$ is finite. Write $`X=J_{1,2}J_{2,2}`$. For each $`pX`$, we may construct a regular box $``$ centered at $`p`$, satisfying the conclusions of Lemma 3.9. Since $`X`$ is compact, we may select a finite number of regular boxes $``$ such that the sets $`S_0`$ cover $`X`$.

Let us fix one of these boxes. We claim: There are (at most) two verticals, $`\gamma _p^s`$ and $`\gamma _q^s`$, with the property that $`S_0X\gamma _p^s\gamma _q^s`$. Since $`pX`$, it is $`u`$ one-sided. Without loss of generality we may assume that the phantom region of $`\gamma _p^u`$ is on the right, so that $`S_0J`$ lies to the left of $`\gamma _p^s`$. To establish the claim, we show that for any two points $`q,rXS_0`$ such that $`q,r\gamma _p^u`$, then it follows that $`\gamma _q^s=\gamma _r^s`$.

Let us assume first that $`\gamma _r^u`$ and $`\gamma _q^u`$ both belong to $`\mathrm{\Gamma }_1^u`$. If $`r\gamma _q^s`$, then we have $`\gamma _q^s\gamma _r^u\mathrm{}`$, as pictured in Figure 3.5. There are three possibilities for the $`\gamma _r^s`$. The first (on the left of Figure 3.5) is that $`\gamma _r^s\mathrm{\Gamma }_1^s`$. But this is not possible, since the phantom region of $`\gamma _q^u`$ blocks $`\gamma _r^s`$ from reaching the upper portion of $`_hS`$. The next two possibilities are that $`\gamma _r^s\mathrm{\Gamma }_2^s`$. In both cases, $`\gamma _r^s\gamma _q^s=\mathrm{}`$, and $`\gamma _r^s`$ cannot intersect the phantom region of $`\gamma _q^u`$. In the central picture of Figure 3.4, we see that $`\gamma _r^s`$ must come out of the box bounded by $`\gamma _q^u`$ and $`\gamma _q^s`$. But the portion that is drawn shows $`\mathrm{\#}(\gamma _r^s\gamma _r^u)=2`$, and thus $`\gamma _r^s`$ cannot intersect $`\gamma _r^u`$ again. Thus $`\gamma _r^s\gamma _q^u=\mathrm{}`$, which is a contradiction. In the last case, on the right of Figure 3.5, we again have $`\mathrm{\#}(\gamma _r^s\gamma _r^u)=2`$ already, so it is not possible for $`\gamma _r^s`$ to cross $`\gamma _r^u`$ again, so it cannot intersect $`_hS`$, which is a contradiction.

Now let us suppose that one or both of $`\gamma _r^u`$, $`\gamma _q^u`$ belongs to $`\mathrm{\Gamma }_2^u`$. We will refer to these as $`\gamma _x^u`$. As in Lemma 3.9, $`\gamma ^uS^r`$ consists of two pieces, $`\gamma _1`$ and $`\gamma _2`$. One of these, say $`\gamma _1`$, contains the point $`x`$. By Lemma 3.9, we have $`\mathrm{\#}(\gamma ^s\gamma _x^u)=2`$ for any $`\gamma ^s\mathrm{\Gamma }_2^s`$. Thus we replace $`\gamma _x^u`$ in Figure 3.5 by $`\gamma _1`$ and proceed as before. This proves the claim.

Since there are only finitely many regular boxes in our covering of $`X`$, it follows that $`J_{1,2}`$ is contained in the union of a finite set $`\{\gamma _1^s,\mathrm{},\gamma _N^s\}`$ of segments of stable manifolds. We let $`\mathrm{\Gamma }_j^s`$ denote the closure of the union of all the arcs $`\gamma _i^s`$ which are contained in the global stable manifold $`W^s(r_j)\gamma _j^s`$. It follows that $`f`$ permutes the finite family of sets $`\{\mathrm{\Gamma }_1^s,\mathrm{},\mathrm{\Gamma }_N^s\}`$. Thus, passing to a power of $`f`$, we have $`f^t(\mathrm{\Gamma }_1^sJ_{1,2})=\mathrm{\Gamma }_1^sJ_{1,2}`$. Now $`\mathrm{\Gamma }_1^sJ_{1,2}`$ is an $`f`$-invariant, compact subset of $`W^s(r_1)`$, and $`f^t`$ is contracting on $`W^s(r_1)`$, so $`\mathrm{\Gamma }_1^sJ_{1,2}`$ must be a single point. We conclude that $`J_{1,2}`$ is finite.

Figure 3.5

###### Corollary 3.11

For any $`pJ`$ and $`\psi \mathrm{\Psi }_p`$, $`\psi (𝐂)`$ is a nonsingular (complex) submanifold of $`𝐂^2`$, and $`\psi (𝐂)𝐑^2`$ is a nonsingular (real) submanifold of $`𝐑^2`$.

Proof. If $`\psi `$ has no critical point, then $`\psi (𝐂)`$ is nonsingular. And by our earlier discussion of the reality condition, it follows that if $`\psi `$ has no critical point, then $`\psi (𝐂)𝐑^2`$ is a nonsingular, real one-dimensional submanifold of $`𝐑^2`$.

If $`\psi \mathrm{\Psi }_p^u`$ has a critical point, then by Proposition 2.5, $`\psi `$ there is just one critical point $`\zeta _0`$. The sequence $`\stackrel{~}{f}^n\psi =f^n\psi (\lambda (p,n)^1\zeta )\mathrm{\Psi }_{f^np}`$ has a critical point at $`\lambda (p,n)\zeta _0`$. For a subsequence $`f^{n_j}pq\alpha (p)`$, we may pass to a further subsequence such that $`\stackrel{~}{f}^{n_j}\psi `$ converges to $`\widehat{\psi }\mathrm{\Psi }_q`$. Since $`\lambda (p,n)0`$ as $`n\mathrm{}`$, $`\widehat{\psi }`$ has a critical point at $`\zeta =0`$. Thus $`qJ_{,2}`$. Since $`J_{2,}J_{,2}`$ is a finite set of saddle points, we have $`pW^u(p)`$. Thus $`\psi (𝐂)W^u(q)`$, and so this set and $`\psi (𝐂)𝐑^2`$ are both regular.

§4. Hyperbolicity and Tangencies

In §3 we showed that $`𝒞:=J_{2,}J_{,2}`$ is a finite union of saddle points. We show next that all tangential intersections lie in stable manifolds of $`J_{,2}`$ and unstable manifolds of $`J_{2,}`$. In Theorem 4.2 we show that for $`pJ_{,2}`$, the stable manifold $`W^s(p)`$ contains a heteroclinic tangency. The condition for hyperbolicity is characterized (Theorem 4.4) in terms of the existence of heteroclinic tangencies.

###### Theorem 4.1

If $`pJ`$ and $`E_p^s=E_p^u`$, then $`pW^s(J_{,2})W^u(J_{2,})`$.

Proof. If $`p`$ is a point of tangency, then by Theorem 2.7, $`\alpha (p)J_{2,}`$ and $`\omega (p)J_{,2}`$. Since $`J_{2,}J_{,2}`$ is a finite set of saddle points, it follows that there exist $`qJ_{2,}`$ and $`rJ_{,2}`$ such that $`pW^u(q)W^s(r)`$.

###### Theorem 4.2

If $`pJ_{,2}`$ then there exists $`qJ_{2,}`$ such that $`W^s(p)`$ intersects $`W^u(q)`$ tangentially.

Proof. By §3, $`𝒞`$ is finite. For each point $`pJ_{,2}`$, there is a point $`q𝒞`$ such that $`W^s(p)`$ intersects $`W^u(q)`$ tangentially, by \[BS8, Theorem 8.10\]. And by Theorem 2.7 we have $`qJ_{2,}`$.

###### Corollary 4.3

If $`J_{1,2}\mathrm{}`$, then $`J_{2,1}\mathrm{}`$.

###### Theorem 4.4

The following are equivalent for a real, polynomial mapping of maximal entropy:

1. $`f`$ is not hyperbolic.

2. $`J_{2,}J_{,2}`$ is non-empty.

3. There are saddle points $`p`$ and $`q`$ such that $`W^s(p)`$ intersects $`W^u(q)`$ tangentially.

Remark. By Theorem 4.1, the saddle points $`p`$ and $`q`$ in condition 3 satisfy $`pJ_{,2}`$ and $`qJ_{2,}`$.

Proof. $`(1)(2)`$. If $`J_{2,}J_{,2}\mathrm{}`$, then by Theorem 4.2 there is a tangency between $`W^s(J_{,2})`$ and $`W^u(J_{2,})`$. Thus $`f`$ is not hyperbolic.

$`(2)(1)`$. If $`J_{2,}J_{,2}=\mathrm{}`$, then $`J=J_{1,1}`$. It follows that $`J_{1,1}`$ is compact, so by \[BS8, Proposition 5.2\] $`J_{1,1}`$ is a hyperbolic set.

The implication $`(2)(3)`$ follows from Theorem 4.2, and $`(3)(2)`$ follows from Theorem 2.7.

Let $`𝒯`$ denote the set of points of tangential intersection between $`W^s(a)`$ and $`W^u(b)`$, for $`a,bJ`$. By \[BS8, Theorem 8.10\], $`𝒯`$ is a discrete subset of $`J_{1,1}`$. Since the parametrizations are nonsingular in $`J_{1,1}`$, the curves $`𝒲^{s/u}=\{\gamma _r^{s/u}:rJ_{1,1}\}`$ form a lamination of a neighborhood of $`p`$. If $`pJ_{1,1}𝒯`$, the the laminations $`𝒲^s`$ and $`𝒲^u`$ are transverse at $`p`$, so they define a local product structure on $`J`$ in a neighborhood of $`p`$.

Let us fix a point $`p𝒯`$. We cannot construct a regular box centered at $`p`$ since it is a point of tangency, but we will construct a box with many of the same properties. We choose a real analytic coordinate system such that the square $`S:=\{|x|,|y|<ϵ\}𝐑^2`$ is centered at $`p=(0,0)`$, and has the properties that $`\gamma _p^s=\{x=0,|y|<ϵ\}`$, and the projections $`\pi _u:\gamma _p^u(ϵ,ϵ)`$ are proper, where as before $`\pi _u(x,y)=x`$, $`\pi _s(x,y)=y`$, and we use the notation $`\gamma _q^{s/u}:V_q^{s/u}S𝐑^2`$. By Theorem 2.8, the multiplicity of the intersection of $`\gamma _p^s`$ and $`\gamma _p^u`$ at $`p`$ must be 2. Thus $`\gamma _p^u\mathrm{\Gamma }_2^u(S)`$, and so by Lemma 3.4 $`\gamma _p^u`$ lies to one side of $`\gamma _p^s`$, as is pictured on the left hand side of Figure 4.1. For $`S_0:=\{|x|,|y|<\delta \}`$ sufficiently small, we have (3.1), and $`\pi _{s/u}:\gamma _q^{s/u}(ϵ,ϵ)`$ is proper for $`qS_0J`$.

The configuration of the curves in the third picture of Figure 4.1 follows from Lemma 3.4 and Corollary 3.2, since there must be two points of intersection between stable and unstable manifolds in $`S`$. This arrangement is associated with the failure of topological expansivity.

Figure 4.1

###### Corollary 4.5

If $`r𝒯`$, then there is a neighborhood $`S_0`$ of $`r`$ such that $`JS_0`$ is disjoint from the region shaded in the right hand picture in Figure 4.1.

§5. One-Sided Points

We have shown that the set of critical points $`𝒞`$ is a finite set of one-sided points. We use one-sided points to show (Theorem 5.2) that $`K`$ is always a Cantor set. We analyze more carefully the possibilities for one-sided points, and we obtain Propositions 5.8 and 5.9, which combine to prove Theorem 3 in the Introduction.**We wish to thank André de Carvalho for a suggestion that resulted in this part of the paper.

###### Theorem 5.1

If $`f`$ is hyperbolic, then there exist stably and unstably one-sided points.

Proof. The set $`K`$ is saturated in the sense that $`W^s(p)W^u(q)K`$ for all $`p,qK`$. We use the following result of Newhouse and Palis \[NP\], as it is presented in \[BL, Proposition 2.1.1, item 6\]: If $`f`$ does not have an unstably one-sided point, then $`K`$ is a hyperbolic attractor. Since $`K`$ is a basic set, it follows that if it is an attractor, then the set of points attracted to $`K`$ is open. On the other hand, the set of points attracted to $`K`$ is $`K^+`$, which is a closed, proper subset of $`𝐑^2`$, and is thus not open. Thus $`f`$ has an unstably one-sided point. Repeating the argument for $`f^1`$ gives a stably one-sided point.

###### Theorem 5.2

If $`f`$ has maximal entropy, then $`K`$ is a Cantor set.

Proof. Since $`K`$ is the zero set of a continuous, plurisubharmonic function $`G`$ on $`𝐂^2𝐑^2`$, it follows that no point of $`K`$ can be isolated. Thus it suffices to show that $`K`$ is totally disconnected. Both $`W^s(K)`$ and $`W^u(K)`$ are laminations in a neighborhood of $`𝒥_{1,1}=K𝒞`$. Let $`𝒯`$ denote the tangencies between $`W^s(K)`$ and $`W^u(K)`$. By \[BS8, Theorem 8.10\] $`𝒯𝒞`$ is a countable, closed set. Thus it suffices to show that $`K`$ is totally disconnected in a neighborhood of each point of $`K(𝒯𝒞)`$.

Now each point of $`K(𝒯𝒞)`$ has a neighborhood $`R`$ such that $`RK`$ has local product structure. The local product structure means that for any $`rKU`$, $`RK`$ is homeomorphic to $`(KW_{R,loc}^u(r))\times (KW_{R,loc}^s(r))`$.

By Theorem 5.1, there are an $`s`$ one-sided periodic point $`p`$ and a $`u`$ one-sided point $`q`$. Let $`A`$ denote the set of transverse intersections of $`W^u(p)`$ and $`W^s(q)`$. By \[BLS, Theorem 9.6\] $`A`$ is dense in $`KU`$. It follows from the local product structure that the transverse intersections between $`W^u(p)`$ and $`W_{R,loc}^s(r)`$ are dense in $`W_{R,loc}^s(r)`$ for each $`rKU`$. Since $`p`$ is $`s`$ one-sided, $`KW^s(p)`$ lies to one side of $`p`$ in $`W^s(p)`$. This one-sidedness propagates along the unstable manifold $`W^u(p)`$, and so for any point $`bW^u(p)W_{R,loc}^s(r)`$, $`KW_{R,loc}^s(r)`$ lies (locally) to one side of $`b`$ in $`W_{R,loc}^s(r)`$. Thus the set of disconnections of $`KW_{R,loc}^s(r)`$ is dense in $`KW_{R,loc}^s(r)`$, which means that $`KW_{R,loc}^s(r)`$ is totally disconnected. Similarly, $`KW_{R,loc}^u(r)`$ is totally disconnected. By the local product structure, $`KR`$ is totally disconnected, and thus $`K`$ is disconnected.

By a (topological) attractor we will mean a compact, invariant $`S`$ whose stable set $`W^s(S):=\{q:lim_{n+\mathrm{}}d(f^nq,S)=0\}`$ has nonempty interior.

###### Corollary 5.3

If $`f`$ has maximal entropy, then $`K^+`$ and $`K^{}`$ have no interior, and thus $`K`$ contains no attractors or repellors.

Proof. As in the proof of Theorem 5.2, we consider a local product neighborhood $`R`$ of a point of $`K(𝒯𝒞)`$. By the local product structure, $`K^+R`$ is homeomorphic to $`(KW_{R,loc}^u(r))\times W_{R,loc}^s(r)`$. Since $`KW_{R,loc}^u(r)`$ is totally disconnected, it contains no interior. Thus $`RK^+`$ contains no interior.

If $`S`$ is an attractor, it must be contained in $`K`$, and thus the basin $`B(S)`$ must be contained in $`K^+`$. However, since $`K^+`$ has no interior, it follows that $`B(S)`$ can have no interior.

Recall that if $`p`$ is $`u`$ one-sided, then $`W^u(p)\{p\}`$ has a component which is disjoint from $`J`$. No point of $`JW^u(p)`$ can be isolated, so only one of the components of $`W^u(p)\{p\}`$ can be disjoint from $`J`$. We call this component the (unstable) separatrix associated with $`p`$.

Now let us note that if $`p`$ is a saddle point of $`f`$ with period $`n`$, then $`Df^n(p)`$ has eigenvalues $`|\lambda ^u|>1>|\lambda ^s|>0`$. If $`p`$ is $`u`$ one-sided, $`f`$ must preserve the unstable separatrix, and so $`\lambda ^u>0`$. Similarly, if $`p`$ is $`s`$ one-sided, we have $`\lambda ^s>0`$.

###### Lemma 5.4

Let $`pK`$ be $`u`$ one-sided, and let $`S`$ be the separatrix associated with $`p`$ and which is disjoint from $`K`$. Then $`S`$ is properly embedded in $`𝐑^2\{p\}`$.

Proof. Consider the uniformization $`\psi ^u:𝐂W^u(p)`$ of the complex unstable manifold through $`p`$. Since $`p`$ is $`u`$ one-sided, we may assume that its separatrix $`S`$ corresponds to the positive real axis in $`𝐂`$, and thus $`G^+\psi ^u(\zeta )>0`$ for $`\zeta 𝐑`$, $`\zeta >0`$. Now $`\psi ^u(0)=p`$, and there is $`\lambda ^u>1`$ such that $`G^+\psi ^u(\lambda ^u)=dG^+\psi ^u(\zeta )`$. Thus $`lim_{\zeta +\mathrm{}}G^+\psi ^u(\zeta )=+\mathrm{}`$. Since $`\{G^+c\}J^{}`$ is compact, it follows that $`lim_{\zeta +\mathrm{}}\psi ^u(\zeta )=+\mathrm{}`$, and thus $`S`$ is properly embedded in $`𝐑^2`$.

Let $`𝒪=\{p_1,\mathrm{},p_j\}`$ denote the set of $`u`$ one-sided points. Let $`S_1`$, …$`S_j`$ denote the corresponding separatrices. By Lemma 5.4, $`S_i`$ is an arc in the sphere $`S^2=𝐑^2\{\mathrm{}\}`$ which connects $`p_i`$ to $`\mathrm{}`$. We let $`\widehat{S}_i`$ denote the germ at infinity of $`S_i`$, i.e. $`\widehat{S}_i`$ denotes the set of sub-arcs of $`S_i`$ containing $`\mathrm{}`$. We consider a system of neighborhoods $`W`$ of $`\mathrm{}`$ in $`S^2`$ with the property that $`W`$ is homeomorphic to $`S^1`$, and $`WS_i`$ consists of a unique point, for each $`i`$. It follows that for such a neighborhood, $`W(𝐑^2_{i=1}^jS_i)`$ consists of $`j`$ open sets $`V`$, each containing $`\mathrm{}`$ in its closure. Let $`\widehat{V}`$ denote the germ at infinity corresponding to $`V`$. We will define a graph $`𝒢`$ whose vertices be the classes $`\widehat{S}_i`$, and whose edges are the germs $`\widehat{V}`$. A vertex $`\widehat{S}_i`$ is contained in an edge $`\widehat{V}`$ if the germ of $`S_i`$ is contained in $`V`$. It follows that $`𝒢`$ is homeomorphic to $`W`$. Since $`f`$ maps the separatrices $`S_i`$ to themselves, it follows that the system of neighborhoods $`W`$ is also preserved by $`f`$. Thus the structure of $`𝒢`$ is preserved. If $`f`$ preserves/reverses orientation, $`fW`$ has the same/opposite orientation as $`W`$. Thus we see that we have:

###### Lemma 5.5

$`𝒢`$ has the combinatorial structure of a simplicial circle, and $`f`$ induces a simplicial homeomorphism $`\widehat{f}`$ on $`𝒢`$. If $`f`$ preserves/reverses orientation, then so does $`\widehat{f}`$.

Let us note that if $`f`$ has the form (1.1), then

$$f(x,y)=(y,ϵy^d+\mathrm{}ax).$$
$`(5.1)`$
We have $`a>0`$ if $`f`$ preserves orientation, and $`a<0`$ if $`f`$ reverses orientation. We conjugate by $`\tau (x,y)=(\alpha x,\beta y)`$ with $`\alpha ,\beta 𝐑`$, so that $`ϵ=\pm 1`$. If $`d`$ is even, we require $`ϵ=+1`$. If $`d`$ is odd, we define $`ϵ(f)=ϵ`$. If $`f_1`$ and $`f_2`$ are both of odd degree and in the form (5.1), then $`ϵ(f_1f_2)=ϵ(f_1)ϵ(f_2)`$. Note that $`f^1(x,y)=(a^1(ϵx^dy),x)`$, and thus $`f^1`$ may be put in the form (5.1) after conjugation by $`\nu (x,y)=(y,x)`$ and a mapping of the form $`\tau `$. If $`d`$ is odd, then $`ϵ(f^1)=\pm ϵ(f)`$, with the plus sign occurring iff $`f`$ preserves orientation

We write $`V^+=\{(x,y)𝐑^2:|y|\mathrm{max}(R,|x|)\}`$ as $`V^+=V_1^+V_2^+`$, with $`V_1^+:=V^+\{y>0\}`$ and $`V_2^+:=V^+\{y<0\}`$. We choose $`R`$ large enough that $`V,V^\pm `$ give a filtration, i.e. $`fV^+V^+`$ and $`f(VV^+)VV^+`$. The condition $`ϵ(f)=1`$ is equivalent to $`f(V_1^+)V_1^+`$. In this case, it follows that $`f(V_2^+)V_1^+`$ if the degree $`d`$ is even, and $`f(V_2^+)V_2^+`$ if $`d`$ is odd.

###### Theorem 5.6

If $`f`$ preserves orientation, and if $`ϵ(f)=+1`$, then all the $`p_i`$ are fixed. If $`ϵ(f)=1`$, then all the $`p_i`$ have period 2.

Proof. Recall that for each unstably one-sided point, the separatrix $`S_i`$ is unique. Let $`S_{i_1},\mathrm{},S_{i_m}`$ denote the separatrices corresponding to $`V_1^+`$. That is, these are the separatrices whose germs at infinity are contained in $`V_1^+`$. Let $`_1𝒢`$ denote the subgraph whose vertices are the separatrices corresponding to $`V_1^+`$ and whose edges are the open sets $`V`$ with $`\widehat{V}V_1^+`$. It follows that $`_1`$ is a proper subinterval of $`𝒢`$. Similarly, we let $`_2`$ denote the interval generated by the separatrices whose germs are contained in $`V_2^+`$. Note that all of the separatrices $`S_i`$ are subsets of unstable manifolds. Thus their germs are contained in $`V^+`$, and so they belong to either $`_1`$ or $`_2`$.

If $`ϵ(f)=1`$, then $`fV_1^+V_1^+`$. Thus $`\widehat{f}`$ maps $`_1`$ to itself. If $`f`$ preserves orientation, then $`\widehat{f}:_1_1`$ is an orientation-preserving simplicial homeomorphism. It follows that $`\widehat{f}`$ is the identity on $`_1`$, and so $`f`$ is the identity on $`𝒢`$. Thus $`f`$ maps each edge and each vertex to itself, or $`f(p_i)=p_i`$ for every $`i`$; and this completes the proof in this case.

The remaining case is $`ϵ(f)=1`$, which implies that the degree is odd, and thus $`fV_1^+V_2^+`$ and $`fV_2^+V_1^+`$. This means that $`\widehat{f}:_1_2`$, and $`\widehat{f}:_2_1`$. Thus none of the separatrices can be fixed. On the other hand, $`f^2`$ preserves orientation and satisfies $`ϵ(f^2)=1`$. By the argument above, these points are fixed for $`f^2`$, so their periods are equal to 2.

###### Corollary 5.7

All one-sided points have period 1 or 2.

Proof. Without loss of generality, we may consider only unstably one-sided points. The mapping $`f^2`$ is orientation-preserving, and $`ϵ(f^2)=+1`$. By Theorem 5.6, each one-sided point is fixed for $`f^2`$. Thus the period is 1 or 2.

Let $`f`$ be a real, quadratic diffeomorphism of maximal entropy. If $`f`$ preserves orientation, then one of the saddle points, which we will call $`p_+`$, has positive multipliers $`\lambda ^u>\lambda ^s>0`$. The other fixed point has negative multipliers.

###### Proposition 5.8

Suppose $`f`$ is quadratic and orientation-preserving. Then the fixed point $`p_+`$ is both stably and unstably one-sided. No other point is one-sided.

Proof. Let $`p`$ denote an unstably one-sided point for $`f`$. By Lemma 5.6, $`p`$ is a fixed point. If $`p`$ is the saddle point with negative multipliers, it cannot be one-sided. Thus it must be the saddle point $`p_+`$, which has positive multipliers. Similarly, the stably one-sided point must also be $`p_+`$, so that $`p_+`$ is the only one-sided point, and it is doubly one-sided.

Figure 5.1

Let $`f`$ be a real, quadratic diffeomorphism of maximal entropy which reverses orientation. Then the fixed points are a pair of saddles $`p_\pm `$ with the property $`\pm \lambda ^u(p_\pm )>0>\pm \lambda ^s(p_\pm )`$.

###### Proposition 5.9

If $`f`$ is an orientation-reversing quadratic map, then the one-sided points are the fixed points $`p_\pm `$, and and $`p_\pm `$ is $`u/s`$-one-sided.

Proof. If $`p`$ is a one-sided point, then the period of $`p`$ must be 1 or 2. We show first that it cannot be 2. If $`q`$ is a fixed point of $`f`$ with multipliers $`\lambda ^{u/s}(q)`$, then $`q`$ is a also fixed point of $`f^2`$, and it has multipliers $`(\lambda ^{u/s}(q))^2>0`$.

Now let $`h`$ be an orientation preserving map of $`𝐑^2`$. For a saddle fixed point $`r`$ of a mapping $`h`$, we define $`\delta (h,r)`$ to be $`+1`$ if the multipliers of $`h`$ at $`r`$ are both positive, and we set $`\delta (h,r)=1`$ if the multipliers are both negative. If the degree of $`h`$ is even, it follows from the Lefschetz Fixed Point Formula (cf. \[F\]) that $`\delta (h,r)=0`$, where we sum over all the fixed points of $`h`$. Now we apply this to the map $`h=f^2`$, which is orientation-preserving and degree 4. There are 4 fixed points of $`h`$, corresponding to the 2 fixed points of $`f`$ and a 2-cycle for $`f`$. It follows that $`\{p_1,p_2\}`$ is the 2-cycle of $`f`$, we must have $`\delta (h,p_j)=1`$ for $`j=1,2`$.

On the other hand, suppose that $`p_1`$ is one-sided with separatrix $`S_1`$. Then $`p_2`$ is also one-sided, with separatrix $`S_2`$. Now $`f^2`$ maps the separatrix $`S_1`$ to itself, and thus the eigenvalue of $`Df^2(p_1)`$ must be positive. This means that $`\delta (f^2,p_1)=+1`$, which is a contradiction. Thus the only one-sided points are the fixed points of $`f`$.

Since $`f`$ reverses orientation, each periodic point satisfies $`\lambda ^u\lambda ^s<0`$, and thus $`\lambda ^s`$, $`\lambda ^u`$ cannot both be positive. Thus $`p`$ cannot be doubly one-sided.

Thus one of the fixed points must be stably one-sided with $`\lambda ^s>0>\lambda ^u`$ for this point. The other fixed point must be unstably one-sided and must have $`\lambda ^u>0>\lambda ^s`$.

###### Proposition 5.10

Suppose that $`f`$ reverses orientation and that $`ϵ(f)=+1`$. If $`d`$ is even, then at most one $`u`$ one-sided point can be a fixed point; if $`d`$ is odd, then at most two $`u`$ one-sided points can be fixed.

Proof. We construct the subintervals $`_1`$ and $`_2`$ as in the proof of Theorem 5.6. If the degree of $`f`$ is even, then $`fV_2^+V_1^+`$, and thus $`_2`$ is empty. The induced map $`\widehat{f}:_1_1`$ is an orientation-reversing simplicial homeomorphism. The simplicial map $`\widehat{f}`$ can fix at most one vertex of $`_1`$ (which happens when the number of vertices in $`_1`$ is odd). If $`d`$ is odd, then $`fV_2^+V_2^+`$, so that each of the restrictions $`\widehat{f}|_1`$ and $`\widehat{f}|_2`$ can have at most one fixed point.

References

\[BLS\] E. Bedford, M. Lyubich, and J. Smillie, Polynomial diffeomorphisms of $`𝐂^2`$. IV: The measure of maximal entropy and laminar currents. Invent. math. 112, 77–125 (1993).

\[BS8\] E. Bedford and J. Smillie, Polynomial diffeomorphisms of $`𝐂^2`$. VIII: Quasi-Expansion.

\[BL\] C. Bonatti and R. Langevin, Difféomorphismes de Smale des surfaces, Astérisque, 250, Sociéte Mathématique de France, 1998.

\[DN\] R. Devaney and Z. Nitecki, Shift automorphism in the Hénon mapping. Comm. Math. Phys. 67, 137–148 (1979).

\[F\] J. Franks, Homology and Dynamical Systems CBMS 49, AMS, 1982.

\[FM\] S. Friedland and J. Milnor, Dynamical properties of plane polynomial automorphisms. Ergodic Theory Dyn. Syst. 9, 67–99 (1989).

\[HO\] J.H. Hubbard and R. Oberste-Vorth, Hénon mappings in the complex domain II: Projective and inductive limits of polynomials, in: Real and Complex Dynamical Systems, B. Branner and P. Hjorth, eds. 89–132 (1995).

\[KKH\] I. Kan, H. Koçak, J. Yorke Antimonotonicity: concurrent creation and annihilation of periodic orbits. Ann. of Math. (2) 136 , no. 2, 219–252 (1992).

\[M\] J. Milnor, Non-expansive Hénon maps, Adv. Math. 69 (1988), 109–114.

\[NP\] S. Newhouse and J. Palis, Hyperbolic nonwandering sets on two-dimensional manifolds, Dyn. Systems, Peixoto ed., Salvador, 2 93–301 (1973).

\[O\] R. Oberste-Vorth, Complex horseshoes. Thesis, Cornell University 1987.

\[R\] C. Robinson, Dynamical Systems, CRC Press, 1995.

Eric Bedford

Indiana University

Bloomington, IN 47401

John Smillie

Cornell University

Ithaca, NY 14853