benford's law, values of l-functions and the 3x+1 problem
TRANSCRIPT
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Benford’s Law, Values of L-Functions andthe 3x + 1 Problem
Steven J MillerWilliams College
[email protected]://www.williams.edu/go/math/sjmiller
Special Session on Number TheoryAMS Sectional Meeting, Worcester Polytechnic Institute
Worcester, MA April 2009
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Summary
Acknowledgements: This talk is based on joint workwith Alex Kontorovich
Outline:⋄ Review history of Benford’s Law.⋄ Discuss applications of Poisson Summation.⋄ Study L-functions and 3x + 1.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Benford’s Law: Newcomb (1881), Benford (1938)
StatementFor many data sets, probability of observing a first digit ofd base B is logB
(d+1
d
); base 10 about 30% are 1s.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Benford’s Law: Newcomb (1881), Benford (1938)
StatementFor many data sets, probability of observing a first digit ofd base B is logB
(d+1
d
); base 10 about 30% are 1s.
Not all data sets satisfy Benford’s Law.⋄ Long street [1, L]: L = 199 versus L = 999.⋄ Oscillates between 1/9 and 5/9 with first digit 1.⋄ Many streets of different sizes: close to Benford.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Examples
recurrence relations
special functions (such as n!)
iterates of power, exponential, rational maps
products of random variables
L-functions, characteristic polynomials
iterates of the 3x + 1 map
differences of order statistics
hydrology and financial data
many hierarchical Bayesian models
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Applications
analyzing round-off errors
determining the optimal way to storenumbers
detecting tax and image fraud, and dataintegrity
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
General Theory
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Mantissas
For x > 0 write x = MB(x) · Bk , MB(x) ∈ [1, B) isthe mantissa and k ∈ Z.
MB(x) = MB(x) if and only if x and x have thesame leading digits.
Key observation: logB(x) = logB(x) mod 1 if andonly if x and x have the same leading digits.Thus often study y = logB x .
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Logarithms and Benford’s Law
Fundamental EquivalenceData set xi is Benford base B if yi isequidistributed mod 1, where yi = logB xi .
0 1
1 102
log 2 log 10
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Benford Good Processes
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Poisson Summation and Benford’s Law: Definitions
Feller, Pinkham (often exact processes)
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Poisson Summation and Benford’s Law: Definitions
Feller, Pinkham (often exact processes)data YT ,B = logB
−→X T (discrete/continuous):
P(A) = limT→∞
#n ∈ A : n ≤ TT
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Poisson Summation and Benford’s Law: Definitions
Feller, Pinkham (often exact processes)data YT ,B = logB
−→X T (discrete/continuous):
P(A) = limT→∞
#n ∈ A : n ≤ TT
Poisson Summation Formula: f nice:∞∑
ℓ=−∞f (ℓ) =
∞∑
ℓ=−∞f (ℓ),
Fourier transform f (ξ) =
∫ ∞
−∞f (x)e−2πixξdx .
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Benford Good Process
XT is Benford Good if there is a nice f st
CDF−→Y T ,B
(y) =
∫ y
−∞
1T
f(
tT
)dt+ET (y) := GT (y)
and monotonically increasing h (h(|T |) → ∞):Small tails: GT (∞) − GT (Th(T )) = o(1),GT (−Th(T )) − GT (−∞) = o(1).Decay of the Fourier Transform:∑
ℓ 6=0
∣∣∣ f (T ℓ)ℓ
∣∣∣ = o(1).
Small translated error: E(a, b, T )) =∑|ℓ|≤Th(T ) [ET (b + ℓ) − ET (a + ℓ)] = o(1).
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Main Theorem
Theorem (Kontorovich and M–, 2005)XT converging to X as T → ∞ (think spreadingGaussian). If XT is Benford good, then X isBenford.
Examples⋄ L-functions⋄ characteristic polynomials (RMT)⋄ 3x + 1 problem⋄ geometric Brownian motion.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Sketch of the proof
Structure Theorem:⋄ main term is something nice spreading out⋄ apply Poisson summation
Control translated errors:⋄ hardest step⋄ techniques problem specific
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Sketch of the proof (continued)
∞∑
ℓ=−∞P
(a + ℓ ≤ −→
Y T ,B ≤ b + ℓ)
=∑
|ℓ|≤Th(T )
[GT (b + ℓ) − GT (a + ℓ)] + o(1)
=
∫ b
a
∑
|ℓ|≤Th(T )
1T
f(
tT
)dt + E(a, b, T ) + o(1)
= f (0) · (b − a) +∑
ℓ 6=0
f (T ℓ)e2πibℓ − e2πiaℓ
2πiℓ+ o(1).
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Values of L-Functions
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
‘Good’ L-Functions
We say an L-function is good if:Euler product:
L(s, f ) =∞∑
n=1
af (n)
ns =∏
p
d∏
j=1
(1 − αf ,j(p)p−s)−1
.
L(s, f ) has a meromorphic continuation to C, is of finite order,and has at most finitely many poles (all on the line Re(s) = 1).
Functional equation:
eiωG(s)L(s, f ) = e−iωG(1 − s)L(1 − s),
where ω ∈ R and
G(s) = Qsh∏
i=1
Γ(λi s + µi)
with Q, λi > 0 and Re(µi ) ≥ 0.19
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
‘Good’ L-Functions (cont)
For some ℵ > 0, c ∈ C, x ≥ 2 we have
∑
p≤x
|af (p)|2p
= ℵ log log x + c + O(
1log x
).
The αf ,j(p) are (Ramanujan-Petersson) tempered: |αf ,j(p)| ≤ 1.
If N(σ, T ) is the number of zeros ρ of L(s) with Re(ρ) ≥ σ andIm(ρ) ∈ [0, T ], then for some β > 0 we have
N(σ, T ) = O
(T
1−β
(σ−
12
)
log T
).
Known in some cases, such as ζ(s) and Hecke cuspidal formsof full level and even weight k > 0.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Results
Theorem (Kontorovich-Miller ’05)Let L(s, f ) be a good L-function. Fix a δ ∈ (0, 1).For each T , let σT = 1
2 + 1logδ T
. Then as T → ∞
µ t ∈ [T , 2T ] : MB (|L(σT + it , f )|) ≤ τT
→ logB τ
Thus the values of the L-function satisfyBenford’s Law in the limit for any base B.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Riemann Zeta Function: Data
∣∣ζ(
12 + ik
4
)∣∣, k ∈ 0, 1, . . . , 65535.
2 4 6 8
0.05
0.1
0.15
0.2
0.25
0.3
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
The 3x + 1 Problem
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 Problem
Kakutani (conspiracy), Erdös (not ready).
x odd, T (x) = 3x+12k , 2k ||3x + 1.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 Problem
Kakutani (conspiracy), Erdös (not ready).
x odd, T (x) = 3x+12k , 2k ||3x + 1.
Conjecture: for some n = n(x), T n(x) = 1.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 Problem
Kakutani (conspiracy), Erdös (not ready).
x odd, T (x) = 3x+12k , 2k ||3x + 1.
Conjecture: for some n = n(x), T n(x) = 1.
7 →1 11 →1 17 →2 13 →3 5 →4 1 →2 1,2-path (1, 1), 5-path (1, 1, 2, 3, 4).m-path: (k1, . . . , km).
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Heuristic Proof of 3x + 1 Conjecture
an+1 = T (an)
E[log an+1] ≈∞∑
k=1
12k log
(3an
2k
)
= log an + log 3 − log 2∞∑
k=1
k2k
= log an + log(
34
).
Geometric Brownian Motion, drift log(3/4) < 1.27
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Structure Theorem: Sinai, Kontorovich-Sinai
P(A) = limN→∞#n≤N:n≡1,5 mod 6,n∈A
#n≤N:n≡1,5 mod 6 .(k1, . . . , km): two full arithm progressions:6 · 2k1+···+kmp + q.
Theorem (Sinai, Kontorovich-Sinai)ki-values are i.i.d.r.v. (geometric, 1/2):
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Structure Theorem: Sinai, Kontorovich-Sinai
P(A) = limN→∞#n≤N:n≡1,5 mod 6,n∈A
#n≤N:n≡1,5 mod 6 .(k1, . . . , km): two full arithm progressions:6 · 2k1+···+kmp + q.
Theorem (Sinai, Kontorovich-Sinai)ki-values are i.i.d.r.v. (geometric, 1/2):
P
log2
[xm
(34)
mx0
]
√2m
≤ a
= P
(Sm − 2m√
2m≤ a
)
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Structure Theorem: Sinai, Kontorovich-Sinai
P(A) = limN→∞#n≤N:n≡1,5 mod 6,n∈A
#n≤N:n≡1,5 mod 6 .(k1, . . . , km): two full arithm progressions:6 · 2k1+···+kmp + q.
Theorem (Sinai, Kontorovich-Sinai)ki-values are i.i.d.r.v. (geometric, 1/2):
P
log2
[xm
( 34)
mx0
]
(log2 B)√
2m≤ a
= P
(Sm − 2m
(log2 B)√
2m≤ a
)
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Structure Theorem: Sinai, Kontorovich-Sinai
P(A) = limN→∞#n≤N:n≡1,5 mod 6,n∈A
#n≤N:n≡1,5 mod 6 .(k1, . . . , km): two full arithm progressions:6 · 2k1+···+kmp + q.
Theorem (Sinai, Kontorovich-Sinai)ki-values are i.i.d.r.v. (geometric, 1/2):
P
logB
[xm
(34)
mx0
]
√2m
≤ a
= P
(Sm−2m)log2 B√
2m≤ a
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 and Benford
Theorem (Kontorovich and M–, 2005)As m → ∞, xm/(3/4)mx0 is Benford.
Theorem (Lagarias-Soundararajan 2006)
X ≥ 2N , for all but at most c(B)N−1/36X initialseeds the distribution of the first N iterates ofthe 3x + 1 map are within 2N−1/36 of theBenford probabilities.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Sketch of the proof
Failed Proof: lattices, bad errors.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Sketch of the proof
Failed Proof: lattices, bad errors.
CLT: (Sm − 2m)/√
2m → N(0, 1):
P (Sm − 2m = k) =η(k/
√m)√
m+O
(1
g(m)√
m
).
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Sketch of the proof
Failed Proof: lattices, bad errors.
CLT: (Sm − 2m)/√
2m → N(0, 1):
P (Sm − 2m = k) =η(k/
√m)√
m+O
(1
g(m)√
m
).
Quantified Equidistribution:Iℓ = ℓM , . . . , (ℓ+1)M −1, M = mc, c < 1/2
k1, k2 ∈ Iℓ:∣∣∣η(
k1√m
)− η
(k2√m
)∣∣∣ small
C = logB 2 of irrationality type κ < ∞:
#k ∈ Iℓ : kC ∈ [a, b] = M(b−a)+O(M1+ǫ−1/κ).35
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Irrationality Type
Irrationality typeα has irrationality type κ if κ is the supremum ofall γ with
limq→∞qγ+1 minp
∣∣∣∣α − pq
∣∣∣∣ = 0.
Algebraic irrationals: type 1 (Roth’s Thm).
Theory of Linear Forms: logB 2 of finite type.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Linear Forms
Theorem (Baker)α1, . . . , αn algebraic numbers height Aj ≥ 4,β1, . . . , βn ∈ Q with height at most B ≥ 4,
Λ = β1 log α1 + · · · + βn log αn.
If Λ 6= 0 then |Λ| > B−CΩ log Ω′
, withd = [Q(αi , βj) : Q], C = (16nd)200n,Ω =
∏j log Aj , Ω′ = Ω/ log An.
Gives log10 2 of finite type, with κ < 1.2 · 10602:
|log10 2 − p/q| = |q log 2 − p log 10| /q log 10.37
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Quantified Equidistribution
Theorem (Erdös-Turan)
DN =sup[a,b] |N(b − a) − #n ≤ N : xn ∈ [a, b]|
N
There is a C such that for all m:
DN ≤ C ·(
1m
+
m∑
h=1
1h
∣∣∣∣∣1N
N∑
n=1
e2πihxn
∣∣∣∣∣
)
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Proof of Erdös-Turan
Consider special case xn = nα, α 6∈ Q.
Exponential sum ≤ 1| sin(πhα)| ≤ 1
2||hα|| .
Must control∑m
h=11
h||hα|| , see irrationalitytype enter.
type κ,∑m
h=11
h||hα|| = O(mκ−1+ǫ
), take
m = ⌊N1/κ⌋.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 Data: random 10,000 digit number, 2k ||3x + 1
80,514 iterations ((4/3)n = a0 predicts 80,319);χ2 = 13.5 (5% 15.5).
Digit Number Observed Benford1 24251 0.301 0.3012 14156 0.176 0.1763 10227 0.127 0.1254 7931 0.099 0.0975 6359 0.079 0.0796 5372 0.067 0.0677 4476 0.056 0.0588 4092 0.051 0.0519 3650 0.045 0.046
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
3x + 1 Data: random 10,000 digit number, 2|3x + 1
241,344 iterations, χ2 = 11.4 (5% 15.5).
Digit Number Observed Benford1 72924 0.302 0.3012 42357 0.176 0.1763 30201 0.125 0.1254 23507 0.097 0.0975 18928 0.078 0.0796 16296 0.068 0.0677 13702 0.057 0.0588 12356 0.051 0.0519 11073 0.046 0.046
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
5x + 1 Data: random 10,000 digit number, 2k ||5x + 1
27,004 iterations, χ2 = 1.8 (5% 15.5).
Digit Number Observed Benford1 8154 0.302 0.3012 4770 0.177 0.1763 3405 0.126 0.1254 2634 0.098 0.0975 2105 0.078 0.0796 1787 0.066 0.0677 1568 0.058 0.0588 1357 0.050 0.0519 1224 0.045 0.046
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
5x + 1 Data: random 10,000 digit number, 2|5x + 1
241,344 iterations, χ2 = 3 · 10−4 (5% 15.5).
Digit Number Observed Benford1 72652 0.301 0.3012 42499 0.176 0.1763 30153 0.125 0.1254 23388 0.097 0.0975 19110 0.079 0.0796 16159 0.067 0.0677 13995 0.058 0.0588 12345 0.051 0.0519 11043 0.046 0.046
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Conclusions
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Conclusions
See many different systems exhibit Benfordbehavior.
Ingredients of proofs (logarithms,equidistribution).
Applications to fraud detection / dataintegrity.
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Introduction Theory of Benford’s Law Benford Good Values of L-Functions The 3x + 1 Problem Conclusions Refs
Caveats!
Not all fraud can be detected by Benford’sLaw.
A math test indicating fraud is not proof offraud: unlikely events, alternate reasons.
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References
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