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Glasgow Math. J.45(2003) 557–566.2003 Glasgow Mathematical Journal Trust. DOI: 10.1017/S0017089503001460. Printed in the United Kingdom

GENERATING THE FULL TRANSFORMATION SEMIGROUP

USING ORDER PRESERVING MAPPINGS

P. M. HIGGINS

Department of Mathematics, University of Essex, Wivenhoe Park, Colchester, CO4 3SQ, United Kingdom e-mail: [email protected]

J. D. MITCHELL and N. RU ˇSKUC

Mathematical Institute, North Haugh, St Andrews, Fife, KY16 9SS, United Kingdom e-mail: [email protected]

(Received 8 October, 2002; accepted 2 February, 2003)

Abstract. For a linearly ordered set X we consider the relative rank of the semigroup of all order preserving mappingsOXonXmodulo the full transformation semigroupTX. In other words, we ask what is the smallest cardinality of a setAof mappings such thatOXA =TX. WhenXis countably infinite or well-ordered (of arbitrary cardinality) we show that this number is one, while whenX=⺢(the set of real numbers) it is uncountable.

2000Mathematics Subject Classification.20M20, 06A05.

1. Introduction. For a semigroup S, the ‘classical’ idea of rank is concerned with finding minimum size generating sets forS; see [6] or [10]. When working with a finitely generated semigroupS determining the rank of S, denoted rank(S), is a natural consideration. However, for an uncountable semigroupSthe rank ofSis|S|, and so the classical notion of rank provides us with no information. We introduce a different rank property which allows us to ‘measure’, from a certain perspective, a given semigroup with respect to some distinguished subsemigroups. For a semigroup

S, ifASthen we call the minimum cardinality of a setBsuch that

AB =S,

therelative rank of S modulo A. Alternatively, we may refer to this cardinality as the

relative rank of A in S; which we denote by rank(S:A). This subject has been studied in the context of groups in [2] and [14]. In these papers, so called large subgroups of the symmetric groupSX, over an infinite setX, were considered. The relative rank of the full transformation semigroupTX, over an infinite setX, modulo various standard subsemigroups was first considered in [7]. It was shown in [11] that the relative rank ofTX moduloSX is two. In the same paper it was shown that the relative rank of the set of all idempotent maps onX in TX is, also, two. Sierpi ´nski [15] showed that any countable set of maps from X to X is contained in a 2-generated subsemigroup of

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analogues of these results in the semigroup of all binary relations, the semigroup of all partial maps, and the symmetric inverse semigroup were proven in [8].

In this paper we consider the relative rank of the full transformation semigroup

TX, where (X,≤) is an infinite linearly ordered set, modulo the subsemigroupOXof all order preserving maps onX. Recall, that a mapαTXisorder preservingif

xyimpliesyα,

for allx,yX.

For finiteX (of sizen, say) the semigroup OX has been studied extensively. Its order is (2nn11), its rank, in the classical sense, isn, it is idempotent generated and its idempotent rank is 2n−2 (see [4] and [9]). Furthermore, it is easy to see that

rank(TX :OX)=2.

Indeed, it is well-known that it is possible to generateTX using elements ofSX and an arbitrary map α with the property that |im(α)| =n−1. If we choose αOX then the result follows from the observation thatOXSX= {1X}and the fact that

rank(SX)=2.

In [8] the case whereX=⺞(with the usual ordering) was considered, and it was shown that

rank(T⺞:O⺞)=1.

In this paper we build on the above example and show that

rank(TX:OX)=1,

whenXis an arbitrary countable linearly ordered set or an arbitrary well-ordered set (of any cardinality) but that rank(TX :OX) can be uncountable for some (uncountable, non-well-ordered) linearly ordered setsX.

2. Countable linearly ordered sets. In this section we prove the following result.

THEOREM2.1.Let X be a countable linearly ordered set. The relative rank ofTX moduloOXis one.

For the remainder of this section X will be a fixed countably infinite linearly ordered set. Forx,yXwithx<ywe define

[x,y]= {zX:xzy}, (x,y)= {zX:x<z<y},

(x,y]= {zX:x<zy}, [x,y)= {zX:xz<y}.

We call these setsintervals,delimitedbyxandy. An elementdX is calleddiscrete

if there existx,yXwithd ∈(x,y) such that (x,d)=(d,y)= ∅. We call an element

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the current definitions. To remedy this, ifx0∈Xis the smallest element ofXand there

existsyXsuch thaty=x0 and (x0,y)= ∅then we shall callx0 discrete; otherwise

we callx0left isolated. Analogously, ifXhas a largest element then it is either discrete

or right isolated. Finally, an elementtX(which is neither the largest nor the smallest element ofX) is called alimit pointif (x,t)= ∅and (t,y)= ∅for everyx<tand for everyy>t.

We now start a sequence of lemmas, leading to the proof of Theorem 2.1. Throughout we take⺞= {1,2, . . .}.

LEMMA2.2. Let X be a countable linearly ordered set consisting entirely of limit

points, and let λbe any function from X to. Then there exists an order preserving injectionαfrom X to X such that|X\im(α)| = |X|(= |im(α)|)satisfying xαλxλ, for all xX .

Proof.We start by finding an intervalIX such that for everyx,y,zI, with

x<y, there existst∈(x,y) such that. LetJ be an arbitrary interval. One of the following alternatives holds:

(i) for every subinterval ofJ delimited byx,yJ, withx<y, and for every

n∈⺞there existsz∈(x,y) such thatzλ >n; or

(ii) there exists a subintervalKJ and there existsn∈⺞such thatn, for eachxK.

If condition (i) holds then the intervalJ has the required property and we letI =J. Assume that condition (ii) holds. If for allx,yK, withx<y, there existsz∈(x,y) such that=n, thenKsatisfies the necessary condition and we letI=K. Otherwise, there exists a subintervalK1⊆Ksuch thatn−1, for allxK1. We considerK1

in the same way as we have just consideredK, so that if for allx,yK1, withx<y,

there existsz∈(x,y) such that=n−1 then we letI=K1. Otherwise, there exists

a subintervalK2 ⊆K1such thatn−2, for allxK2. We repeat this process to

give the sequence of non-empty subintervals:

K=K0⊇K1 ⊇K2⊇K3⊇ · · ·,

wherenifor everyxKi. Note that this process always terminates withi= n−1 at latest.

Let (a,b)⊆Ibe an arbitrary interval. Note that sinceaandbare both limit points we have|(a,b)| = |X|. We defineαOX inductively as follows. First we defineαon the pointsaandb, so that=band=c, wherec∈(a,b) with. Such a pointcexists from the defining property ofI.

Next, we enumerate the elements of [a,b]:

b=e0,a=e1,e2,e3, . . . .

Fork∈⺞, our inductive hypothesis is that the elementse0α,e1α,e2α, . . . ,ekα∈[c,b]

are defined so thatα is injective, order preserving and satisfieseiαλeiλ for every

i∈ {0,1, . . . ,k}. To defineek+1α, we find the largestei∈[a,b] withei<ek+1, where ik, and the smallestej∈[a,b] withek+1<ej, wherejk. Sincei,jkthe elements eiα andejα are already defined andeiα <ejα. From the definition ofI there exists

y∈(eiα,ejα) such thatyλek+1λand so we defineek+1α=y. Finally, forx<aand

forx>b we let=x. Note that sinceais a limit point and [a,c)∩im(α)= ∅we

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We use the above lemma to prove a more general result for linearly ordered countably infinite sets which contain elements that are not limit points.

LEMMA2.3.Let X be a countable linearly ordered set. Then there exists an order

preserving injectionαfrom X to X such that|X\im(α)| = |X|(= |im(α)|).

Proof.There are two cases to consider.

Case 1. There is an infinite sequence of consecutive discrete points in X .It is clear that any such sequence is either strictly increasing or strictly decreasing. Without loss of generality, we assume that{y1<y2<· · ·} ⊆X is an increasing sequence of

consecutive discrete points. DefineαfromXtoXby

=

y2i x=yi (i∈⺞) x x∈ {y1,y2, . . .}.

The mapαis an order preserving injection andX\im(α)= {y1,y3, . . .}.

Case 2. No infinite sequence of consecutive discrete points exists.Without loss of generality assume thatXhas no smallest or largest point. (Indeed, ifXhad a smallest point, say, then it would start asx1<x2<· · ·<xk<l, where each xi is a discrete

point andlis a left isolated point. But then we can considerX\{x1, . . . ,xk,l}.)

Consider an arbitrary right isolated pointr. Then there existsx1such thatr<x1

and (r,x1)= ∅. Clearly, x1 is either a discrete point or a left isolated point. If x1

is discrete then there exists x2 >x1 such that (x1,x2)= ∅. By assumption we can

continue this for only finitely many steps to obtain a finite sequencer,x1,x2, . . . ,xk,l

where eachxiis a discrete point andlis left isolated. Thus for every right isolatedrX

there exists a corresponding left isolatedlXsuch that the interval (r,l) is finite. Let ρbe the equivalence relation with equivalence classes{t}, wheretis a limit point, and

{r,x1,x2, . . . ,xk,l}wherexiis a discrete point for eachi∈ {1,2, . . . ,k},lis left isolated

andris right isolated. LetX=X/ρ, the quotient ofXbyρ. The order onXinduces a (linear) order onX:

x/ρy/ρif and only ifx/ρ =y/ρorx<yfor allxx/ρ, yy/ρ.

We claim that every pointx/ρ ofX is a limit point. We have two cases to consider, whenx/ρ= {x}and whenx/ρ = {r,x1,x2, . . . ,xk,l}, for somek≥0.

In the first case, we have thatxis a limit point inX. LetyXwithy/ρ <x/ρ. We show that (y/ρ,x/ρ)= ∅. From the definition of the order onX we havey<x

and so|(y,x)| = |X|. It follows that there existsz∈(y,x) such thatz=xandzy/ρ, sincey/ρ is finite. Sincex/ρ is a singleton this implies thatz/ρ∈(y/ρ,x/ρ) and so

(y/ρ,x/ρ)= ∅, as required. An analogous argument shows that for anyzX with

x/ρ <z/ρwe have (x/ρ,z/ρ)= ∅. It follows thatx/ρis a limit point.

In the second case, note that for anyy,zXsuch thaty/ρ <x/ρ <z/ρwe have

y<r<l<z. Sinceris a right isolated point it follows that (y,r) is infinite. Again, since

y/ρandr/ρare finite there existst∈(y,r) such thatty/ρandtr/ρ. This implies thatt/ρ∈(y/ρ,r/ρ)=(y/ρ,x/ρ) and so (y/ρ,x/ρ)= ∅, as required. An analogous argument shows that (x/ρ,z/ρ)= ∅. It follows thatx/ρis a limit point.

We now label each element ofXaccording to the size of its class, so that we may apply Lemma 2.2. More precisely, we defineλ:X→⺞by

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By Lemma 2.2 there exists an order preserving bijection ¯αfromXtoXsatisfying

(x/ρ) ¯αλ≥(x/ρ)λ,

such thatX\im( ¯α) is infinite. We shall now ‘lift’ the function ¯αto a functionα:XX

as follows:

=

        

y ifxis a limit point and (x/ρ) ¯α=y/ρ= {y}whereyis a limit point,

r ifxis a limit point and (x/ρ) ¯α= {r,x1,x2, . . . ,xk,l}, xi ifx=xiin{r=x0,x1, . . . ,xk,xk+1=l} ∈Xand

(x/ρ) ¯α= {r=x0,x1, . . . ,xs,xs+1=l}forsk.

In the final case, since ¯αsatisfies (x/ρ) ¯αλ= |(x/ρ) ¯α| ≥ |x/ρ| =(x/ρ)λ, it is clear that,

under ¯α, the image ofx/ρ = {r=x0,x1, . . . ,xk,xk+1=l}must be a set with at least k+2 elements. Note that,∈(x/ρ) ¯αfor everyxX.

For arbitraryx,yX, withx<y, we show thatxα <yαand henceαis order preserving and injective. There are two cases to consider. Firstly, ifx/ρ=y/ρ then (x/ρ) ¯α <(y/ρ) ¯α, since ¯αis order preserving and injective. It follows from the definition of the order on X that z<t, for all z∈(x/ρ) ¯α and for all t∈(y/ρ) ¯α, and hence

xα <yα. Secondly, if

x/ρ = {r=x0,x1, . . . ,xk,xk+1=l} =y/ρ

thenx=xiandy=xjfori<j. By definition we have

(x/ρ) ¯α= {r=x0,x1, . . . ,xs,xs+1=l} =(y/ρ) ¯α,

whereskand=xi<xj=, as required. Note that im(α)⊆im( ¯α), and since

X\im( ¯α) is infinite, it follows thatX\im(α) is infinite.

The next two lemmas allow us to use methods similar to those in the proof of [8, Example 1.6] to encode an arbitrary map into an order preserving map.

LEMMA 2.4.Let Y be a countably infinite linearly ordered set. Then there exists

ZY such that either Z∼=⺪+or Z∼=⺪−

Proof.There are two cases to consider.

Case 1. All the points in Y are discrete points. We construct Z as follows. Let

z1 ∈Ybe arbitrary. Then at least one of the sets{yY:y>z1}or{yY:y<z1}

is infinite. Without loss of generality we assume that

|{yY:y>z1}| = |Y|.

We may choose z2,z3, . . . so that (z1,z2)= ∅, (z2,z3)= ∅, etc. Then Z=

{z1,z2,z3, . . .} ∼=⺪+.

Case 2. There exists a left isolated point, a right isolated point or a limit point in Y .Without loss of generality, we assume that there is a right isolated pointrY. Let

z1 <rbe arbitrary, sinceris right isolated we have (z1,r)= ∅. Hence we may choose z2 ∈(z1,r). Continue to choosez3∈(z2,r),z4∈(z3,r), etc. ThenZ= {z1,z2,z3, . . .} ∼=

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LEMMA2.5.Let X be a countable linearly ordered infinite set. Let ZX be such that Z∼=⺪+or Z∼=⺪−, and letαbe an order preserving map from Z to Z. Then there existsβOX such thatβZ=α.

Proof.We assume, without loss of generality, thatZ= {z1<z2<· · ·} ∼=⺪+ and

letαbe an order preserving map fromZtoZ. We defineβTXby

=

    

x ifx<z1, ziα ifx∈[zi,zi+1),

x ifx>zi, for everyi∈⺞.

It is easy to verify thatβ is order preserving andβZ =α.

We are now in a position to prove the main result of this section.

Proof of Theorem2.1. LetYX such that|Y| = |X\Y| = |X|and let β be an order preserving bijection fromXtoX\Y; these exist by Lemma 2.3. Assume, without loss of generality, that there existsZYsuch thatZ∼=⺪+and letZ= {z1<z2<· · ·},

as described in Lemma 2.4. SinceX\Y andZhave the same cardinality there exists a bijectionfromX\Y toZ. Note thatβis a bijection fromX toZ. Letδ be any mapping fromZtoXsuch that

zpj =zk

−1β−1,

wherepkis thekth prime andj∈⺞arbitrary. LetTXbe any mapping such that

x=

    

x ifxX\Y ifxZ

arbitrary ifxY\Z

LetαTX be arbitrary. We show thatαcan be generated usingand elements of OX. We define γ from Z to Z inductively. First we define γ on z1, so that if z1−1β−1αβ=zkthen z1γ =zpk. For t>1 we assume thatγ is defined and order preserving onz1, . . . ,zt−1. To defineztγ we first let

M=max{i:zi∈ {z1, . . . ,zt−1}γ}.

Sinceβis a bijection fromXtoZthere existsxXsuch that

zt−1β−1=x

and there existszsZsuch that ()β=zs. We choosej∈⺞such thatpjs>Mand

we defineztγ =zpjs. Our choice ofjensures thatγ is order preserving. LetηTX be an extension ofγto an element ofOX, as described in Lemma 2.5.

We claim that

α=βη.

LetxX be arbitrary. Sinceβis a bijection (from X to Z) there exists a unique elementztZsuch that==zt. Analogously, there exists a unique element zsZsuch thatxαβ=xαβ=zs. Hence

xβη=xβη=ztη=ztγ =zpj

s=zpjsδ=zs

−1β−1=xα.

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3. Well-ordered sets. In this section we extend the result of the previous section to well-ordered sets of arbitrary cardinality. Recall that an ordered set (X,≤) is well-ordered if every subset ofX contains a least element. We start by introducing some standard results concerning well-ordered sets which we shall use later. For more details see [5], [12] or [13].

For an arbitraryxXwe call the sets(x)= {yX:y<x}theinitial segmentof

x. It is well-known that for any two well-ordered setsXandYeitherXis isomorphic to

Y,Xis isomorphic to an initial segment ofYorYis isomorphic to an initial segment ofX; see for example [12, Theorem 1]. This induces a natural (well) ordering on the class of all well-ordered sets, so that

XYif and only ifX∼=YorXis isomorphic to an initial segment ofY. (1)

A natural reformulation of this result relates a well-ordered set to its subsets.

PROPOSITION3.6.Each subset of a well-ordered set X is either isomorphic to X or to

an initial segment of X .

Another useful and natural consequence of the order on the class of all well-ordered sets is:

PROPOSITION3.7.No well-ordered set is isomorphic to an initial segment of itself.

For a proof see [12, Lemma 2.2].

In light of the previous section a natural question to ask is whether, or not, there exists an uncountable setXfor which the relative rank ofTXmoduloOXis countable? The next result answers this question in the affirmative.

LEMMA3.8.Let X be an arbitrary infinite set and letdenote the least well-ordered

set of cardinality|X|. Then the relative rank ofTmoduloOis one.

Proof.Letx(x) denote subsets ofsuch that|x| = ||andxy= ∅

wheneverx=y. Since eachxhas cardinality|X|andis the smallest well-ordered

set of cardinality|X|, it follows from Proposition 3.6 and Proposition 3.7 thatx∼=,

for allx. Fix a mappingµTsuch that

=y (y).

For an arbitrary αT, we define a map βO by transfinite induction as follows. If =y then we define =z, wherezy andz>tβ for every t<x.

Such an elementzexists sincey(∼=) is not isomorphic to an initial segment of,

by Proposition 3.7. For an arbitraryx, if=ythen we have

xβµ==y=xα,

and soαO, µ. It follows thatT= O, µand in particular rank(T:O)=1,

as required.

We use this lemma to prove the main result of this section:

THEOREM3.9.Let X be an arbitrary well-ordered set. The relative rank ofTXmodulo OXis one.

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the latter case the result follows by Lemma 3.8. In the former case, letY denote the initial segment ofXisomorphic toT and letZ=X\Y. By the same argument as in the proof of Lemma 3.8, we may find pairwise disjoint setsY1,Y2,Y3⊆Ysuch that Y=Y1∪Y2∪Y3 andYi∼=Y, for eachi. By Lemma 3.8 there exists a mapTY2 such thatOY2, =TY2. We define a map σ :TY2−→TX such that forxX and ρTY2

(x)(ρσ)=

x xZ,

xY, wherey=min{zY2:zx}.

In the second case, note that such an elementyalways exists sinceY2 is well-ordered

and is not a subset of an initial segment ofY. It is easy to see thatOY2σOX. Since

Y=Y1 andyz, for everyyY and for everyzZ, we may define an injection

βOXfromXtoY1∪Zsuch that=Y1and=Z. SinceY1∪Zhas the same

cardinality asY2we may find a bijectionδfromY1∪ZtoY2. We let ¯µbe any order

preserving bijection fromY2toY3and defineµTXby

=

x x>y, for allyY2; ¯ y=min{zY2:zx}.

In fact,µis order preserving. In order to see this, it is enough to note that{x:x> yfor allyY2} =ZsinceY2, being isomorphic to Y, is not contained in an initial

segment ofY. From the definition it is obvious thatµrestricted to eitherZorY=X\Z

is order preserving. In addition, =Y2µ=Y3⊆Y, =Z and y<z for all yY,zZ.

Next, we define a mapγ :Y3 −→Xby

=¯−1δ−1β−1.

Note that the domains of the mapsδ, andγ are disjoint and that their union isX

itself. Hence we may define a mapηTXby

=

    

xY1∪Z x xY2 xY3.

We claim thatηtogether withOXgeneratesTX. LetαTXbe arbitrary. First note that for anyθTY2 there existsρOY2σ, ηOX, η(⊆TX) such that ρY2=θ. This follows from (ζ σ)Y2=ζ for allζTY2,ηY2=andOY2, =TY2.

In particular, sinceβδis a bijection fromXtoY2, we may find a mapρOX, η

such thatρY2=δ

1β−1αβδ. Then, for an arbitraryxX, withxβδ=yY

2we have

xβηρµη=(xβδ)ρµη=yρµη=−1β−1αβδµη=(xα)βδµη

=(xαβδµ)γ =xαβδµµ¯−1δ−1β−1=xα,

and soαOX, ηandTX = OX, η.

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LEMMA 4.10. Let X be an infinite linearly ordered set such that there exists a subset YX with |Y| = |X| and where any order preserving map from Y to Y can be extended to an order preserving map from X to X . Thenrank(TY :OY)≤2implies

rank(TX:OX)≤2.

Proof.By assumption, there exist, δTY such thatOY, , δ =TY, and for everyαOY there existsηOXsuch thatηY =α. Let, δTX be any mappings

such thatY= andδY =δ. Letβ :XY be any bijection and letγTX be

arbitrary. We show that it is possible to generate γ using elements ofOX and four other mappings. SinceOY, , δ =TY we see that for any mapαTY there exists µOX, , δsuch thatµY =α. In particular, there existsµOX, , δsuch that

µY=β−1γβ.

Letνbe any extension ofβ−1to an element ofTX. For an arbitraryxXifxβ =y

then

xβµν=yµν =−1γβν =−1γ =xγ.

We have shown thatγOX, δ, , β, νand soTX= OX, δ, , β, ν. It follows from

[8, Corollary 1.2] that rank(TX:OX)≤2.

COROLLARY4.11.If X is an arbitrary linearly ordered set, such that there exists a

well-ordered subset YX , with|Y| = |X|, thenrank(TX :OX)≤2.

Proof.Letαbe an order preserving map fromY toY. ThenαTXdefined by

=

x x>yfor allyY y=min{zY:zx},

is an order preserving map fromXtoX. The result follows by Theorem 3.9 and Lemma

4.10.

Having found the relative rank of T⺞ modulo O⺞ and the relative rank ofT⺡ moduloO⺡a natural question to ask is: what is the relative rank ofT⺢moduloO⺢?

EXAMPLE4.12. The relative rank ofT⺢moduloO⺢is uncountable. We show this by proving that the cardinality of the semigroup of all order preserving mappings on the reals⺢is 2ℵ0<22ℵ0 = |T⺢|. For an arbitraryαO⺢we show thatαis discontinuous at only countably many points in⺢. LetD= {x:αis discontinuous atx}. ForxD, letax=supt<x{}and letbx=inft>x{}. Next, defineβ:D−→G, whereGis the

family of all open subsets of⺢, by:

=(ax,bx).

Observe that the family{:xD}consists of non-empty pairwise disjoint open sets, hence

|{:xD}| ≤ ℵ0.

The mapβis injective and so

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Next, we show thatαis almost determined by its rational points. Forx∈⺢\⺡

definesx=supq∈⺡{:q<x}andtx=infq∈⺡{:q>x}and observe that ∈[sx,tx],

sinceαis an order preserving map. Sinceαis discontinuous at only countably many points there are only countably many intervals [sx,tx] which are not singletons. It follows that there are only 2ℵ0maps inO

⺢.

The cardinality of the setPof all order preserving mappings⺡→⺢is 2ℵ0. Since every elementαofOis almost determined byαPit follows that|O| =2ℵ0too.

We conclude the paper with the following two questions:

OPENPROBLEM4.13.Is it true that ifrank(TX:OX)≤2for a linearly ordered set X then there exists YX such that|X| = |Y|and Y , or YR(the set Y with the order reversed), is well-ordered?

OPEN PROBLEM4.14. Does there exist an infinite linearly ordered set X such that rank(TX :OX)=2?

ACKNOWLEDGEMENTS. The authors are grateful to an anonymous referee for his/her comments. The second and third authors would also like to thank Dr Lars Olsen for helpful discussions. The third author acknowledges partial support from INTAS 99/1224.

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