Internat.
VOL. 16 NO. (1993) I01-II0
TOPOLOGIES
BETWEEN COMPACT AND
UNIFORM
CONVERGENCE
ON FUNCTION SPACES
S.KUNDUDivisionof Theoretical Statistics and Mathematics Indian StatisticalInstitute
203
B.T. Road,
Calcutta700 035 Indiaand
R.A.McCOY
Department
of MathematicsVirginiaPolytechnic Institute
&
State University460McBryde Hall Blacksburg,
VA
24061-0123U.S.A.
(Received June
27, 1991andrevisedformJuly 31,1991)
ABSTRACT. Thispaper studies two topologieson theset of all continuous real-valuedfunctions
on a Tychonoff space which lie between the topologies of compact convergence and uniform convergence.
KEY
WORDS AND PHRASES.
Function spaces,Compact-open
topology, Topology of uniform convergence, a-compact,Pseudocompact.1991
AMS
SUBJECTCLASSIFICATION CODES.
54C35,54D45. 0.INTRODUCTION.
The set C(X) of all continuous real-valued functions ona Tychonoffspace Xhasanumber of natural topologies.
Two
commonlyusedtopologiesarethecompact-open,topology
and thetopologyof uniform convergence. The latter topologyhas been used formore thana centuryas the proper
setting tostudy uniform convergence ofsequencesof functions. Thecompact-open topology made
its appearance in 1945 in a paper by Fox
[3],
and soon after was developed by Arens in[1]
andArens and Dugundji in
[2].
This topology was shown in[6]
to be the proper setting to studysequences of functions which converge uniformly on compact subsets. One of the distinguishing
features of thistopologyis thatwhenever
x
islocally compact thecompact-open topologyonC(X)isthe coarsesttopology makingtheevaluationmape:X C(X)--.continuous
(where
e(x,])=f(x)).
The compact-opentopologyandthetopologyofuniformconvergenceareequal ifand onlyif
x
is compact.Because
compactness is such a strong condition, there is a considerable gap between these two topologies. This gap was especially felt in[8]
while studying the completeness of aon
C*(X)
whichwasstudied in[5].
Thepurposeof thispresent workis toextend theseideasto two natural topologiesonC(X), to study the properties of thesetopologies, and to relate thesetopologies tothecompact-opentopologyandthetopologyof uniformconvergence.Let Ck(X andCu(X denoteC’(X)withthecompact-open topology andthetopologyof uniform convergence, respectively. The definitions of the other twotopologiesthatwestudy here arebased
on thefact that Ok(x) canbe viewed in twodifferent ways. First wecan viewthe compact-open
topologyas a
"set-open
topology,"whereasubbasic open set looks like [K,Vl
{I ec(x):l(K)c_ v},whereK isa compact subset ofX andVis anopeu subset of the reals. Notethat
v
can alwaysbe takeuas abouuded opeu iuterval. Thesecoud waythatwe canviewthecompact-opeu topologyisas a"uniformtopology." Thisapproachisdevelopedinthe nextsection.
Throughout the rest ofthe paper, we usethefollowingconventions. Allspaces areTychonoff
spaces. If
x
and Yareany two spaceswiththesameunderlying set,thenweuseX Y, X_<I/and X<Y to indicate, respectively, that X and Y have the same topology, that the topologyon Y is finer than or equal to the topology on X, and that the topology on Y is strictly finer than thetopology on
x.
The symbols t and 1 denote the spaces of real number and natural numbers, respectively. Finally, the constant zero-function inC(X)isdenotedbyJr0.
1.
TOPOLOGIES OF UNIFORM CONVERGENCE.
In
thisfirstsectionwelook at "uniformtopologies" onC(X)inageneralsetting. This isdone in terms ofcertain pseudo-seminorms on C(x).By
a pseudo-seminormon a real linear space gismeant areal-valued functionponEsuchthat
(1)
p(O) 0,(2)
p(z) p( z) for allz(E, and(3)
p(=+
y)<_p(z)+
p(y)for all =, y(e.
Notethatitimmediately follows thatp(z)>_0and p(.) p(y) <_p(. y)for all., y g.
A
pseudo-seminormpiscalledaseminormif thefollowingadditional condition holds.(4)
p(t.) tip(*)forallm Eand.
Ofcourseaseminormpisanormif p(z) 0wheneverz 0.
Letabe any family of subsets of
x
satisfying thecondition:if A,B a, thenthereexistsaC asuch thatAoBC_C.
For
eachA c,andf>0, letA,
{(I,9)eC(X)xC(X):lf(z)-9(z)l <efor allz
A}.Then it can be easily verified that thecollection {Ae:A c,, >0} isabase forsomeuniformity on
C(X). We denote the space C(X) with thetopology inducedbythis uniformity be
Co,
u(X). Thistopologyiscalled thetopologyofuniformconvergenceon
.
ForeachJr
C(X),A aand >0,let<f, A, e> {g {/C(X):If(z)-g(z)[ < for all A}.
Thenfor each
Jr
(C(X), the collection < Jr, A, >:A(/a, >O} forms aneighborhood base atjrinC,,,,,(X).
Since the topology comes from a uniformity, thenC,,,,(X)
is completely regular. Ifa coversx,
thenC,,
(x) is a Tychonoff space. When a={x}, we get the topology of unilormNowfor eachA15a,define the pseudo-seminorm PAonC(X)by
Also foreach At5 a ande>O,let
Let
PA(f) min{1, sup{ 1(*) :x15A}}.
VA,
{f15C(X):PA(I)< }"{VA,:A
qt,e> 0}.It can be easily shown that for each 115C(X),l
+
’r {l+
v:v
’} forms aneighborhood baseatI.
Wesaythat thistopologyisgenerated bythecollectionof pseudo-seminorms {i0A:A15c,}. Notethatifwechoose0< <1,then for each115C(X),wehave
f
+VA,
_
<f,A,e> and<I,A,>
C_I+VA,
for allA15
.
Thisshows that thetopologyofuuiformcouvergenceonais thesame asthetopology generated by thecollectiou of pseudo-semiuorms {pA:A15a}.We
seefrom this poiut ofview thatC,,,u(x
isatopological group with respect to additiou.Observe thatfor
C*(X)
wecanactuallyusetheseminormsPA definedby PA(I) sup{ 1(.) :*15A}.Cousequeutly, C*
,,,,(x)
is a locally couvex topological vector space. Oue might wouder wheuC,u(X)
is a topologicalvector space. This is answeredbythe following theorem.In
thistheorem the term "bounded" refers to a subset ofa space such that each restriction ofa continuous real-valuedfunctionon the space to thissubsetisaboundedfunction.THEOREM 1.1. Thespace
C,,,,,(X)
isalineartopologicalspace if andonlyifeveryelement ofaisbounded.
PROOF.
Ifeveryelement ofa isbounded,
thenasinthecaseofC* .(x),wecanactuallyuseseminormsfor PA whenAea.
For the converse, suppose that there is an Aea which is not bounded. Then there is an
115C(X) and
{r.:n15N} _c
A such that l(r.)_>n for each n. To show that scalar multiplicationcannot be continuous in
C,,,,,(X),
let T be the scalarmultiplicationoperator definedby T(t,g))=tgfor 15 and#e
C,.(X).
Weshow thatTisnotcontinuousat (0,l). LetVA,,
beaneighborhoodoflo
T((O,I)) inC,,,,(X),
where A15a and 0< <1. Then for any neighborhood U of0 in,
there existsanhensuchthatneU.
ButxnI(..)
>1>, sothatT((n,l))=I
qtVa,
.
As
a consequence of Theorem 1.1, if every element of a is pseudocompact(a
space ispseudocompact ifevery continuousreal-valuedfunctionon the spaceis
bounded),
thenC,,,,,(X)
isalocallyconvextopological vectorspace. Conversely,if everyelementofa isC-embeddedin
x (that
is, every continuous real-valued functionon the subspace has a continuous extension toX)
andifC,,,,(X)
isatopologicalvector space, theneveryelement ofaispseudocompact.For the restofthepaper,we areinterested inthe particular topology where a is theset of
a-compact
(countable
union ofcompact)
subsets ofX.In
this case, wedenote the spaceC,,,,(X)
bysametopologyifwetake the members ofr,tobetheclosures ofther-compact subsets ofX.
2.
THE
a-COMPACT-OPEN TOPOLOGY.Forany subset A ofXandany open subsetVof
,
define [A, V] {f(C(X): I(A)C_V}.This agrees with the usual
"set-open"
terminology for the compact-open topology because A is compact in this case. Nowlet ,(X) be theset of ,-compact subsets ofX, and let bethe set of bounded open intervals in.
For the g-compact-open topoloev on C(X), we take as subbase, the family{[A,B]:AG.(X),B };
andwedenote this spaceby Co(X). Notethat the sametopologyisobtained by using
[,B],
where A6,(X) and B(9. This is becausefor each f.
C(X),f(7t c_
f(A); so thatf(Tt
f(A). The fact thatCa(X)isaTychonoffspacecanbeprovedinamannersimilar tothe proof ofLemma5.1 in[9].
It
isuseful to relatebasic open setsinCo(X to basic opensetsinC,,,,,(X),
whichis donein the followingtwolemmas.LEMMA
2.1. Let W f’__[ai,v,]bea basicneighborhoodofI
inC,,(x). Then thereexistsan >0such that <f,A O o
A,,
> C_ W.PROOF.
For
each i, sinceI(A,) iscompact, thereis an ei>0such that the ei-neighborhoodofI(A,)iscontainedin
V,.
Theconclusionnowfollowsby takingLEMMA
2.2. LetA(,(X), and letI
(C(X)be such that I(A)is bounded. Then for each >0,thereexists abasic open set W inC,,(X)suchthat1"(W
c_
<)’,A,e >.PROOF. Since I(A) is bounded, there are open intervals
v
v,
of length such thatI(A---
C:_ O,"__lV,. Foreachi, letA Ar3f-(V
i), and let W be the-neighborhood
ofV in.
Theneach
Ai
r(X), and eachW,
is an open interval oflength
e. Sodefinew
c,"=
[A,,W,], whichis basicneighborhoodoffin Co(X). Itisstraightforwardtocheck thatw
_
<f,A,e>.Lemma
2.1 tellsus that the a-compact-opentopologyis coarser than orequal tothetopologyof uniform convergence on.-compact sets.
On
the otherhand, it isclearfrom definitions that the .-compact-open topology is finer thanor equalto the compact-open topology. Therefore wehave thefollowing generalcomparisons.THEOREM2.3. Foreveryspace X,Ct(X <_ Co(X <
Co,
u(X < C,,(X).It
is well-known thatC*(X)
is dense inC(X).
Thesame is true for"Co(X
), as we see in the nextresult.THEOREM2.4.
For
everyspaceX,C*(X)
isdenseinCo(X).PROOF. If
n’=
I[A,,V,] isabasic opensetinCo(X containingf,theno,=
iv,iscontained insomeinterval(a,b). Then if is definedbyg(z) f(z) ifa_<f(z)_<b,g(z) aif/(z)<aand (.) Iiif
b</’(z), wehave that
c*(x)
a r:’=
[A,, V])asdesired.
Even though
C*(X)
isdenseinCo(X),the members ofC*(X)
playaspecial roleinCo(X inthe following sense. For eachI
.C(X), letTI:Co(X)--,Ca(X
be the translation operator defined byTt(g
J’
+
gfor all g Co(X).BETWEEN ND UNIFOR CONVERGENCE 105
PROOF. Forthe sufficiency, supposethatlE
C*(X)
and that [A,V]isasubbasicneighborhood ofTl(g)
inC,,,(X) forsome ge C,,(X). Then byLemma
2.1, thereexistsan >0such that<
TI(g),A,
> c_[A,V].Now (f+g)(A)=
TI(g)(A
is bounded. Since fEC*(X),
g(A)=(f +g)(A)-f(A) is bounded. So by Lemma2.2, thereexists abasic open setw
inC,,(X)suchthatgew
c_ <g,A,>. WeseethatT.(W)
C_Tj(< a,A,> C_ <Tj(a),A,> C_[A,V], and thusTI mustbecontinuous atg.For the necessity, suppose that j"
.C*(X).
ThenI
is unbounded on some Ar(X). Now[A,(-1,1)] is aneighborhood of
f0
Tl(-.f)
in C,,,(X).Suppose,
bywayof contradiction, that T1is continuous at -l. Then there would be a basic neighborhood n,"__l[A,,Vi] of --f in C,,(X) such thatTI( 1"I=
I[A,, V])
C’_[A,{-I,I)].Since
-I
would be bounded ont.J’=:A,,
so wouldI.
Therefore there would exist somezeA\t",=:A,. Then let eC(X) be such that (z)= and (u)=0 for all
re
t-J’=iA,, and defineh=b-f. Clearlyhe f,"-_I[A,,V,], sothat
l+h=Tl(h)e[A,(-l,1)].
Butthen =(f+h)(z)e(-1,1), which isacontradiction. ThereforeT!
isnot continuous at -f.COROLLARY2.6. Thefollowingareequivalent.
(1)
C,,(x)isatopological vector space.(2)
C,,(x)isatopological semigroupunder addition.(3)
c(x) c;(x).(4)
Xispseudocompact.When studying function spaces, it is sometimes useful to use induced functions. That is, if 4:XY is a continuous function, define
b*:C(Y)C(X)
by*(#)=#o
for all eC(Y). We canestablishthefollowingtheorem muchlikethecorrespondingtheorem for the compact-opentopology
(cf.
[10]).
In
thistheorem,
the definition of:X-Y
being a or-compact-covering mapis that eacha-compact subset of is contained inthe image ofsome#-compactsubset of
x
under.
THEOREM2.7. If:X-Yiscontinuous, then
*:C,(Y)-C(X)
is continuous. Furthermore,if is ar-compact-coveringmap,then*
isanembedding.3.
COMPARISON
OFTOPOLOGIES.
We
havealreadyseenthatc,(x)<c(x) <
c,.(x)
< c.(x).In
this section we determine when then inequalities are equalities and giveexamples to illustrate the differences.THEOREM 3.1. Forevery space
x,
ct:(X C,,(x)if andonlyif the closure ofeacha-compactsubset of
x
iscompact.PROOF. The sufficiency is straightforward.
For
the necessity, suppose that Ct:(x =Ca(Xand letA a(X). Then thereexistacompactset K in Xandanopenset V in such that
fo
e[K,V]_C[A,$\{1}].Suppose,
bywayof contradiction, that thereexistsanz \K. Then there wouldbesomef C(X)suchthat f(z)= andf(y)=0forally K.
But
thenf e[K,V]\[A,$\{1}],
COROLLARY
3.2. If C.(X)= C,,(X), then X iscountablycompact.THEOREM3.3.
For
everyspaceX,C,,(x)=C,,,,,(x)
if andonlyifX ispseudocompact. PROOF. Ifx
is pseudocompact, then for each A ca(X) and"
e.C(X), I(A) is bounded. Thereforeby Lemma 2.2, wehave thatC,,(x)=C,,,(x).
For
the converse, suppose thatx
is not pseudocompact. Then there is some f.
C(X) andA a(X) such that I(A) is unbounded.
Now
for any >0, < I,A, > cannot beaneighborhoodof!
in C,,(x). This is because for arbitraryopen W in C,,(x)there is some gew
oC*(x)
by Theorem2.4; butg < I’,A,e>. Itfollows thatC,,(X) <
C,,,,,(x).
COROLLARY
3.4. If everya-compactsubset ofXhascompactclosure,thenCk(X)C,,,,(X).
THEOREM 3.5.
For
every spaceX,C,,,,,(X)=C,,(X)
if and only if X contains a densea-compact subset.
PROOF.
Suppose
thatx
contains an Aea(X) which is dense. Then for eachy
(;C(X) and >0,<y,A,>
c_
<l, X, e>.Thus < I,X,e > isaneighborhoodof
I
inC,,,,(X),
sothatC,,,,,(X)=
C,,(X).Conversely,let
C,(x)
C,,(x), and consider < I0,X,e > where0<e<1. Then thereexists an Aea(X) and6>0suchthat<Y0,A,6>
c_
< 10,X,e >,Suppose,
by way ofcontradiction, that there is an xeX\].
Then there would be some!
.
C(X) with I(x) and l(v) 0for allv e].But
thiswouldmeanthatY
-
< fo,A,6> \ < fo,X,e> which isacontradiction. Itfollows thatX ].COROLLARY
3.6. IfX isseparable,thenC,,,,,(X)=
C,,(X).We
end this section by looking at some examples which illustrate all possible inequalitiesbetweenthese functionspaces.
EXAMPLE
3.7. Ifx
isanycompactspace, thenc(x) c(x)
c,,,,,(x)
c,,(x).EXAMPLE
3.8. Ifx
isanuncountablediscretespace,then C,(x)<C(X)<C,,,,,(x)
< C,,(x).EXAMPLE
3.9. IfX hiorX,
thenc(x)<c.(x) <
c.,.(x)
c.(x).
EXAMPLE
3.10. LetXbethe space ofcountableordinals withtheordertopology. Then each a-compact subset of X has compactclosure,
but X does not contain a dense a-compact subset. ThereforeC,(X) CAX)
C,,,(X)
<C,,(X).EXAMPLE
3.11. Lethi* fhi\hi, wherefhiistheStone-ech
compactificationofhi. Let1beapoint of hi* whichisnot aP-point
(cf.
[11]).
DefineXto behi*\{p}. ThenX iscountably compact,but doesnothave adensea-compactsubset
(since
pointsarenotG6-sets
).
Alsosincepisnot aBETWEEN CONVERGENCE 107
EXAMPLE
3.12. Let X=\{p}, where peN*(see
Example3.11).
compact andseparable, but notcompact. Therefore
Then X is countably
Ck(X)<Co(X)
Co,
.(x) C.(X).Notethatthisshowsthat theconverseofCorollary3.2isnot true.
An
exampleofaspacewhich is notcountably compact but whichhas thesesamefunction space relations isthespaceq in5I of[4].
4.
ADDITIONAL
PROPERTIES.Theorem 3.5 can be expanded to include some additional properties of the spaces Co(X and
co,
.(x).THEOREM4.1. Thefollowingareequivalent.
(I) Co,.(X
is (completely)metrizable.{2)
Co,.(X
isfirst countable.(3)
{lo}isaGs-set
inCo,,,(X).
(4)
Co(X)issubmetrizable.(5)
Co(X)isfirstcountable.(6)
{Io}is aGs-set
inCo(X).(7)
Xcontainsadense a-compact subset.PROOF.
That(7)
implies(1)
follows from Theorem 3.5 since C,,(x) is always completelymetrizable.
Toprove that
(3)
implies(7),
suppose that X doesnot containadense a-compact subset. Nowa
Gn-set
is a subset which canbe written as acountable intersectionof open subsets. Soforeachn6N, let <f0,A,,,e,> be any basic neighborhood of
Y0
inCo,,,(X
). We know that there is some z fiX\tJ=
A,.
Let f6C(X) be such that f(z) andf(y) 0for allyJ.=A..
Thenf
Nn=
<fo,An,
6n>"Butsincef #f0, weseethat{f0}isnota
G6-set
inCo,
u(X).Since
(6)
implies(3),
it remains only to show that(7)
implies(4)
and(5).
Suppose
that X contains a dense a-compact subset D. LetI
beany element ofCa(X). We need to demonstrate thatI
hasacountable baseinCa(X). Wemaytake for$thefamilyofboundedopenintervalsin l withrational endpoints. Also letCbe theclosures of the members of05. Thendefine.a
{.f-(C)oD:
e}.SinceD is a-compact, atisacountable subfamily of a(X). Since
*
isalsocountable,itnowsuffices to show thatfor each subbasic neighborhood [$,v] of!
in Co(X),thereis an A6at andB6*
suchthat/" [A,B]
c_
[S,V].If
!
6[$,V],thenI($)c_
V.Hence
since iscompact, thereexist C6e
andB6 such thatTherefore ifwedefine A
y-(C)Cl
D, thenwehavef(A)
_
f(f-I(C))CI
f(D) C_ CCIf(D)_
B.This means that f
.
[A,B]. To show that [A,B]C_[S,V], let ge;[A,B] and let-’.
If W is aneighborhoodoft, then
g-l(W)n
S $. SinceKUNDU AND R.A. McCOY
theng-l(W)nf-(intC)#. Butthen
g
(w)
n! (i.t
c)nD#.
so that
g-(w)na.
Therefore Wng(A), and thus t6-(A)CZ_B. It follows that g6-[$,V], so that!
6-[A,B]c__
IS,V]. Wecannowconclude that!
hasacountable baseinGo(X).Finally, to show that
(7)
implies(4),
write the dense set D=u=
A,,,
where eachA,,
is acompact subset ofX.
A
submetrizable space isonewhichcanbemappedintoa metric spaceby a continuous injection.(Note
thatsingleton sets areGn-sets
ina submetrizablespace.) Define Y to be the disjoint topological sum=A,,
and let O:YX be the natural map. Thenthe induced function4*:C,,(X)C,,(Y)
is continuousbyTheorem 2.7. Since 0(Y)isdense inx,*is aninjection.Nowthesummap
s:c.(’=
A.)-[I’=
C.(A.)=l-l=
is a continuous bijection, since it is a homeomorphism when defined on
Ck(’=
An)(cf.
[6]).
ThereforeS
o*
is acontinuousinjection fromCa(X intothe metrizable spacel’I’=
Ck(A,,}, which makesCa(X)submetrizable.Forourlast topic,weconsiderthe separability ofCa(X),and the weakerpropertyof having the
countable chain condition
(i.e.,
every pairwise disjoint family of nonempty open subsets iscountable).
We
seefrom thefollowing theorem and Theorem 3.3 thatC,u(X
is separable(has
ccc)
if andonlyifCa(X isseparable(has ccc).
THEOREM4.2. IfCa(X hasthe countablechaincondition, thenX ispseudocompact.
PROOF.
Suppose
thatx
is notpseudocompact. Then thereis aclosed C-embedding:N-.X.
So by Theorem 2.7, theinduced function
*:C(X)-C(N)
is continuous. Since theembeddingisaC-embedding, $*isasurjection.
We show that Ca(N does not have the countable chain condition. Then since
*
is acontinuous surjection, Ca(X will also not have the countable chain condition.
Let
U=(0,1) andv
(1,2), and for each Ainthepower set9(N) of N, defineSA=[A,U]O[N\A,V].
Then Sa isanonempty basic open set in
C(). Suppose
that A,B6-@(NI)with A B. Without loss of generality,say thereissomez6-A\B. If"
6-SA, then I(z)6-U; but if16-SB,
then I(z)6-v.
Since U V,
SASB
.
Therefore{SA:A
6.()} is all uncountable pairwise disjoint family ofnonemptyopen subsets ofCa(N).
To
completethe characterization ofC,(X) being separable,weneed thefollowing lemma.It
is aconsequence of Theorem 8.17in[4];
however,wegiveasimple directproof.LEMMA
4.3.Every
pseudocompact submetrizable(Tychonoff)
space is compact and metrizable.PROOF.
Suppose
topological space (X,r) is pseudocompact and has a metric d whichgeneratesastrictlycoarsertopologyrdon X. Thenthereexists anz 6-U6-r\rdand sequence(zn)of
distinct points of X\U such that (zn) converges to z in rd. For each n, let B be an open
neighborhood of z,in rd having diameter less than
1
and such thatBBI=$
for ij.Now
let V6- rbeaneighborhoodof whoseclosure,
,
inriscontainedin U.For
eachn,defineV,
B\,
which is a neighborhood of
,,
in r. Note that {V,,:n6-N} is a discrete family in r.For
each n,choose] eC(X) such that f,()=nandf(y)=0for ally6-x\v,. Definef eC(X)by y(y)=f(y) if
y 6-
V
andf(y) 0otherwise. Sincey
isunbounded,this contradicts (X, r)being pseudocompact.TOPOLOGIES BETWEEN COMPACT AND UNIFORM CONVERGENCE 109
PROOF. If C,,(X)is separable, then the smallerspaceC,(X)is separable. This meansthat X is submetrizable. Theresultnowfollows from Theorem4.2andLemma4.3.
QUESTION
4.5. When is C,,(x) metrizable?In
particular, is C,(N) metrizable or evennormal?
ACKNOWLEDGEMENT.
Thefirst author’s researchis supported bytheCouncil of Scientific and Industrial Research,India.REFERENCES
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