Executive Summary
Call a nonzero ring formally real if is not a sum of permuted products with all . The set of such sums, written , is the weak preordering: it satisfies both preordering axioms automatically, sits inside every preordering of , and is a preordering exactly when is formally real.
R. E. Johnson's theorem then closes the circle: formally real, admitting a preordering, and admitting an ordering are three names for the same property. Combined with this is a complete, checkable answer to the orderability problem for arbitrary rings, and it specialises to Artin and Schreier's 1927 criterion when is a field.
Overview
The obstruction to ordering a ring must be finitary if the theory is to be usable: one wants a single equation whose absence guarantees an ordering. and show what such an equation must look like. In any ordering, a product in which every factor is repeated an even number of times is positive; so is any sum of such products; and is not positive. Formal reality simply asserts that this necessary condition holds.
The weak preordering and the definition of formal reality. Note always, so .
The proof of sufficiency is short because the work has already been done. If then is a preordering; Zorn's Lemma enlarges it to a maximal preordering; and by a maximal preordering is an ordering. The substance is in Preorderings in Rings; this page is where the payment is collected.
Learning Objectives
- Write down and check that it satisfies and for any ring.
- Prove for every preordering of .
- Prove all three implications in R. E. Johnson's theorem .
- Show that a field is formally real precisely when is not a sum of squares.
- Prove that a division ring is not formally real precisely when .
- State the four equivalent descriptions of the division closure in .
Definitions
For a ring , let be the set of all finite sums of elements with and — that is, products of finitely many nonzero elements, each occurring an even number of times, multiplied in any order. is formally real if .
always satisfies , being closed under sums by construction, and , since inserting doubled elements or elements of into a permuted product produces another such sum. Hence: is formally real if and only if is a preordering, and in that case is the smallest preordering of .
- The weak preordering. In a commutative ring it is the set of nonzero sums of squares.
- Totally positive
- Positive in every ordering of . By (17.13) this is membership in the division closure , not in itself.
- The division closure of a preordering : those with for some .
- Real field
- Synonym for formally real field in much of the real-algebra literature; a real closed field is one with no proper formally real algebraic extension.
Formal reality is a property of the ring alone — no cone has been chosen. Choosing a cone is extra structure, and says the choice is possible exactly when the property holds.
Core Concepts
Why is the right generating set
Any preordering must contain by axiom with , and must be closed under sums by . Therefore it contains all of . Dually, imposes no further constraints. It is the free object of the theory: the preordering generated by nothing at all.
The commutative shadow
If is commutative, , so is exactly the set of nonzero sums of squares, and formal reality says that a sum of squares of nonzero elements is never . For a field this is the classical Artin–Schreier condition, as the next section makes precise.
What formal reality already implies
By applied to : a formally real ring is a domain of characteristic zero in which is totally positive. So formal reality is strictly stronger than being a characteristic-zero domain — the real quaternions separate the two conditions, since makes .
Key Results
For any ring the following are equivalent:
- is formally real, i.e. ;
- possesses a preordering;
- possesses an ordering.
**(3) (2).** Every ordering is a preordering: by the sign homomorphism of an ordered ring, a product with all multiplicities even is positive, and positives are closed under addition.
**(2) (1).** Let be a preordering. Axiom with puts every into , and axiom then puts every sum of such into . Hence , so .
**(1) (2).** If then , and since satisfies and by construction, it is a preordering.
**(2) (3).** Given a preordering , Zorn's Lemma provides a maximal preordering : the union of a chain of preorderings satisfies both axioms, because each axiom involves only finitely many elements, and omits because every member does. By , is an ordering.
A formally real ring is a domain of characteristic zero; its only idempotents are and ; it has no nonzero nilpotent elements; and it is infinite. All of this follows from applied to , together with .
Let be a division ring. Then fails to be formally real if and only if . In particular a field is formally real if and only if is not a sum of squares in , which is the Artin–Schreier criterion.
If then , so is not formally real.
Conversely suppose , say where each is a permuted doubled product of nonzero elements. Each is a product of nonzero elements of a division ring, hence ; therefore and
Next, itself lies in . Indeed, if is an arrangement of the multiset , then the arrangement followed by that same multiset is again a permuted product with all multiplicities even, and its value is
Finally is closed under multiplication, so lies in .
For a field, is the set of nonzero sums of squares, so the criterion reads: is not formally real if and only if is a sum of squares.
For a general ring the reduction of to is not available, since the inverse used in need not exist; Lam poses the corresponding question for integral domains as Exercise 6 of §17. The definition via is the one that makes true, and it should be taken as primary.
Let be a preordering in a ring . Then the following four subsets of coincide; the common value is written and called the division closure of :
Moreover and .
Suppose with . Then by , so lies in the second set; and with , so lies in the third set with . The reverse inclusions are immediate: gives , so exhibits a witness for the first set, and likewise for the fourth.
Symmetrically, if then places in the first set, and places it in the fourth. Chasing these four implications round gives equality of all four sets.
For we have , so . And because .
Proof Techniques and Method
How these proofs work, and which move to reuse.
Generate, then test properness
Build the smallest set closed under the required operations; the only thing that can go wrong is that it contains . This turns an existence problem into the non-existence of one identity.
Maximise by Zorn, then use maximality
Maximal objects in this theory are automatically total. The pattern — enlarge, then read off totality from — replaces any attempt to define the order element by element.
Invert inside the cone
In a division ring, shows the cone is closed under inversion. Wherever inverses exist, positivity statements can be divided as well as multiplied.
Move 3 is exactly what is unavailable in a general ring, and it is why the division closure has to be introduced at all: it is the smallest correction that restores the ability to divide by positives. That correction is the subject of Division-Closed Preorderings.
Worked Example
Formally real, and not
is formally real: a sum of nonzero rational squares is a positive rational, never . So is , and so is , which has two orderings. is not: exhibits directly, with and both elements nonzero.
For the quaternions, again, so is not formally real even though it is a characteristic-zero division ring. Consistently, as predicted by .
A noncommutative formally real ring
Let be the free -algebra on two generators. is orderable — order it by any total order on the free monoid compatible with multiplication, deciding positivity by the coefficient of the least word in the support — so by it is formally real. The same construction applies over any formally real coefficient field.
A calculation in
In , the element lies in : it is in the arrangement , plus in the arrangement , plus . None of these is a square in the free algebra, which is what the permuted-product notation is for.
Two different arrangements of the same multiset , plus three copies of .
Totally positive is not the same as in
In , the polynomial lies in outright. The subtlety appears for elements with but : such an is positive in every ordering yet is not itself a sum of squares. Lam constructs an explicit commutative example in Exercise 8 of §17; Artin proved in Exercise 9 that no such example exists in for a formally real field.
Comparison and Classification
| Ring | Formally real? | Witness |
|---|---|---|
| , , | yes | sums of nonzero squares are positive reals |
| , | no | |
| no | ; a division ring nonetheless | |
| , | no | characteristic is not |
| no | gives | |
| , | yes | orderable by leading coefficient |
| yes | ordered via an ordered free monoid | |
| (Weyl algebra) | yes | ordered by top -coefficient |
| no | isomorphic to |
| Domain | Char | Formally real | Orderable | |
|---|---|---|---|---|
| Formally real | yes | yes | yes | yes |
| Orderable | yes | yes | yes | yes |
| Char domain | yes | yes | no | no |
| Domain | yes | no | no | no |
Which conditions imply which
Reading a row gives the properties it implies. The two lower rows fail to imply formal reality: is the standard counterexample.
Relationship Map
- formally real —
- equivalent to
- has a preordering,
- has an ordering,
- implies
- is a domain, ,
- is totally positive
- is infinite, with no nonzero nilpotents
- does not follow from
- being a domain of characteristic — see
- being a division ring
- specialises to
- fields: is not a sum of squares (Artin–Schreier)
- division rings: ,
- equivalent to
Applications and Industry Use
Applications here means where this structure is used — inside mathematics and in the engineering and computing disciplines that consume it.
Real closed fields and model theory
Formally real fields have real closures, and the first-order theory of real closed fields admits quantifier elimination. That single fact underwrites every algorithmic decision procedure for polynomial inequalities.
Formally real Jordan algebras
The Jordan–von Neumann–Wigner classification of finite-dimensional formally real Jordan algebras — where a sum of squares vanishes only if each term does — was motivated by the search for algebraic models of observables in quantum mechanics.
Sums-of-squares relaxations
For commutative polynomial rings, membership in up to a degree bound is a semidefinite feasibility problem. This is the computational core of polynomial optimisation and of Lyapunov certificate search in control.
Zero divisors and units
If is an orderable group then is a domain for any domain , by the least-support-term argument. Formal reality of coefficient rings then propagates orderability, giving large families of orderable noncommutative rings.
Inside ring theory itself, the practical value of is that orderability becomes a closure condition on generators rather than a construction: to prove a ring orderable, it suffices to rule out one kind of identity.
Standards and Notation
Standards here covers notation, symbol and markup standards, and reference implementations, rather than material or design codes.
Failure Modes and Common Mistakes
- Do not conclude formal reality from the absence of zero divisors; refutes that.
- Do not assume a subring of a formally real ring inherits anything more than formal reality — the number of orderings can change drastically on passing to a subring or an extension.
- Do not forget that is defined with ; allowing would put in trivially and make every ring non-formally-real.
- Do not expect formal reality to be preserved by quotients. is formally real but is not.
Historical Notes and Lessons Learned
- 1927Artin and SchreierFormally real fields are defined by the condition that is not a sum of squares, and shown to be exactly the orderable fields. Real closures are constructed and shown to be unique.
- 1927Artin and Hilbert's 17th problemA rational function over that is nonnegative wherever defined is a sum of squares of rational functions — the field-theoretic prototype of the totally-positive criterion .
- 1934Formally real Jordan algebrasJordan, von Neumann and Wigner classify finite-dimensional formally real Jordan algebras, transferring the notion out of associative algebra entirely.
- 1940sOrdered noncommutative ringsAlbert, B. H. Neumann and Fuchs develop orderings on noncommutative rings, quotient rings and division rings built from ordered groups.
- 1952R. E. JohnsonThe Artin–Schreier equivalence is proved for arbitrary rings once the correct notion of formal reality — no vanishing sum of permuted doubled products — is identified.
- 1960s–70sSerre's preorderingsThe preordering formulation streamlines the proof and becomes the standard route; it also transplants directly to the theory of quadratic forms and to the real spectrum.
The lesson: the theorem was blocked for twenty-five years not by a missing argument but by a missing definition. Once formal reality was expressed in terms of permuted products rather than squares, the classical proof went through with no new ideas.
Quick Reference
| To prove | Exhibit |
|---|---|
| is not formally real | one identity with all factors nonzero |
| is formally real | an explicit ordering, or an ordered ring containing |
| has at least two orderings | an element with and both proper |
| is totally positive | some with , by |
Frequently Asked Questions
Why is formal reality defined with permuted products rather than squares?
Because in a noncommutative ring the elements forced to be positive by an ordering are precisely those products in which every factor is repeated an even number of times, in any arrangement — is positive, though it is not a square. Defining with squares only would give a set too small to contain every preordering, and would fail.
Is a subring of a formally real ring formally real?
Yes, immediately: an ordering restricts to any subring, so by formal reality is inherited. The converse fails badly — is formally real but is not, and is formally real while many of its quotients are not.
How is this different from the Artin–Schreier theorem?
Artin–Schreier is the field case, where the criterion is that is not a sum of squares. keeps the shape of the statement but replaces both the notion of square and the notion of cone by their noncommutative counterparts, and works for arbitrary rings with no commutativity, finiteness or invertibility hypotheses.
Does a formally real ring have a canonical ordering?
No. The only canonical object is the weak preordering , which is the intersection of nothing and is usually far from total. Selecting an ordering requires Zorn's Lemma and involves genuine choice; a ring with several orderings has no distinguished one.
If is formally real, is its quotient ring or its ring of fractions formally real?
When a ring of quotients exists in the sense of , yes: every ordering of extends uniquely to it, so it is orderable and hence formally real. Without that hypothesis, extendability is governed by the criterion of and can fail.
Are there formally real rings that are not domains?
Not under Lam's definition — forces a formally real ring to be a domain. Commutative real algebra uses a weaker notion, also called real, which permits zero divisors; that theory is about the real spectrum of a general commutative ring rather than about total orderings of the ring itself.
References
- T. Y. Lam, A First Course in Noncommutative Rings, Graduate Texts in Mathematics 131, Springer-Verlag, 1991, §17, results (17.11)–(17.12), pp. 279–281.
- R. E. Johnson, On ordered domains of integrity, American Mathematical Monthly 59 (1952). The original source of the equivalence in (17.11).
- E. Artin and O. Schreier, Algebraische Konstruktion reeller Körper, Abhandlungen aus dem Mathematischen Seminar der Universität Hamburg 5 (1927).
- A. Prestel, Lectures on Formally Real Fields, Lecture Notes in Mathematics 1093, Springer-Verlag, 1984.
- P. Jordan, J. von Neumann and E. Wigner, On an algebraic generalization of the quantum mechanical formalism, Annals of Mathematics 35 (1934). Formal reality outside associative algebra.
- J. Bochnak, M. Coste and M.-F. Roy, Real Algebraic Geometry, Ergebnisse der Mathematik 36, Springer-Verlag, 1998.
AI Suggested Questions
- For which classes of noncommutative domains is failure of formal reality equivalent to lying in the weak preordering?
- How does R. E. Johnson's theorem interact with Ore localisation and with rings that do not embed into division rings?
- What is the noncommutative analogue of the real spectrum, and does it carry a useful topology?
- Which finitely presented algebras can be shown formally real by an explicit ordering rather than by an abstract argument?
- How does formal reality for Jordan algebras relate to formal reality for their associative enveloping algebras?
- What degree bounds are known for representing a totally positive polynomial as an element of the weak preordering?
- Can formal reality be characterised by the absence of a specific finite family of identities, uniformly in the ring?
